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FACULTY OF CIVIL LAW (1734)

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LEGAL AND JUDICIAL

T EETHICS WITH
PRACTICAL EXERCISES
A 2023 GOLDEN NOTES
FACULTY OF CIVIL LAW
UNIVERSITY OF SANTO TOMAS
MANILA
 The UST GOLDEN NOTES is the annual student-edited bar review material of
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regarding the Notes should be addressed to the Academics Committee of the
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Academics Committee
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2023 Edition.

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 Faculty of Civil Law (1734)

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ACADEMIC YEAR 2022-2023
CIVIL LAW STUDENT COUNCIL

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NICOLO B. BONGOLAN PRESIDENT
IVAN ARNIE C. QUIAMCO VICE PRESIDENT INTERNAL
JANNODIN D. DIPATUAN VICE PRESIDENT EXTERNAL
BRIAN CHOOYE S. LIM SECRETARY
ROMBERT JOSEPH EMIEL D. CRUZ TREASURER

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HARLEY JANSEN L. CALDERON AUDITOR
BIENVENIDO L. ORTIZ III PUBLIC RELATIONS OFFICER

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KAREN DARYL L. BRITO CHIEF-OF-STAFF

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UST BAR-OPS

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JUSTINE RENEE GERVACIO CHAIRPERSON
PAULINNE STEPHANY G. SANTIAGO VICE-CHAIRPERSON
KAREN DARYL L. BRITO HEAD, SECRETARIAT
JAN YSABEL U. DE LEON HEAD, PUBLIC RELATIONS OFFICER

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GABRIEL C. LAPID HEAD, FINANCE COMMITTEE
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FRITZ N. CANTERO HEAD, LOGISTICS COMMITTEE
JOSEPHINE GRACE W. ANG SENIOR MEMBER
MA. ANDREA D. CABATU SENIOR MEMBER
SABINA MARIA H. MABUTAS SENIOR MEMBER
REBECCA JOY M. MALITAO SENIOR MEMBER
JOHN FREDERICK A. NOJARA SENIOR MEMBER
JEDIDIAH R. PADUA SENIOR MEMBER
VANESSA A. SIENA SENIOR MEMBER

ATTY. AL CONRAD B. ESPALDON

ADVISER
 Faculty of Civil Law (1734)

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ACADEMICS COMMITTEE 2023

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ANGELA BEATRICE S. PEÑA KATHERINE S. POLICARPIO

SECRETARIES-GENERAL

RON-SOPHIA NICOLE C. ANTONIO CRIMINAL LAW

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HERLENE MAE D. CALILUNG LABOR LAW AND SOCIAL LEGISLATION

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POLITICAL LAW AND
PATRISHA LOUISE E. DUMANIL
PUBLIC INTERNATIONAL LAW

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LEGAL AND JUDICIAL ETHICS WITH
ALEXANDRA MAUREEN B. GARCIA
PRACTICAL EXERCISES

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HANNAH JOY C. IBARRA COMMERCIAL LAW

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JEDIDIAH R. PADUA CIVIL LAW

PAULINNE STEPHANY G. SANTIAGO TAXATION LAW

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DIANNE MICAH ANGELA D. YUMANG REMEDIAL LAW

EXECUTIVE COMMITTEE

PAULA ANDREA F. PEÑAFLOR COVER DESIGN ARTIST

 Faculty of Civil Law (1734)

LEGAL AND JUDICIAL ETHICS

WITH PRACTICAL EXERCISES COMMITTEE 2023

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ASTRID A. SOLIS

LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES

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SUBJECT HEAD

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DANIELLE NICOLE D. ROSARIO

LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES

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ASSISTANT SUBJECT HEAD

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MEMBERS

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DIN EVE JAMES F. AMANTE KEANO LEWIS E. SANTOS
RAIAH CASSANDRA O. GUITAN MARY JOY M. SANTOS
DIANNE TRICIA M. INIEGO RHOWIELYN FAYE A. SANTOS

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ANNE HAYLEE D. PABROA ANGELO T. SOLANO
ANGELIKA B. PUZON JOHN ANNDREW S. TENECIO
JHADE C. QUIAMCO MAYNARD DRURY A. TOLENTINO

ADVISER
ATTY. ABRAHAM D. GENUINO, II
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Faculty of Civil Law (1734)

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FACULTY OF CIVIL LAW

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UNIVERSITY OF SANTO TOMAS

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ACADEMIC OFFICIALS

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ATTY. NILO T. DIVINA REV. FR. ISIDRO C. ABAÑO, O.P.
DEAN REGENT

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FACULTY SECRETARY

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ATTY. ELGIN MICHAEL C. PEREZ

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LEGAL COUNSEL
UST CHIEF JUSTICE ROBERTO CONCEPCION LEGAL AID CLINIC

JUDGE PHILIP A. AGUINALDO

SWDB COORDINATOR

LENY G. GADIANA, R.G.C.

GUIDANCE COUNSELOR
 Faculty of Civil Law (1734)

OUR DEEPEST APPRECIATION TO OUR

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MENTORS AND INSPIRATION

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Justice Amy C. Lazaro-Javier Justice Myra G. Fernandez

Justice Maria Theresa Mendoza-

Justice Georgina D. Hidalgo
Arcega

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Judge Katlyn Anne C. Aguilar-
Judge Philip A. Aguinaldo

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Bilgera

Judge Eduardo B. Bellosillo Judge Noli C. Diaz

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Judge Jacqueline S. Martin-Balictar Judge Oscar B. Pimentel

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Dean Jose I. Dela Rama, Jr. Atty. Sheen Joshua B. Barrieta

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Atty. Jairus Vincent Z. Bernardez Atty. Arnold E. Cacho

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Atty. Joseph Ferdinand M. Dechavez Atty. Abraham D. Genuino, II

Atty. Danica Mae M. Godornes Atty. Alden Reuben B. Luna, Ph.L.

Atty. Elgin Michael C. Perez

For being our guideposts in understanding the intricate sphere of

Legal and Judicial Ethics with Practical Exercises.
– Academics Committee 2023
 DISCLAIMER
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THE RISK OF USE OF THIS BAR
REVIEW MATERIAL SHALL BE

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BORNE BY THE USER

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 Table of Contents
PART TWO: LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES ........................................................ 1
I. LEGAL ETHICS ................................................................................................................................................................ 1
A. PRACTICE OF LAW...................................................................................................................................................... 1
1. BASIC CONCEPTS ............................................................................................................................................ 1
a) DEFINITION OF PRACTICE OF LAW .................................................................................................... 1
b) PRACTICE OF LAW AS A PRIVILEGE, NOT RIGHT ............................................................................ 1
c) LAW AS A PROFESSION, NOT A BUSINESS OR TRADE .................................................................... 2
2. QUALIFICATIONS FOR ADMISSION TO THE BAR (Bar Matter No. 1153) ......................................... 2
3. CONTINUING REQUIREMENTS FOR MEMBERSHIP IN THE BAR ........................................................ 4

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4. APPEARANCE OF NON-LAWYERS............................................................................................................... 5
a) LAW STUDENT PRACTICE RULE (Rule 138-A, as amended by A.M. No. 19-03-24-SC)............. 5
b) NON-LAWYERS IN COURTS AND/OR ADMINISTRATIVE TRIBUNALS........................................ 7

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c) PROCEEDINGS WHERE LAWYERS ARE PROHIBITED TO APPEAR AS COUNSELS ................... 9
5. PROHIBITED PRACTICE OF NON-LAWYERS AND APPEARANCE WITHOUT AUTHORITY .......... 9

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6. PUBLIC OFFICIALS AND THE PRACTICE OF LAW ................................................................................ 10
a) PROHIBITIONS AND DISQUALIFICATIONS OF FORMER GOVERNMENT ATTORNEYS ........ 11
b) PUBLIC OFFICIALS WHO CANNOT PRACTICE LAW OR CAN PRACTICE LAW WITH
RESTRICTIONS ..................................................................................................................................... 11
7. LAWYERS AUTHORIZED TO REPRESENT THE GOVERNMENT ........................................................ 13

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8. LAWYERS OATH .......................................................................................................................................... 15
B. DUTIES AND RESPONSIBILITIES OF A LAWYER UNDER THE CODE OF PROFESSIONAL

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RESPONSIBILITY ................................................................................................................................................... 15
1. TO SOCIETY .................................................................................................................................................. 16
2. TO THE LEGAL PROFESSION .................................................................................................................... 39

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2. TO THE COURTS .......................................................................................................................................... 56
4. TO THE CLIENTS .......................................................................................................................................... 73
C. SUSPENSION, DISBARMENT, AND DISCIPLINE OF LAWYERS ..................................................................... 135

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1. NATURE AND CHARACTERISTICS OF DISCIPLINARY ACTIONS AGAINST LAWYERS .............. 135
2. GROUNDS .................................................................................................................................................... 140

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3. PROCEEDINGS (Rule 139-B of the Rules of Court, as amended)..................................................... 143
D. NOTARIAL PRACTICE (A.M. No. 02-8-13-SC, as amended)........................................................................... 152
1. QUALIFICATIONS OF A NOTARY PUBLIC ............................................................................................ 152

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2. TERM OF OFFICE OF A NOTARY PUBLIC ............................................................................................. 153
3. POWERS AND LIMITATIONS .................................................................................................................. 153
4. NOTARIAL REGISTER ............................................................................................................................... 155
5. JURISDICTION OF NOTARY PUBLIC AND PLACE OF NOTARIZATION .......................................... 156
6. COMPETENT EVIDENCE OF IDENTITY ................................................................................................. 156
7. SANCTIONS ................................................................................................................................................. 157
AC No. 1001
II. JUDICIAL ETHICS ......................................................................................................................................................159
A. SOURCES .................................................................................................................................................................. 159
1. NEW CODE OF JUDICIAL CONDUCT FOR THE PHILIPPINE JUDICIARY........................................ 159
2. CODE OF JUDICIAL CONDUCT ................................................................................................................ 159
B. QUALITIES ............................................................................................................................................................... 159
1. INDEPENDENCE ......................................................................................................................................... 159
2. INTEGRITY .................................................................................................................................................. 159
3. IMPARTIALITY........................................................................................................................................... 159
4. PROPRIETY ................................................................................................................................................. 160
 5. EQUALITY.................................................................................................................................................... 161
6. COMPETENCE AND DILIGENCE .............................................................................................................. 161
C. DISQUALIFICATION OF JUDICIAL OFFICERS ................................................................................................... 161
1. COMPULSORY............................................................................................................................................. 161
2. VOLUNTARY ............................................................................................................................................... 162
D. DISCIPLINE AND ADMINISTRATIVE JURISDICTION OVER MEMBERS OF THE JUDICIARY ................ 162
1. SUPREME COURT ...................................................................................................................................... 163
a) IMPEACHMENT.................................................................................................................................... 163
2. LOWER COURT JUDGES AND JUSTICES................................................................................................ 164
a) SANCTIONS IMPOSED BY THE SUPREME COURT ON ERRING MEMBERS OF

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THE JUDICIARY................................................................................................................................... 165
III. PRACTICAL EXERCISES .........................................................................................................................................167

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A. DEMAND LETTER .................................................................................................................................................. 168
B. DEED OF SALE OF REAL PROPERTY AND DEED OF SALE OF PERSONAL PROPERTY .......................... 169

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C. CONTRACT OF LEASE ............................................................................................................................................ 171
D. SPECIAL POWER OF ATTORNEY ........................................................................................................................ 173
E. VERIFICATION AND CERTIFICATE OF NON-FORUM SHOPPING ................................................................ 174
F. JUDICIAL AFFIDAVIT ............................................................................................................................................. 175

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G. NOTARIAL CERTIFICATES ................................................................................................................................... 178
1. JURAT ........................................................................................................................................................... 178

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2. ACKNOWLEDGMENT ................................................................................................................................ 179
H. MOTIONS ................................................................................................................................................................. 180
1. MOTION FOR SUMMARY JUDGMENT ................................................................................................... 180

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2. MOTION TO DISMISS ................................................................................................................................ 181
3. MOTION TO DECLARE IN DEFAULT...................................................................................................... 182

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I. QUITCLAIMS IN LABOR CASES............................................................................................................................. 183
J. INFORMATION IN CRIMINAL CASES................................................................................................................... 184

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APPENDIX
LAWYER’S OATH ...........................................................................................................................................................186

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NEW LAWYER’S OATH UNDER THE CPRA (A.M. No. 22-09-01-SC, 13 Apr. 2023) .........................................186
CODE OF PROFESSIONAL RESPONSIBILITY ...........................................................................................................186
 I. LEGAL ETHICS
LEGEND 2. Preparation of documents requiring
A.M. - Administrative Matter knowledge of legal principles not
B.M. - Bar Matter possessed by an ordinary layman;
CA - Court of Appeals
CLEP - Clinical Legal Education Program 3. Appearance for clients before courts and
CPE - Canons of Professional Ethics tribunals; and
CPR - Code of Professional Responsibility
- Code of Professional Responsibility 4. Notarial acts.
CPRA
and Accountability
DOJ - Department of Justice b) PRACTICE OF LAW AS A PRIVILEGE, NOT

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IBP - Integrated Bar of the Philippines RIGHT
LEB - Legal Education Board
NCC - New Civil Code Nature of the Practice of Law

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NCJC - New Code of Judicial Conduct
PAO - Public Attorney's Office The practice of law is not a natural, property or

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PhilJA - Philippine Judicial Academy constitutional right, but a mere privilege. It is not a
ROC - Rules of Court right granted to anyone who demands it but a
RTC - Regional Trial Court privilege to be extended or withheld in the exercise
SC - Supreme Court of sound judicial discretion. It is a privilege
accorded only to those who measure up to certain

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rigid standards of mental and moral fitness. (Pineda,
PART TWO: LEGAL AND JUDICIAL ETHICS WITH 2009)

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PRACTICAL EXERCISES
NOTE: It becomes a property right if there is a
contract for attorney’s fees. The duty of the court is

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not only to see that a lawyer acts in a proper and
I. LEGAL ETHICS lawful manner; it is also its duty to see that a lawyer
is paid his just fees. With his capital consisting of his

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brains and with his skill acquired at tremendous
cost not only in money but in expenditure of time

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and energy, he is entitled to the protection of any
A. PRACTICE OF LAW judicial tribunal against any attempt on the part of
his client to escape payment of his just

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compensation. It would be ironic if after putting
1. BASIC CONCEPTS forth the best in him to secure justice for his client
he himself would not get his due. (Rosario v. de
Guzman G.R. No. 191247, 10 July 2013)
a) DEFINITION OF PRACTICE OF LAW

Q: Dennis discovered that Atty. Ramos had filed

Practice of law means any activity, in or out of court,
a Complaint for Declaration of Nullity of Real
which requires the application of law, legal
Estate Mortgage over the former’s property
procedure, knowledge, training, and experience.
without authority. Dennis tried to inquire from
(Cayetano v. Monsod, G.R. No. 100113, 03 Sept. 1991)
Atty. Ramos, to no avail. Upon Dennis’ filing of an
administrative complaint, Atty. Ramos
The following acts, among others, constitute
presented a different version each time he
practice of law:
submitted a comment. One version alleged that
1. Giving legal advice and instructions to
it was, in fact, a disbarred lawyer who filed the
clients to inform them of their rights and
complaint, through a blanket authority that
obligations;
Atty. Ramos’ had previously issued to that

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U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
disbarred lawyer to sign on Atty. Ramos behalf. thorough sincerity, integrity, and
Can Atty. Ramos be held administratively liable reliability;
for the disbarred lawyer’s action?
3. A relation to the client in the highest degree
A: YES. Atty. Ramos’ act of allowing persons other fiduciary; and
than himself to use his signature in signing papers
and pleadings, in effect, allowed non-lawyers to 4. A relation to colleagues at the bar
practice law. Worse, he failed to display or even characterized by candor, fairness, and
manifest any zeal or eagerness to unearth the truth unwillingness to resort to current business
behind the events which led to his involvement in methods of advertising and encroachment

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the filing of the unauthorized civil suit, much less to on their practice or dealing directly with
rectify the situation. Clearly, the foregoing acts of their clients. (In Re: Sycip, G.R. No. X92-1, 30
Atty. Rivera constituted violations of the Code of July 1979)

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Professional Responsibility, particularly Rule 9.01,
Canon 9, Rule 1.10, Canon 1, and Rule 10.01, Canon 2. QUALIFICATIONS FOR ADMISSION TO THE

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10. (Hernando Petelo v. Atty. Socrates Rivera, A.C. No. BAR (Bar Matter No. 1153)
10408, 16 Oct. 2019, as penned by J. Hernando)

Admission to Philippine Bar

c) LAW AS A PROFESSION, NOT A BUSINESS OR
TRADE

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Passing the Bar examination is not sufficient for
admission of a person to the Philippine Bar. He or
The legal profession is not a business. It is not a
she still has to take the oath of office and sign the

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moneymaking trade similar to that of a
Roll of Attorneys as prerequisites to admission.
businessman employing a strategy for monetary
gain. It is a sacred profession imbued with public
Requirements for Admission to the Bar
interest whose primary objective is public service,

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as it is an essential part in the administration of
Under Secs. 2, 5, and 6 of Rule 138, the applicant
justice and a profession in pursuit of which
must be: (C21-GRENA)

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pecuniary reward is considered merely incidental.
The practice of law is a noble calling in which
1. Citizen of the Philippines;
emolument is a by-product, and the highest

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2. At least 21 years of age;
eminence may be attained without making much
3. Of Good moral character;
money. (Burbe v. Atty. Magulta, AC No. 99-634, 10
4. A Resident of the Philippines;

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June 2002)

5. Must produce before the SC satisfactory

The primary characteristics which distinguish
Evidence of good moral character;
the legal profession from business

6. No charges against him, involving moral

The primary characteristics which distinguish the
turpitude, have been filed or are pending in
legal profession from business are the following:
any court in the Philippines; (Sec. 2, Rule
138, ROC)
1. A duty of public service, of which
emolument is a by-product, and in which
7. Must have complied with the Academic
one may attain the highest eminence
requirements;
without making much money;
8. Pass the bar examinations;
9. Take the Lawyer’s Oath; and
2. A relation as officer of the court to the
10. Sign the Roll of Attorneys.
administration of justice involving

U N IV E R S I T Y O F S A N T O T O M A S 2
2023 GOLDEN NOTES
 I. LEGAL ETHICS
Academic Requirements
1. Pre-Law – pursued and satisfactorily
completed in an authorized and recognized
university or college, requiring for
admission thereto the completion of a four-
year high school course, the course of study
prescribed therein for a bachelor’s degree
in arts or sciences. (Sec. 6, Rule 138, ROC)
NOTE: Pursuant to the power of the Legal
Education Board (LEB) to prescribe the
minimum standards for law admission
under Sec. 7(e) of R.A. No. 7662 or the “Legal
Education Reform Act of 1993,” the LEB
required the PhiLSAT as a prerequisite for
admission to the basic law courses leading
to either a Bachelor of Laws or Juris Doctor
degree beginning school year 2017 – 2018.
However, in Pimentel v. LEB (G.R. Nos.
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230642 & 242954, 10 Sept. 2019), LEB
Memorandum Circular (LEBMC) No. 18-
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2018 which prescribes the passing of
PhiLSAT as a prerequisite for admission to
law schools has been permanently enjoined
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by the Supreme Court. The regular
admission of students who were
conditionally admitted and enrolled is left
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to the discretion of the law schools in the
exercise of their academic freedom.
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2. Law proper - satisfactorily completed the
following courses in a law school or
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university duly recognized by the
government:
a. Civil law;
b. Commercial law;
c. Remedial law;
d. Criminal law;
e. Public and private international law;
f. Political law;
g. Labor and social legislation;
h. Medical jurisprudence;
i. Taxation;
j. Legal ethics; and
k. Clinical legal education program
(CLEP). (Sec. 5, Rule 138, RRC)
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The 5-Strike Rule is Lifted
Under the 5-strike rule, a bar candidate shall be
disqualified after failing thrice. The candidate may
take a 4th or 5th examination if he successfully
completes a one-year refresher course for each
examination.
On 03 Sept. 2013, the Supreme Court resolved to
LIFT the 5-strike rule on bar repeaters, provided
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that the candidates have enrolled in and passed in
regular fourth-year review classes and attended a
pre-bar review course every time they take the Bar
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Examinations after failing for the third time, under
a curriculum prepared by the LEB and in law
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schools accredited by it for that purpose. This took
effect during the 2014 Bar Examinations.
Requirements for Admission of a Filipino Citizen
Who Graduated from a Foreign Law School
He may be admitted to the bar only upon
submission to the Supreme Court certifications
showing:
1. Completion of all courses leading to the
degree of Bachelor of Laws or its equivalent
degree;
2. Recognition or accreditation of the law
school by the proper authority;
3. Completion of all 4th-year subjects in the
Bachelor of Laws academic program in a
law school duly recognized by the
Philippine Government; and
4. Present proof of completing a separate
bachelor’s degree.
NOTE: A Filipino citizen who completed and
obtained his or her degree in Bachelor of Laws or its
equivalent in a foreign law school must also present
proof of completion of a separate bachelor’s degree.
(Bar Matter No. 1153, Re: Letter of Atty. Estelito P.
Mendoza Proposing Reforms in the Bar Examinations
through Amendments to Rule 138 of the Rules of
Court (ROC), 09 Mar 2010).
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Q: Ching was born on April 1964 to a Filipino
mother and Chinese father. Because of questions
concerning his citizenship, he was only
conditionally allowed to take the bar
examinations. Upon passing the bar, he was
required to present further proof of citizenship
and was not allowed to take the Oath. Can he
elect Philippine citizenship, 14 years after
reaching the age of majority (required under the
1935 Constitution), and thereafter be qualified
to become a lawyer?
A: NO. Ching is not qualified to be a lawyer for
having elected Philippine citizenship 14 years after
reaching the age of majority. Ching offered no
reason why he delayed the election of Philippine
citizenship. The procedure is not a tedious process.
All that is required is to execute an affidavit and file
the same in the nearest registry. (In Re: Application
for Admission to the Philippine Bar of Vicente Ching,
B.M. 914, 01 Oct. 1999)
Q: Atty. Melendrez filed a petition to disqualify
Meling from taking the bar exams and to impose
disciplinary penalty as a member of the Shari'a
Bar. He alleged that in his application to take the
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bar, Meling failed to disclose that he has three
pending criminal cases. Also, Meling has been
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using the title “Attorney" in his communications
as secretary to the Mayor. Should Meling be
disqualified from being admitted to the Bar?
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A: YES. Meling's deliberate silence and non-
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revelation of his pending criminal cases constitute
concealment. The disclosure requirement is
imposed to determine whether there is satisfactory
evidence of good moral character of the applicant.
By concealing the existence of such cases, the
applicant flunks the test of fitness if the cases are
ultimately proven unwarranted or insufficient to
impugn or affect the good moral character of the
applicant.
Further, it was highly improper for Meling, as
member of the Shari'a Bar, to use the title
"Attorney." Only members of the Philippine Bar,
who have obtained the necessary degree in the
study of law and successfully passed the bar exams,
been admitted to the IBP and remain members in
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
good standing are authorized to practice law and,
thus, use the title. (In Re: Disqualification of Bar
Examinee Haron S. Meling, B.M. No. 1154, 08 June
2004)
Q: Argosino passed the bar examinations in
1993. The Court, however, deferred his oath
taking due to his previous conviction for
Reckless Imprudence Resulting in Homicide.
The criminal case, which resulted in Argosino’s
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conviction, arose from the death of a neophyte
during fraternity initiation rites. Various
certifications showed that he is a devout
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Catholic with a genuine concern for civic duties
and public service. Also, it has been proven that
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Mr. Argosino has exerted all efforts to atone for
the death of Raul. Should Argosino be allowed to
take his lawyer's oath?
A: YES. The practice of law is a privilege granted
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only to those who possess the strict intellectual and
moral qualifications required of lawyers who are
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instruments in the effective and efficient
administration of justice. The Supreme Court
recognized that Argosino is not inherently of bad
moral fiber given the various certifications that he is
a devout Catholic with a genuine concern for civic
duties and public service and that it has been proven
that he has exerted all efforts to atone for the death
of Raul, and the court gave him the benefit of the
doubt, taking judicial notice of the general tendency
of youth to be rash, temerarious and uncalculating.
(Re: Petition of Al Argosino to Take the Lawyer’s
Oath, B.M. No. 712, 19 Mar. 1997)
3. CONTINUING REQUIREMENTS FOR
MEMBERSHIP IN THE BAR
GOOD MORAL CHARACTER
Good Moral Character is a Continuing
Requirement
The nature of the office of an attorney requires that
a lawyer shall be a person of good moral character.
Since this qualification is a condition precedent to a
license to enter upon the practice of law, the
maintenance thereof is equally essential during the
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 I. LEGAL ETHICS
continuance of the practice and the exercise of the Derivative Citizenship
privilege. (Grande v. Atty. De Silva, A.C. No. 4838, 29
July 2003) The unmarried child, whether legitimate,
illegitimate or adopted, below 18 years of age, of
General Purposes of the Good Moral Character those who re-acquire Philippine citizenship are
Requirement (P-I-P-E) deemed citizens of the Philippines. (Sec. 4, R.A. No.
9225)
1. To protect the Public;
2. To protect the public Image of lawyers; 4. APPEARANCE OF NON-LAWYERS
3. To protect Prospective clients; and

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4. To protect Errant lawyers from themselves.
a) LAW STUDENT PRACTICE RULE (Rule 138-A,
as amended by A.M. No. 19-03-24-SC)
NOTE: Each purpose is as important as the other.

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(Garrido v. Attys. Garrido and Valencia, A.C. No. 6593,
Law Student Practice Rule
04 Feb 2010)

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A law student who has successfully completed his
CITIZENSHIP
3rd of the regular four (4)-year prescribed law
curriculum and is enrolled in a recognized law
The practice of law is a privilege denied to
school's CLEP approved by the Supreme Court, may
foreigners. The requirement of Filipino citizenship

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appear without compensation in any civil, criminal
and of residence in the Philippines is neither harsh
or administrative case before any trial court,
nor unreasonable, but it is based on wise and sound
tribunal, board or officer, to represent indigent

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principles of public policy, which takes into account
clients accepted by the legal clinic of the law school.
the close connection of the practice of law with the
(Sec. 1, Rule 138-A)
administration of justice and the other branches of
the government. (Agpalo, 2009)

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The appearance of the law student authorized by
this rule shall be under the direct supervision and
Reacquisition of the Privilege to Practice Law in
control of a member of the Integrated Bar of the

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the Philippines under R.A. No. 9225
Philippines duly accredited by the law school. Any
and all pleadings, motions, briefs, memoranda, or
Any provision of law to the contrary

T
other papers to be filed must be signed by the
notwithstanding, natural-born citizens by reason of
supervising attorney for and in behalf of the legal
their naturalization as citizens of a foreign country
clinic. (Sec. 2, Rule 138-A, ROC)
are hereby deemed to have re-acquired Philippine

A
citizenship upon taking the following oath of
NOTE: The law student shall comply with the
allegiance to the Republic:
standards of professional conduct governing
members of the Bar. Failure of an attorney to
"I _____________________, solemnly swear (or affirm)
provide adequate supervision of student practice
that I will support and defend the Constitution of the
may be a ground for disciplinary action. (Circular
Republic of the Philippines and obey the laws and
No. 19, 19 Dec. 1986)
legal orders promulgated by the duly constituted
authorities of the Philippines; and I hereby declare
REVISED LAW STUDENT PRACTICE RULE
that I recognize and accept the supreme authority of
the Philippines and will maintain true faith and
The Supreme Court en banc, on 25 June 2019,
allegiance thereto; and that I imposed this
adopted and promulgated A.M. No. 19-03-24-SC
obligation upon myself voluntarily without mental
Rule 138-A Law Student Practice, otherwise known
reservation or purpose of evasion." (Sec. 3, R.A. No.
as the Revised Law Student Practice Rule (Revised
9225)
Rule). The Revised Rule is an amendment to the

5
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
existing provisions of Rule 138-A of the ROC. A
salient feature of the Revised Rule is that a law
student must now be certified to be able to engage
in the limited practice of law.
NOTE: This rule shall take effect at the start of the
Academic Year 2020-2021 following its publication
in two newspapers of general circulation.
Under Sec. 3 of the Revised Rule, a law student shall
apply for and secure a Level 1 or 2 Certification, as
the case may be, in order to be permitted to engage
in any of the activities under the CLEP of a law
school. The basic distinction between the two levels
involves the minimum academic requirement the
law student has successfully completed: for Level 1
Certification – first-year law courses, while for Level
2 Certification – third-year law courses.
Practice Area of Law Student Practitioners
Subject to the supervision and approval of a
supervising lawyer, a certified law student
practitioner may:
For Level 1 Certification: (LANDI-AQ)
N
1. Interview prospective clients;
E
2. Give legal Advice to the client;
3. Negotiate for and on behalf of the client;
T
4. Draft legal documents such as affidavits,
compromise agreements, contracts,
A
demand letter, position papers, and the
like;
5. Represent eligible parties before Quasi-
judicial or administrative bodies;
6. Provide public Legal orientation; and
7. Assist in public interest advocacies for
policy formulation and implementation.
For Level 2 Certification:
1. Perform all activities under Level 1
Certification;
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
2. Assist in the taking of depositions and/or
preparing judicial affidavits of witnesses;
3. Appear on behalf of the client at any stage
of the proceedings or trial, before any court,
quasi-judicial or administrative body;
4. In criminal cases, subject to the provisions
of Sec. 5, Rule 110 of the ROC, to appear on
behalf of a government agency in the
W
prosecution of criminal actions; and
5. In appealed cases, to prepare the pleadings
A
required in the case.
L
Q: Alex filed before the MeTC a formal Entry of
Appearance as private prosecutor in a criminal
case for Grave Threats where his father was the
complainant. Describing himself as a third-year
law student, he justified his appearance as
O
private prosecutor on the basis of Sec. 34 of Rule
138 of the Rules of Court. However, the MeTC
E
denied his request on the ground that Circular
No. 19 governing limited law student practice in
conjunction with Rule 138-A should take
precedence over the ruling of the Court that a
non-lawyer may appear before the inferior
courts as an agent or friend of a party litigant.
Was the denial of the court proper?
A: NO. In a Resolution (B.M. No. 730, 10 June 1997),
the Court En Banc clarified that the rule, however, is
different if the law student appears before an
inferior court, where the issues and procedure are
relatively simple. In inferior courts, a law student
may appear in his personal capacity without the
supervision of a lawyer. As provided for in Sec. 34,
Rule 138, “a law student may appear before an
inferior court as an agent or friend of a party
without the supervision of a member of the bar.”
Petitioner expressly anchored his appearance on
Sec. 34 of Rule 138. The court must have been
confused when petitioner referred to himself as a
law student in his entry of appearance. Rule 138-A
should not have been used by the courts a quo in
denying permission to act as private prosecutor
against petitioner for the simple reason that Rule
138-A is not the basis for petitioner’s appearance.
(Cruz v. Mina, et al., G.R. No. 154207, 27 Apr. 2007)
6
 I. LEGAL ETHICS
Q: Ferdinand Cruz sought permission to enter
his appearance for and on his behalf before the
RTC as the plaintiff in a Civil Case for Abatement
of Nuisance. Cruz, a 4th year law student,
anchors his claim on Sec. 34 of Rule 138 of the
Rules of Court that a non-lawyer may appear
before any court and conduct his litigation
personally. Judge Mijares denied the motion
with finality. In the same Order, the trial court
held that for the failure of Cruz to submit the
promised document and jurisprudence and for
his failure to satisfy the requirements or
conditions under Rule 138-A of the Rules of
Court, his appearance was denied. Did the court
act with grave abuse of discretion amounting to
lack or excess of jurisdiction when it denied the
appearance of Cruz as party litigant?
A: YES. The law recognizes the right of an individual
to represent himself in any case to which he is a
O
party. The Rules state that a party may conduct his
litigation personally or with the aid of an attorney,
E
and that his appearance must either be personal or
by a duly authorized member of the Bar. The
individual litigant may personally do everything in
N
the course of the proceedings, from commencement
to the termination of the litigation. Cruz, as plaintiff,
at his own instance, can personally conduct the
E
litigation of his case. He would then be acting not as
a counsel or lawyer, but as a party exercising his
T
right to represent himself.
The trial court must have been misled by the fact
A
that Cruz is a law student and must, therefore, be
subject to the conditions of the Law Student Practice
Rule. It erred in applying Rule 138-A, when the basis
of Cruz's claim is Sec. 34 of Rule 138. The former
rule provides for conditions when a law student
may appear in courts, while the latter rule allows
the appearance of a non-lawyer as a party
representing himself. (Cruz v. Mijares, et al., G.R. No.
154464, 11 Sept. 2008)
7
b) NON-LAWYERS IN COURTS AND/OR
ADMINISTRATIVE TRIBUNALS
IN COURTS
GR: Only those who are licensed to practice law can
appear and handle cases in court.
XPNs:
1. Law student practice;
W
2. Cases before MTC;
A
NOTE: A party to the litigation may conduct
his own case or litigation in person, with
L
the aid of an agent or friend appointed by
him for that purpose. (Sec. 34, Rule 138,
Rules of Court (ROC))
Sec. 34, Rule 138 of the Revised ROC
expressly allows pro se litigation.
(Antiquiera, 1992)
3. Before any other court, a party may
conduct his litigation personally. But if he
gets someone to aid him, that someone
must be an authorized member of the Bar.
(Sec. 34, Rule 138, Supra)
4. Criminal case before MTC in a locality
where a duly licensed member of the Bar is
not available, the judge may appoint a non-
lawyer;
5. In administrative tribunals;
NOTE: Non-lawyers can represent parties
in administrative tribunals such as NLRC
qualified by the Labor Code, DARAB, and
Cadastral Courts; and
6. Any official or other person appointed or
designated to appear for the Government of
the Philippines in accordance with the law.
Such person shall have all the rights of a
duly authorized member of the bar to
appear in any case in which said
government has an interest direct or
indirect. (Sec. 33, Rule 138, ROC)
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Party’s Right to Self-Representation
A party’s representation on his own behalf is not
considered to be a practice of law as one does not
practice law by acting for himself, any more than he
practices medicine by rendering first aid to himself.
(Maderada v. Mediodea, A.M. No. MTJ-02-1459, 14
Oct. 2003)
Therefore, a person can conduct the litigation of the
cases personally. He is not engaged in the practice
of law if he represents himself in cases in which he
is a party. By conducting the litigation of his own
cases, he acts not as a counsel or lawyer but as a
party exercising his right to represent himself.
Certainly, he does not become a counsel or a lawyer
by exercising such right. (Santos v. Judge Lacurom,
A.M. No. RTJ-04- 1823, 28 Aug. 2006)
Party-Litigant representing Themselves
O
a. In civil cases, an individual litigant has the
E
right to conduct his litigation personally;
b. In criminal cases, in grave and less grave
offenses, an accused who is a layman must
N
always appear by counsel; and
E
c. In criminal cases in light offenses, a party-
litigant can represent themselves.
T
NOTE: Where an accused, unbeknownst to him, was
not duly represented by a member of the Bar during
A
trial, the judgment should be set aside and the case
remanded to the trial court for a new trial. (People v.
Santocildes, Jr., G.R. No. 109149, 21 Dec. 1999)
When the party-litigant is a juridical person
GR: it must always appear in court through a duly
licensed member of the bar.
XPN: Except before MTC where it may be
represented by its agent or officer who need not be
a lawyer.
U N IV E R S I T Y O F S A N T O T O M A S 8
2023 GOLDEN NOTES
Limitations on the Appearance of Non-Lawyers
1. He should confine his work to non-
adversarial contentions;
2. He should not undertake purely legal work,
such as the examination or cross-
examination of witnesses, or the
presentation of evidence;
W
3. His services should not be habitually
rendered; and
A
4. He should not charge or collect attorney’s
fees. (PAFLU v. Binalbagan Isabela Sugar
L
Co., G.R. No. L-23959, 29 Nov. 1971)
IN ADMINISTRATIVE TRIBUNALS
Under the Labor Code
Under the Labor Code (LC), non-lawyers may
appear before the NLRC or any Labor Arbiters
(LAs), if:
1. They represent themselves;
2. They represent their organization or
members thereof; (Art. 222, PD 442, as
amended) (2002 BAR) or
3. If they are duly accredited members of any
legal aid office duly recognized by the
Department of Justice (DOJ), or the IBP in
cases referred to by the latter.
NOTE: He is not, however, entitled to attorney’s fees
under Art. 222 of the LC for not being a lawyer. (Five
J. Taxi v. NLRC, G.R. No. 111474, 22 Aug. 1994)
Under the Cadastral Act
Under the Cadastral Act, a non-lawyer can represent
a claimant before the Cadastral Court. (Sec. 9, Act No.
2259)
 I. LEGAL ETHICS
c) PROCEEDINGS WHERE LAWYERS ARE
PROHIBITED TO APPEAR AS COUNSELS
PROCEEDINGS BEFORE THE
SMALL CLAIMS COURT
No attorney shall appear on behalf of or represent a
party at the hearing, unless the attorney is the
plaintiff or defendant. (Sec. 17, Rule of Procedure for
Small Claims Cases)
NOTE: If the court determines that a party cannot
properly present his/her claim or defense and
needs assistance, the court may, in its discretion,
allow another individual who is not an attorney to
assist that party upon the latter’s consent. (Sec. 17,
Rule of Procedure for Small Claims Cases)
PROCEEDINGS BEFORE THE KATARUNGANG
PAMBARANGAY
O
During the pre-trial conference under the Rules of
E
Court, lawyers are prohibited from appearing for
the parties. Parties must appear in person only
except minors or incompetents who may be assisted
N
by their next of kin who are not lawyers. (P.D. No.
1508, Formerly Sec. 9; Local Government Code of
1991, R.A. 7160, Sec. 415)
E
5. PROHIBITED PRACTICE OF NON-LAWYERS
T
AND APPEARANCE WITHOUT AUTHORITY
A person assuming to be an attorney or an officer of
A
a court, and acting as such without authority may be
held liable for indirect contempt of court. (Sec. 3(e),
Rule 71, ROC)
Corruptly or willfully appearing as an attorney for a
party to a case without authority to do so is a ground
for disbarment or suspension. (Sec 27 of Rule 138
and Sec. 3(e) of Rule 71, ROC)
Q: Eric, a labor federation president,
represented Luisa, a dismissed WXT employee,
before the NLRC. Atty. John represented Luisa's
two co-complainants. In due course, the NLRC
reinstated the three complainants with
backwages and awarded 25% of the backwages
9
as attorney’s fees, 15% for Atty. John and 10%
for Eric, a non-lawyer. When WXT appealed to
the CA, Atty. John questioned Eric’s continued
appearance before that court on Luisa’s behalf,
he not being a lawyer. Is Eric's appearance
before the CA valid? (2011 BAR)
A: NO. The practice of law is only reserved for those
qualified for the same. Eric’s appearance in court on
behalf of another is not sanctioned by the rules. A
W
non-lawyer may only be allowed to appear in court
if he is representing himself, not that of another.
(Sec. 34, Rule 138, RRC)
A
Q: Kanlaon Construction and Reluya et al. cases
L
were assigned before two labor arbiters.
Without written authority to represent Kanlaon
Construction, the engineers, who were co-
defendants of Kanlaon, admitted the complaints
against them. Consequently, the labor arbiters
adjudicated the case in favor of Reluya et al. Can
the engineers represent their co-defendant in
the labor cases?
A: NO. The appearance of the engineers on behalf of
Kanlaon Construction required written proof of
authorization. It was incumbent upon the arbiters to
ascertain his authority especially since both
engineers were named co-respondents in the cases
before the arbiters. Absent this authority, whatever
statements, and declarations the engineers made
before the arbiters could not bind Kanlaon.
Nevertheless, even assuming that if the engineers
were authorized to appear as representatives of
Kanlaon, they could bind the latter only in
procedural matters before the arbiters and the
Commission. Kanlaon's liability arose from
engineer’s alleged promise to pay. A promise to pay
amounts to an offer to compromise and requires a
special power of attorney or the express consent of
Kanlaon. The authority to compromise cannot be
lightly presumed and should be duly established by
evidence. (Kanlaon Construction v. NLRC, G.R. No.
126625, September 18, 1997)
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES

6. PUBLIC OFFICIALS AND THE PRACTICE OF apply in connection with any matter before
LAW the office he used to be with.

Misconduct in the Discharge of Official Duties as

Public Officials
Government Official

Includes elective or appointive officials and

GR: It is NOT disciplinable.
employees, permanent or temporary, whether in
the career or non-career service, including military
XPN: He may be disciplined if misconduct is of such
and police personnel, whether or not they receive
a character as to affect his qualification as a lawyer

W
compensation, regardless of amount. (Sec. 3 (b), R.A.
to show moral delinquency. (Gonzales-Austria v.
No. 6713, Code of Conduct and Ethical Standards for
Abaya, A.M. No. R-705-RTJ, 23 Aug. 1989)
Public Officials and Employees).

A
Q: After the Supreme Court suspended Atty.
Prohibited Acts or Omissions of Public Officers
Baliga from the practice of law, the Commission

L
on Human Rights (CHR) suspended him from his
1. Accepting or having any member of his
position as Director/Attorney VI of the CHR
family accept employment in a private
Region II. According to the CHR, Atty. Baliga's
enterprise which has pending official
suspension from the practice of law "prevented
business with him during the pendency
him from assuming his post as Regional Director

O
thereof or within one year after
for want of eligibility in the meantime that his
termination; (Sec. 3(d), R.A. No. 3019)
authority to practice law is suspended."

E
2. Own, control, manage or accept
Atty. Baliga argued that he cannot be suspended
employment as officer, employee,
for acts not connected with his functions as CHR
consultant, counsel, broker, agent, trustee

N
Regional Director. According to Atty. Baliga, his
or nominee in any private enterprise
suspension from the practice of law did not
regulated, supervised or licensed by their
include his suspension from public office. Is
office, unless expressly allowed by law;

E
Atty. Baliga correct?
(Sec. 7(b), R.A. No. 6713)

A: NO. Work in government that requires the use of

T
3. A lawyer shall not, after leaving
legal knowledge is considered practice of law. The
government service, accept engagement or
CHR is an independent office created under the
employment in connection with any matter

A
Constitution with power to investigate "all forms of
in which he had intervened while in said
human rights violations involving civil and political
service (Rule 6.03, Code of Professional
rights.” It is divided into regional offices with each
Responsibility (CPR)); and
office having primary responsibility to investigate
human rights violations in its territorial jurisdiction.
4. A lawyer should not accept employment as
Each regional office is headed by the Regional
an advocate in any matter upon the merits
Director who is given the position of Attorney VI.
which he has previously acted in a judicial
capacity. (Canon 36, Canons of Professional
The exercise of the powers and functions of a CHR
Ethics (CPE))
Regional Director constitutes practice of law. Thus,
the Regional Director must be an attorney who is a
NOTE: These prohibitions shall continue to
member of the bar in good standing and authorized
apply for a period of one (1) year after
to practice law. When the Regional Director loses
resignation or separation from public
this authority, such as when he or she is disbarred
office. The one-year prohibition shall also
or suspended from the practice of law, the Regional
Director loses a necessary qualification to the

U N IV E R S I T Y O F S A N T O T O M A S 10
2023 GOLDEN NOTES
 I. LEGAL ETHICS
position he or she is holding. The disbarred or
suspended lawyer must desist from holding the
position of Regional Director. (Lingan v. Atty.
Calubaquib, A.C. No. 5377, 30 June 2014)
a) PROHIBITIONS AND DISQUALIFICATIONS OF
FORMER GOVERNMENT ATTORNEYS
Prohibition or Disqualification of Former
Government Attorneys
Purposes of the Disqualification
1. Preserve public trust in a public office;
2. Avoid conflict of interests or a possibility
thereof; and
3. Assure the people of impartiality in the
performance of public functions and
thereby promote the public welfare
ABSOLUTE PROHIBITION

W
A lawyer shall not, after leaving government service, Public Officials Not Allowed to Engage in Law
accept engagement or employment in connection Practice

A
with any matter in which he had intervened while in
said service. (Rule 6.03, Canon 6, CPR) 1. Judges and other officials and employees of

L
the Supreme Court; (Sec. 35, Rule 148, RRC)
NOTE: The intervention must be substantial and
significant. (PCGG v. Sandiganbayan, G.R. Nos. 2. Officials and employees of the OSG; (Ibid.)
151809-12)
3. Government Prosecutors; (People v.

O
Reason for the Prohibition Villanueva, G.R. No. L-19450, 27 May 1965)

E
The evil sought to be avoided by this provision is the 4. President, Vice-President, Members of the
possibility of a lawyer who just retired, resigned or Cabinet, their deputies, and assistants; (Sec.
separated from the government of using his 13, Art VII, 1987 Constitution)

N
influence for his own private benefit. (Antiquiera,
1992) 5. Members of the Constitutional
Commission; (Sec. 2, Art IX-A, 1987

E
NOTE: Violation of restriction is tantamount to Constitution)
representing conflicting interests. (Pineda, 2009)

T
6. Civil Service Officers or employees whose
b) PUBLIC OFFICIALS WHO CANNOT PRACTICE duties and responsibilities require that
LAW OR CAN PRACTICE LAW WITH their entire time be at the disposal of the

A
RESTRICTIONS government; (Ramos v. Rada, A.M. No. 202,
22 July 1975)
GR: The appointment or election of an attorney to a
government office disqualifies him from engaging in 7. Ombudsman and his deputies; (Sec. 8(2),
the private practice of law. (Ziga v. Arejola, A.M. No. Art. IX, 1987 Constitution)
MTJ-99-1203, 10 June 2003)
8. All governors, city and municipal mayors;
REASON: A public office is a public trust, and a (Sec. 90, R.A. No. 7160) and
public officer or employee is obliged not only to
perform his duties with the highest degree of 9. Those prohibited by special laws.
responsibility, integrity, loyalty, and efficiency but
also with exclusive fidelity. (Ziga v. Arejola, A.M. No. RELATIVE PROHIBITION
MTJ-99-1203, 10 June 2003)
1. No Senator or member of the House of
Representatives may personally “appear” as
counsel before any court of justice or

11
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
before the Electoral Tribunals, or quasi-
judicial and other administration bodies.
(Sec. 14, Art. VI, 1987 Constitution).
NOTE: What is prohibited is to “personally
appear” in court and other bodies. The
word “appearance” includes not only
arguing a case before any such body but
also filing a pleading on behalf of a client as
“by simply filing a formal motion, plea, or
answer.”
2. Under the Local Government Code (LGC),
Sanggunian members may practice their
professions provided that if they are
members of the Bar, they shall NOT:
a. Appear as counsel before any court in
any civil case wherein a local
government unit (LGU) or any office,
agency, or instrumentality of the
government is the adverse party;
b. Appear as counsel in any criminal case
wherein an officer or employee of the
national or local government is
N
accused of an offense committed in
relation to his office;
E
c. Collect any fee for their appearance in
administrative proceedings involving
T
the local government unit of which he
is an official; or
A
d. Use property and personnel of the
government except when the
Sanggunian member concerned is
defending the interest of the
government. (Sec. 91, RA 7160)
3. Under Sec. 1, R.A. 910, as amended, a retired
justice or judge receiving pension from the
government, cannot act as counsel:
a. In any civil case in which the
Government, or any of its subdivision
or agencies is the adverse party; or
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
b. In a criminal case wherein an officer or
employee of the Government is
accused of an offense in relation to his
office; nor
c. Collect any fees for his appearance in
any administrative proceedings to
maintain an interest adverse to the
government, provincial or municipal,
or to any of its legally constituted
W
officers. (Sec. 1, R.A. 910)
4. Civil service officers and employees
A
without permit from their respective
department heads. (Noriega v. Sison, A.M.
L
No. 2266, 27 Oct. 1983)
5. A former government attorney cannot,
after leaving government service, accept
engagement or employment in connection
O
with any matter in which he had intervened
while in the said service. (Rule 6.03, CPR)
E
Q: Atty. Sagucio was the former Personnel
Manager and Retained Counsel of Taggat
Industries Inc. until his appointment as
Assistant Provincial Prosecutor of Tuguegarao.
Taggat Industries was sequestered by the PCGG
and ceased its operations. As Assistant
Provincial Prosecutor, he was assigned to
conduct the preliminary investigation over a
criminal case filed against Taggat Industries. He
recommended the filing of 651 Informations for
violation of the Labor Code. He was then charged
for violating Rule 15.03 of the CPR and for
defying the prohibition against private practice
of law while working as government prosecutor.
Is Atty. Sagucio guilty of engaging in private
practice of law while working as an Assistant
Provincial Prosecutor?
A: YES. “Private practice of law” contemplates a
succession of acts of the same nature habitually or
customarily holding oneself to the public as a
lawyer. Atty. Sagucio admitted that he rendered his
legal services to complainant while working as a
government prosecutor. Even the receipts he signed
stated that the payments by Taggat were for
"Retainer’s fee.” Thus, Atty. Sagucio clearly violated
12
 I. LEGAL ETHICS
the prohibition in R.A. No. 6713 or the Code of
Conduct and Ethical Standards for Public Officials
and Employees. Atty. Sagucio’s violation of the law
also constitutes a violation of Rule 1.01 of Canon 1,
which mandates that “a lawyer shall not engage in
unlawful, dishonest, immoral or deceitful conduct.”
His admission that he received fees from Taggat for
legal services while serving as a government
prosecutor is unlawful conduct, which constitutes a
violation of Rule 1.01. (Lim-Santiago v. Sagucio, A.C.
No. 6705, 31 Mar. 2006)
NOTE: Violations of R.A. No. 6713 are not subject to
disciplinary action under the CPR unless the
violations also constitute infractions of specific
provisions of the CPR.
Q: Atty. Eliseo represented Allan in a collection
suit against the Philippine Charity Sweepstakes
Office (PCSO). After Atty. Eliseo’s election as
O
Sangguniang Bayan member, the court rendered
a decision in PCSO’s favor. Still, Atty. Eliseo
E
appeared for Allan in the latter’s appeal,
prompting the PCSO to question his right to do
so. In response, Atty. Eliseo claimed that the LGC
N
authorizes him to practice law provided that it
does not conflict with his duties. Is Atty. Eliseo
correct? (2011 BAR)
E
A: NO. He cannot appear against a government
T
instrumentality in a civil case. Sec. 90(1) of the LGC
provides that sanggunian members who are also
members of the Bar shall not appear as counsel
A
before any Court in any civil case wherein an LGU or
any office, agency, or instrumentality of the
government is the adverse party. It is clear from the
said provision that Atty. Eliseo’s election to the
sanggunian bars him from the appeal proceedings,
as the PCSO is the adverse party.
Q: Atty. Dude is the COMELEC Officer in a distant
municipality. He is the only lawyer in that area.
When election period is over, he has spare time.
Many people go to him for counseling, legal
advice, preparation of documents of sale,
mortgage and the like. He does not charge a fee
in money, but he receives gifts which are
offered. Is there impropriety? (2012 BAR)
13
A: YES. Under Sec. 2, Art IX-A, 1987 Constitution,
members of the Constitutional Commission, during
his tenure, are absolutely prohibited from engaging
in the practice of law. Applying the doctrine in
Cayetano v. Monsod (G.R. No. 100113, 03 Sept. 1991),
giving legal advice and preparing legal documents,
even if free, constitutes private practice of law,
which is prohibited for government employees.
NOTE: While certain local elective officials (like
W
governors, mayors, provincial board members and
councilors) are expressly subjected to a total or
partial proscription to practice their profession or
A
engage in any occupation, no such interdiction is
made on punong barangay and the members of the
L
Sangguniang Barangay. Expressio unius est exclusio
alterius. Since they are excluded from any
prohibition, the presumption is that they are
allowed to practice their profession. However, he
should procure prior permission or authorization
from the head of his or her department, as required
by the Civil Service Regulations. (Catu v. Rellosa, A.C.
No. 5738, 19 Feb. 2008)
Practice of law by the clerk of court
GR: The practice of law by a clerk of court is not
allowed, except isolated practice.
XPNs:
1. Written permission which must be
approved by the Supreme Court; and
2. Approved leave of absence with justifiable
reasons.
7. LAWYERS AUTHORIZED TO REPRESENT THE
GOVERNMENT
The following are the lawyers authorized to
represent the government
1. Office of the Solicitor General (OSG);
2. Legal officer; and
3. Office of the Government Corporate
Counsel (OGCC).
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
OFFICE OF THE SOLICITOR GENERAL (OSG)
for the National Government, and any person
appointed to appear for the government of the
Philippines in accordance with law. (Sec. 33, Rule
138, ROC)
Duties of the Solicitor General
The Solicitor General, in his discretion, may pursue
any of the following actions in criminal cases:
a. To prosecute;
b. Not to prosecute;
c. To abandon a prosecution already started;
or
d. To take a position adverse to the People of
the Philippines in a criminal case or to that
of a government agency or official, when he
believes that justice will be served by
taking a different stand.
NOTE: The Solicitor General, in his discretion, may
pursue to take a position adverse to the People of
the Philippines in a criminal case or to that of a
government agency or official, when he believes
N
that justice will be served by taking a different
stand, in criminal cases.
E
Duty of the OSG to Represent Whereby Two
Government Agencies are in Conflict
T
It is incumbent upon the OSG to present to the court
A
that which would legally uphold the best interest of
the government. The other government agency
adversely affected, if it believes in the merits of its
case, may appear on its own behalf through its legal
officer or representative.
The OSG is not Authorized to Represent a Public
Official at any stage of a Criminal Case
The accused public official should not expect the
State, through the OSG, to defend him for a wrongful
act which cannot be attributed to the State itself. In
the same light, a public official who is sued in a
criminal case is sued in his personal capacity
because his principal, the State, can never be the
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
author of a wrongful act, much less commit a crime.
(Urbano v. Chavez, G.R. No. 87977, 19 Mar. 1990)
LEGAL OFFICER
for LGUs, they are represented by a legal officer who
provides legal assistance or support to the mayor or
governor and represents the LGU in all civil actions
and special proceedings, wherein the LGU or any of
its officials are involved in an official capacity. (Sec.
W
481, LGC)
NOTE: As a general rule, a municipality cannot
A
engage the services of a private lawyer. Only the
Provincial Prosecutor, the Provincial Attorney or
L
the Municipal Attorney could validly represent a
municipality in all cases/complaints and legal
problems involving it. The reason being that only
accountable public officers (APOs) may act for and
in behalf of public entities and that public fund
O
should not be expended to hire private lawyers.
(DILG Opinion No. 59, s. 2007)
E
OFFICE OF THE GOVERNMENT CORPORATE
COUNSEL (OGCC)
Under the Administrative Code of 1987, the OGCC
shall act as the principal law office of all GOCCs.
Indispensable conditions before a GOCC can hire
a private lawyer
(1) private counsel can only be hired in
exceptional cases;
(2) the GOCC must first secure the written
conformity and acquiescence of the
Solicitor General or the Government
Corporate Counsel, as the case may be; and
(3) the written concurrence of the COA must
also be secured. (Phividec Industrial
Authority v. Capitol Steel Corporation, G.R.
No. 155692, 23 Oct. 2003)
14
 I. LEGAL ETHICS
8. LAWYERS OATH
I, ___________________, of _____________, do solemnly swear
that I will maintain allegiance to the Republic of the
Philippines, I will support the Constitution and obey
the laws as well as the legal orders of the duly
constituted authorities therein; I will do no falsehood,
nor consent to the doing of any in court; I will not
wittingly or willingly promote or sue any groundless,
false or unlawful suit, or give aid nor consent to the
same; I will delay no man for money or malice, and
will conduct myself as a lawyer according to the best
of my knowledge and discretion, with all good fidelity
as well to the courts as to my clients; and I impose
upon myself these voluntary obligations without any
mental reservation or purpose of evasion. So help me
God.
NOTE: Pursuant to the Code of Professional
O
Responsibility and Accountability (CPRA) (A.M. No.
22-09-01-SC, 13 Apr. 2023), a new lawyer’s oath was
launched
E
New Lawyers Oath Under the CPRA
N
“I, ____________, do solemnly swear that I accept the
honor, privilege, duty, and responsibility of practicing
law in the Philippines as an officer of the court in the
E
interest of our people.
T
I declare fealty to the Constitution of the Republic of
the Philippines. In so doing, I shall work towards
promoting the rule of law in a regime of truth, justice,
A
freedom, love, equality, and peace.
I shall conscientiously and courageously work for
justice as well as safeguard the rights and meaningful
freedoms of all persons, identities, and communities. I
shall ensure greater and equitable access to justice.
I shall do no falsehood, nor shall I pervert the law to
unjustly favor or prejudice anyone. I shall faithfully
discharge these duties and responsibilities to the best
of my ability, with integrity and utmost civility.
I impose upon myself without mental reservation nor
purpose of evasion so help me God.”
15
B. DUTIES AND RESPONSIBILITIES OF A
LAWYER UNDER THE CODE OF PROFESSIONAL
RESPONSIBILITY
Four-Fold Duty of a Lawyer Under the Code of
Professional Responsibility (1966, 1979, 1985
BAR)
W
1. To the Public/Society – He must not
undertake any action, which violates his
A
responsibility to the society as a whole; he
must be an example in the community for
his uprightness as a member of the society.
L
The lawyer must be ready to render legal
aid, foster legal reforms, be a guardian of
due process, and be aware of his special
role in solving special problems and be
always ready to lend assistance in the study
and solution of social problems. (Canon 1-6,
CPR)
2. To the Bar/Legal Profession – A lawyer
observes candor, fairness, courtesy and
truthfulness in his conduct towards other
lawyers, avoid encroachment in the
business of other lawyers and uphold the
honor of the profession. (Canon 7-9, CPR)
3. To the Courts – A lawyer must maintain
towards the court a respectful attitude,
defend against unjust criticisms, uphold the
court’s authority and dignity, obey court
orders, processes, and assists in the
administration of justice. (Canon 10-13,
CPR)
4. To the Clients– The lawyer owes entire
devotion to the interest of his client, warm
zeal in the maintenance of the defense of
his rights and exertion of utmost learning
ability to the end that nothing be taken or
withheld from his client except in
accordance with law. He owes a duty of
competent and zealous representation to
the client, and should preserve his client’s
secrets, preserve his funds and property
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
and avoid conflicts of interest. (Canon 14-
22, CPR)
NOTE: The first and most important duty of
a lawyer is his duty to the COURT. The
lawyer is an officer of the court who sets the
judicial machinery with the main mission of
assisting the court in the administration of
justice. His public duties take precedence
over his private duties.
obedience thereto.
NOTE: The portion of Canon 1 which calls for
lawyers to “promote respect for law and for legal
processes” is a call to uphold the Rule of Law. (Funa,
2009)
Q: What is the concept of “Rule of Law”?
A: The “supremacy of the law” provides that

W
decisions should be made by the application of
1. TO SOCIETY known legal principles or laws without the
intervention of discretion in their application.

A
(Black’s Law Dictionary)
Canons 1 to 6:

L
NOTE: A lawyer’s oath to uphold the cause of justice
1. Uphold the Constitution and obey the laws
is superior to his duty to his client; its primacy is
of the land and legal processes.
indisputable. (Cobb-Perez v. Lantin, G.R. No. L-22320,
29 July 1968)
2. Make legal services available in an efficient

O
and convenient manner.
Q: Atty. Tansingco was a notary public who
prepared and notarized an Occupancy
3. Use true, honest, fair, dignified and

E
Agreement at the request of Mr. Stier, the owner
objective information in making known
and long-time resident of a real property located
legal services.
in Cubao. Since Mr. Stier is a U.S. Citizen and

N
thereby disqualified to own real property in his
4. Participate in the improvement of the legal
name, he agreed that the property be
system.
transferred in the name of Mr. Donton, a

E
Filipino. Donton averred that Atty. Tansingco’s
5. Keep abreast of legal development and
act of preparing the Occupancy Agreement,
participate in the continuing legal
despite knowledge that Stier is a foreign

T
education program and assist in
national, constitutes serious misconduct and is
disseminating information regarding the
a deliberate violation of the Code. Is Atty.
law and jurisprudence.

A
Tansingco guilty of serious misconduct?

6. Applicability of the CPR to lawyers in the

A: YES. Atty. Tansingco is liable for violation of
government service.
Canon 1 and of Rule 1.02 of the CPR. A lawyer should
not render any service or give advice to any client,
CANON 1
which will involve defiance of the laws which he is
A lawyer shall uphold the Constitution, obey the
bound to uphold and obey. Atty. Tansingco had
laws of the land and promote respect for law and
sworn to uphold the Constitution. Thus, he violated
legal processes.
his oath and the CPR when he prepared and
notarized the Occupancy Agreement to evade the
Respect for Laws and Legal Processes
law against foreign ownership of lands. Atty.
Tansingco used his knowledge of the law to achieve
The two-fold duty under Canon 1:
an unlawful end. Such an act amounts to malpractice
in his office, for which he may be suspended.
1. Obey the laws and the legal processes; and
(Donton v. Atty. Tansingco, A.C. No. 6057, 27 June
2. Inspire others to maintain respect and
2006)

U N IV E R S I T Y O F S A N T O T O M A S 16
2023 GOLDEN NOTES
 I. LEGAL ETHICS
Q: Prosecutor Coronel entered his appearance
on behalf of the State before a Family Court in a
case for Declaration of Nullity of Marriage, but
he failed to appear in all the subsequent
proceedings. When required by the Department
of Justice to explain, he argued that the parties
in the case were aptly represented by their
respective counsels and that his time would be
better employed in more substantial
prosecutorial functions, such as investigations,
inquests and appearances in court hearings. Is
Atty. Coronel’s explanation tenable? (2006 BAR)
A: NO. Atty. Coronel’s explanation is not tenable.
The role of the State’s lawyer in nullification of
marriage cases is that of protector of the institution
of marriage. (Art. 48, Family Code (FC))
“The task of protecting marriage as an inviolable
social institution requires vigilant and zealous
O
participation and not mere pro forma compliance.”
(Malcampo-Sin v. Sin, G.R. No. 137590, 26 Mar. 2001)
E
This role could not be left to the private counsels
who have been engaged to protect the private
N
interest of the parties.
Rule 1.01
E
A lawyer shall not engage in unlawful, dishonest,
immoral or deceitful conduct.
T
It is well-established that a lawyer’s conduct is “not
confined to the performance of his professional
A
duties. A lawyer may be disciplined for misconduct
committed either in his professional or private
capacity. The test is whether his conduct shows him
to be wanting in moral character, honesty, probity,
and good demeanor, or whether it renders him
unworthy to continue as an officer of the court.
(Mendoza-Arcega and Dechavez, 2020)
Any means not honorable, fair, and honest, which is
resorted to by the lawyer, even in the pursuit of his
devotion to his client’s cause, is condemnable and
unethical. (Pineda, 1999, citing Maglasang v. People,
G.R. No. 90083, 04 Oct. 1990)
17
Definitions
1. Deceitful Conduct - An act that has the
proclivity for fraudulent and deceptive
misrepresentation, artifice or device that is
used upon another who is ignorant of the fact,
to the prejudice and damage of the party
imposed upon. (Jimenez v. Francisco, A.C. No.
10548, 10 Dec. 2014)
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2. Unlawful Conduct - Any act or omission that is
contrary to, or prohibited or unauthorized by,
or in defiance of, disobedient to, or disregards
A
the law. “Unlawful” conduct does not
necessarily imply the element of criminality
L
although the concept is broad enough to include
such element. (Jimenez v. Francisco, A.C. No.
10548, 10 Dec. 2014)
NOTE: The presence of evil intent on the part of
the lawyer is not essential in order to bring his
act or omission within the terms of this Rule.
3. Immoral Conduct - Conduct that is willful,
flagrant, or shameless, and which shows a
moral indifference to the opinion of the good
and respectable members of the community.
The supreme penalty of disbarment arising
from conduct requires grossly immoral, not
simply immoral, conduct. (Garrido v. Garrido,
A.C. No. 6593, 04 Feb. 2010)
4. Grossly Immoral Conduct - It refers to the act
that is so corrupt and false as to constitute a
criminal act or so unprincipled or disgraceful as
to be reprehensible to a high degree. It is willful,
flagrant, or shameless act, which shows a moral
indifference to the opinion of respectable
members of the community. (Figueroa v.
Barranco, SBC Case No. 519, 31 July 1997)
5. Dishonesty - Conduct that includes the
disposition to lie, cheat, deceive, defraud or
betray; be unworthy; lacking in integrity,
honesty, probity, integrity in principle, fairness
and straightforwardness (Jimenez v. Francisco,
A.C. No. 10548, 10 Dec. 2014).
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
The concealment or distortion of truth in a
matter relevant to one’s office or connected
with the performance of his duties. (Japson v.
CSC, G.R. No. 189479, 12 April 2011)
Q: Tony Peter Partsch, a Swiss national, desired
to purchase a piece of beachfront real property.
Atty. Reynaldo Vitorillo claimed ownership over
800 square meters of the said beachfront lot.
Atty. Vitorillo then offered to sell to Partsch the
subject property. Partsch tendered to Atty.
Vitorillo the partial payment for the subject
property. While Atty. Vitorillo gave Partsch a
receipt for the transaction, no deed of absolute
sale was executed. Instead, Atty. Vitorillo
promised Partsch to draw the deed of absolute
sale along with the land titles after three
months. On two occasions, Partsch followed up
the written contract and the land titles. Atty.
Vitorillo, however, only offered excuses and
advised Partsch to just possess the subject
property and fence it. Later on, Atty. Vitorillo
informed Partsch that he is no longer selling the
subject property. As alternative, Atty. Vitorillo
proposed for sale another lot located in the
highlands. Partsch rejected the offer and
N
demanded instead the reimbursement of his
down payment plus interests. However, Atty.
E
Vitorillo failed to do so.
Partsch filed an administrative complaint
T
seeking the disbarment of respondent Atty.
Vitorillo. The Investigating Commissioner of the
A
IBP Commission on Bar Discipline (CBD)
determined that Atty. Vitorillo's actuations and
misrepresentations have ripened into willful
and Gross Dishonesty and Gross Misconduct and
deemed him guilty of violating the Code of
Professional Responsibility (CPR). Is the CBD
correct?
A: YES. The Court finds Atty. Vitorillo guilty of
deceitful conduct proscribed by Canon 1, Rule 1.01
of the CPR. In the contract to sell that Atty. Vitorillo
himself submitted before the Court, Atty. Vitorillo
expressly named himself as the seller and absolute
owner of the subject property. The verity of such
contractual status rests upon a single fact that Atty.
Vitorillo held absolute ownership over the entire
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
800-square-meter subject property at the time he
offered it for sale to Partsch. The facts at hand reveal
that he did not. (Partsch v. Atty. Reynaldo A. Vitorillo,
A.C. No. 10897, 04 Jan. 2022)
Instances of Gross Immorality and the Resulting
Consequences
1. A lawyer who abandoned his wife and
cohabited with another woman was disbarred;
W
(Obusan v. Obusan, Jr., A.C. No. 1392, 02 April
1984; Ceniza v. Ceniza, A.C. No. 8335, 10 April
2019)
A
2. A lawyer who had carnal knowledge with a
L
woman through a promise of marriage which he
did not fulfill was disbarred; (In re: Disbarment
of Armando Puno, A.C. No. 389, 28 Feb. 1967)
3. A lawyer who seduced the niece of a married
O
woman with whom the respondent lawyer had
an adulterous relation, was disbarred; (Royong
E
v. Oblena, A.C. No. 376, 30 April 1963)
4. A lawyer who arranged a marriage of his son to
a woman with whom the lawyer had illicit
relations was disbarred; (Mortel v. Aspiras, A.M.
No. 145, 28 Dec. 1956)
5. A lawyer who inveigled a woman into believing
that they have been married civilly to satisfy his
carnal desires was disbarred; (Terre v. Terre,
A.M. No. 2349, 03 July 1992)
6. A lawyer who took advantage of his position as
chairman of the college of medicine and asked a
lady student to go with him to Manila where he
had carnal knowledge of her under threat that
if she refused, she would flunk in all her subjects
was disbarred; (Delos Reyes v. Aznar, A.M. No.
1334, 28 Nov. 1989)
7. A lawyer who committed an act of bigamy was
disqualified from admission to the bar. (Royong
v. Oblena, A.C. No. 376, 30 April 1963);
8. A lawyer who was involved in an act of
concubinage, coupled with failure to support
illegitimate children was suspended
18
 I. LEGAL ETHICS
indefinitely; (Laguitan v. Tinio, A.M. No. 3049, 04
Dec. 1989)
9. A lawyer who maintained an adulterous
relationship with a married woman was
suspended indefinitely; (Cordova v. Cordova,
A.M. No. 3249, 29 Nov. 1989)
10. A retired judge who penned a decision 7
months after he retired, antedating the decision
and forcing his former court staff to include it in
the expediente of the case will be disbarred;
(Radjaie v. Alovera, A.C. No. 4748, 04 Aug. 2000)
11. A lawyer who forged a Special Power of
Attorney was suspended for 3 years; (Rural
Bank of Silay, Inc. v. Pilla, A.C. No. 3637, 24 Jan.
2001)
12. A lawyer who attempted to engage in an opium
O
deal was suspended for 1 year; (Piatt v. Abordo,
58 Phil. 350, 01 Sept. 1933) and
E
13. A lawyer who facilitated the travel of a person
to the U.S. using spurious travel documents was
N
disbarred. (Sebastian v. Calis, A.C. No. 5118, 09
Sept. 1999)
E
Acts NOT Constituting Gross Immorality
T
1. Turning the head of his client to kiss her on
the lips while in a public place and then
immediately apologizing afterwards via text
A
message; (Advincula v. Macabata, A.C. No.
7204, 07 Mar. 2007);
2. Live-in relationship involving two unmarried
persons; or
3. Failure to pay a loan.
GR: A lawyer may not be disciplined for
failure to pay a loan. The proper remedy is the
filing of an action for collection of a sum of
money in regular courts. (Toledo v. Abalos,
A.C. No. 5141, 29 Sept. 1999)
XPN: where there is a deliberate failure to pay
just debts and the issuance of worthless
19
checks. (Lao v. Medel, A.C. No. 5916, 01 July
2003)
Q: Judge A has an illicit relationship with B, his
Branch Clerk of Court. C, the wife of Judge A,
discovered the illicit affair and consulted a
lawyer to vindicate her violated marital rights. If
you were that lawyer, what would you advise C,
and if she agrees and asks you to proceed to take
action, what is the legal procedure that you
W
should follow? (2014 BAR)
A: File a case of immorality against Judge A and the
A
clerk of court for violation of Rule 1.01, CPR;
impropriety under Canon 4 of the New Code of
L
Judicial Conduct (NCJC) against Judge A; and invoke
the automatic conversion of the administrative case
against Judge A and the clerk of court as members of
the bar under A.M. No. 02-9-02-SC, with the Office of
the Court Administrator. Complaints for disbarment
against Judge A and the clerk of court may also be
filed
NOTE: This is without prejudice to the filing of
criminal and civil cases.
Q: In a case for disbarment against Atty. Ivan
Solidum, Jr., the IBP-CBD found that he
committed the following acts: (1) signing drawn
checks against the account of his son as if they
were from his account; (2) misrepresenting to
Navarro the identity of the lot he mortgaged to
her; (3) misrepresenting to Presbitero the true
value of the 263-square-meter lot he mortgaged
to her; (4) conspiring with Yulo to obtain the
loans from complainants; (5) agreeing or
promising to pay 10% interest on his loans
although he knew that it was exorbitant; and (6)
failing to pay his loans because the checks he
issued were dishonored as the accounts were
already closed. Is Atty. Solidum guilty of
violating the CPR?
A: YES. Atty. Solidum violated Rule 1.01 of the CPR.
Conduct is not confined to the performance of a
lawyer’s professional duties. A lawyer may be
disciplined for misconduct committed either in his
professional or private capacity. The test is whether
his conduct shows him to be wanting in moral
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
character, honesty, probity, and good demeanor, or
whether it renders him unworthy to continue as an
officer of the court.
Atty. Solidum is guilty of engaging in dishonest and
deceitful conduct, both in his professional capacity
with respect to his client, Presbitero, and in his
private capacity with respect to complainant
Navarro. Both Presbitero and Navarro allowed Atty.
Solidum to draft the terms of the loan agreements.
He drafted the MOAs knowing that the interest rates
were exorbitant. Later, using his knowledge of the
law, he assailed the validity of the same MOAs he
prepared. He issued checks that were drawn from
his son’s account whose name was similar to his
without informing complainants. Further, there is
nothing in the records that will show that he paid or
undertook to pay the loans he obtained from.
(Navarro v. Atty. Solidum, Jr., A.C. No. 9872, 28 Jan.
2014)
Q: Atty. Rivera misrepresented himself as an
immigration lawyer, which resulted in Agot
seeking his assistance to facilitate the issuance
of her US visa and paying him the amount of
₱350,000.00 as downpayment for his legal
N
services. However, Atty. Rivera was not able to
perform his obligation. Is Atty. Rivera
E
administratively liable?
A. YES. As officers of the court, lawyers are bound to
T
maintain not only a high standard of legal
proficiency, but also of morality, honesty, integrity,
A
and fair dealing, as provided for under Rule 1.01,
Canon 1. Atty. Rivera has no specialization in
immigration law. Atty. Rivera’s deception is not only
unacceptable, disgraceful, and dishonorable to the
legal profession; it reveals a basic moral flaw that
makes him unfit to practice law. (Agot v. Atty. Rivera,
A.C. No. 8000, 05 Aug. 2014)
Q: Atty. XX rented a house of his cousin, JJ, on a
month-to-month basis. He left for a 6-month
study in Japan without paying his rentals and
electric bills while he was away despite JJ's
repeated demands. Upon his return to the
Philippines, Atty. XX still failed to settle his
rental arrearages and electric bills, drawing JJ to
file an administrative complaint against Atty.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
XX. Atty. XX contended that his non-payment of
rentals and bills to his cousin is a personal
matter which has no bearing on his profession
as a lawyer and, therefore, he did not violate the
CPR. Is Atty. XX's contention in order? Explain.
(2010 BAR)
A: NO. Having incurred just debts, a lawyer has the
moral duty and legal responsibility to settle them
when they become due. “Verily lawyers must at all
W
times faithfully perform their duties to society, to
the bar, to the court and to their clients. As part of
their duties, they must promptly pay their financial
A
obligations” Their conduct must always reflect the
values and norms of the legal professionals
L
embodied in the CPR. On these considerations, the
Court may disbar or suspend lawyers for any
professional or private misconduct showing them to
be wanting in moral character, honesty, probity and
good demeanor – or to be unworthy to continue as
O
officers of the Court. (Cham v. Paita-Moya, A.C.
No.7494, 27 June 2008)
E
NOTE: Just debts include unpaid rentals, electric
bills, claims adjudicated by a court of law, and
claims the existence and justness which are
admitted by the debtor. (Cham v. Paita-Moya, A.C.
No.7494, 27 June 2008)
Q: Carmelite has unpaid obligations to NHFMC
which is secured by a mortgage. To process the
redemption of the mortgaged property,
Carmelita’s children, Verlita and Raymond
called Atty. Ramon and expressed their
intention to redeem the property by paying the
redemption price of ₱350,000. Atty. Ramon
informed them that the redemption was under
process, and that the certificate of redemption
would be issued in two to three. Verlita and
Raymond later found out that Atty. Ramon had
not deposited the redemption price and had not
filed the letter of intent for redeeming the
property. Atty. Ramon promised to return the
money but failed to do so. Should Atty. Ramon be
held administratively liable?
A: YES. Atty. Ramon is guilty of dishonesty and
deceit. Atty. Ramon certainly transgressed the
Lawyer's Oath by receiving money from Verlita and
20
 I. LEGAL ETHICS
Raymond after having made them believe that she Morality vs. Immoral Conduct
could assist them in ensuring the redemption on
their mother's behalf. She further misled them MORALITY IMMORAL CONDUCT
about her ability to realize the redemption by falsely As to their Nature
informing them about having started the Immoral conduct has
redemption process. She took advantage of Verlita been defined as that
and Raymond who had reposed their full trust and conduct which is
Morality, as
confidence in her ability to perform the task by willful, flagrant, or
understood in law, is a
virtue of her being a lawyer. As a lawyer, Atty. shameless and which
human standard based
Ramon was proscribed from engaging in unlawful, shows a moral

W
on natural moral law
dishonest, immoral or deceitful conduct in her indifference to the
which is embodied in
dealings with others, especially clients whom she opinion of the good
man’s conscience, and
should serve with competence and diligence. Her and respectable

A
which guides him to do
duty required her to maintain fealty to them, members of the
good and avoid evil.
binding her not to neglect the legal matter entrusted community. (Arciga v.

L
to her. Thus, her neglect in connection therewith Maniwang, A.M. No.
rendered her liable. (Mercullo v. Atty. Ramon, AC. No. 1608, 14 Aug. 1981)
11078, 19 July 2016)
Q: In 2003, Atty. Allan Contado and Crisanta
Q: Atty. A, while serving as the Provincial Legal

O
Hosoya met. He represented that he was already
Officer of Albay, engaged in the private practice separated-in-fact from his wife and that was
of law during his three (3) terms in said position. already working out the dissolution of his

E
During his first term, he submitted a request to marriage. In 2010, Crisanta agreed with Atty.
continue his private practice to the Secretary of Contado’s proposal to live together as husband
the Department of Interior and Local and wife. She continued to live with him and

N
Government (DILG), which was granted subject their cohabitation resulted in two children that
to several conditions. However, during his were born in 2011 and 2013. Eventually, they
second and third terms, he claims that his terminated their relationship. Crisanta filed a

E
authority to engage in private practice was disciplinary case against Atty. Contado and
renewed by the Governor. Is Atty. A liable for alleged that she and her children no longer

T
violating the Code of Professional Responsibility received support from him and that he failed to
(CPR)? return her vehicle despite repeated demands.
Did Atty. Contado’s acts violate the CPR?

A
A: YES. The grant of authority by the DILG Secretary
cannot be unreasonably construed to have been
perpetual. Atty. A should have requested for
authority to engage in private practice from the
Secretary of the DILG for his second and third terms.
Hence, his failure to do so renders him liable for
unauthorized practice of profession and a clear
violation of Rule 1.01 of the CPR. (Arthur O. Monares
v. Atty. Levi P. Muñoz, A.C. No. 5582, 24 Jan. 2017)
A: YES. It is well-settled that a married person’s
abandonment of his or her spouse to live and
cohabit with another constitutes gross immorality
as it amounts to either adultery or concubinage. In
other case law, the Court imposed the penalty of
disbarment on the erring lawyers for being guilty of
committing grossly immoral conduct in abandoning
the legal spouse in order to cohabit with another.

Further, his refusal to return the property (vehicle)

despite lawful demand is akin to deliberate failure
to pay debt. Jurisprudence is clear that a lawyer’s
failure to pay debts despite repeated demands
constitutes dishonest and deceitful conduct and a
violation of Rule 1.01 of the CPR. The Court may

21
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
impose the penalty of disbarment or suspension
from the practice of law against the erring lawyer
for failure to pay debts. (Hosoya v. Atty. Contado, A.C.
No. 10731, 05 Oct. 2021, Per Curiam)
Q: Rose Bansig filed a complaint for disbarment
against Atty. Celera. Celera was legally married
to Bansig’s sister, Rosemarie Bunagan.
However, notwithstanding the marriage with
Bunagan, Atty. Celera contracted another
marriage with a certain Ma. Cielo Paz Torres
Alba, as evidenced by a certified copy of the
certificate of marriage. Despite numerous
efforts of Rose and the court, Atty. Celera, in his
defense, repetitively stated that he had no
knowledge of the complaint since he has yet to
receive a copy of it. Is the contention of Atty.
Celera tenable?
A: NO. He exhibited a deplorable lack of that degree
of morality required of him as a member of the Bar.
He made a mockery of marriage, a sacred institution
demanding respect and dignity. Likewise, we take
notice of Atty. Celera’s defiant stance against the
Court as demonstrated by his repetitive disregard of
its Resolution. Even assuming that indeed the copies
N
of the complaint had not reached him, he cannot,
however, feign ignorance that there is a complaint
E
against him that is pending before the Court which
he could have easily obtained a copy had he wanted
to. His acts were deliberate, maneuvering the
T
liberality of the Court in order to delay the
disposition of the case and to evade the
A
consequences of his actions. His cavalier attitude in
repeatedly ignoring the orders of the Supreme
Court constitutes utter disrespect to the judicial
institution. Respondent’s conduct indicates a high
degree of irresponsibility. (Bunagan-Bansig v.
Celera, A.C. No. 5581, 14 Jan. 2014)
Q: Maria Victoria Ventura filed an
administrative complaint against Atty. Danilo
Samson for allegedly raping her when she was
merely 13 years old. Atty. Samson admitted that
they had a sexual relationship but countered
that such was done with mutual agreement and
in consideration of money. Did Atty. Samson’s
act constitute “grossly immoral conduct” that
would warrant his disbarment?
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
A: YES. Atty. Samson’s act of engaging in sex with a
young lass, the daughter of his former employee,
constitutes gross immoral conduct that warrants
sanction. He not only admitted he had sexual
intercourse with complainant but also showed no
remorse whatsoever when he asserted that he did
nothing wrong because she allegedly agreed, and he
gave her money. Indeed, his act of having carnal
knowledge of a woman other than his wife
manifests his disrespect for the laws on the sanctity
W
of marriage and his marital vow of fidelity.
Moreover, he procured the act by enticing a very
young woman with money, which showed his
A
utmost moral depravity and low regard for the
dignity of the human person and the ethics of his
L
profession. He has violated the trust and confidence
reposed on him by complainant, then a 13-year-old
minor, who for a time was under his care. Whether
the sexual encounter between him and complainant
was or was not with the latter’s consent is of no
O
moment. Such conduct is a transgression of the
standards of morality required of the legal
E
profession and should be disciplined accordingly.
(Ventura v. Samson, A.C. No. 9608, 27 Nov. 2012)
Q: An administrative complaint for disbarment
was filed against Atty. Iris Bonifacio for
allegedly carrying an immoral relationship with
Carlos, the husband of complainant Leslie Ui.
Atty. Bonifacio contended that her relationship
was licit because they were married, but when
she discovered Carlos’ true civil status, she cut
off all her ties with him. Is Atty. Bonifacio guilty
of committing gross immoral conduct
warranting her disbarment?
A: NO. Her relationship with Carlos, clothed as it
was with what Atty. Bonifacio believed was a valid
marriage, and cannot be considered immoral.
Immorality connotes conduct that shows
indifference to the moral norms of the community.
Moreover, for such conduct to warrant disciplinary
action, the same must be “grossly immoral”, that is,
it must be so corrupt and false as to constitute a
criminal act or so unprincipled as to be
reprehensible to a high degree. Atty. Bonifacio’s act
of immediately distancing herself from Carlos upon
discovering his true civil status belies that alleged
moral indifference and proves that she had no
22
 I. LEGAL ETHICS
intention of flaunting the law and the high moral
standard of the legal profession. (Ui v. Atty.
Bonifacio, A.C. No. 3319, 08 June 2000)
Q: Patricia and Simeon were teen sweethearts. It
was after their child was born that Simeon first
promised he would marry her after he passes
the bar examinations. Their relationship
continued and Simeon allegedly made more
than twenty or thirty promises of marriage.
Patricia learned that Simeon married another
woman. Meanwhile, Simeon successfully passed
the 1970 Bar Examinations after four attempts.
Before he could take his oath, Patricia filed a
petition to disqualify Simeon to take the
Lawyer’s Oath on the ground of gross immoral
conduct. Did the act of Simeon in engaging in
premarital relations with Patricia and making
promises to marry her constitute grossly
immoral conduct?
O
A: NO, the Supreme Court ruled that the facts do not
E
constitute grossly immoral conduct warranting a
permanent exclusion of Simeon from the legal
profession. His engaging in premarital sexual
N
relations with complainant and promises to marry
suggests a doubtful moral character on his part but
the same does not constitute grossly immoral
E
conduct. To justify suspension or disbarment the act
complained of must not only be immoral, but
T
grossly immoral. A grossly immoral act is one that is
so corrupt and false as to constitute a criminal act or
so unprincipled or disgraceful as to be
A
reprehensible to a high degree. (Figueroa v.
Barranco, Jr., SBC Case No. 519, 31 July 1997)
Moral Turpitude
It refers to “an act of baseness, vileness, or depravity
in the private duties which a man owes to his fellow
men or to society in general, contrary to justice,
honesty, modesty, or good morals.” (Garcia v.
Sesbreno, A.C. No. 7973 and A.C. No. 10457, 03 Feb.
2015)
NOTE: Moral turpitude is not involved in every
criminal act and is not shown by every known and
intentional violation of statute, but whether any
conviction involves moral turpitude may be a
23
question of fact and frequently depends on all the
surrounding circumstances.
While generally but not always, crimes mala in se
involve moral turpitude, while crimes mala
prohibita do not, it cannot always be ascertained
whether moral turpitude does or does not exist by
classifying a crime as malum in se or as malum
prohibitum, since there are crimes which are mala in
se and yet rarely involve moral turpitude and there
W
are crimes which involve moral turpitude and are
mala prohibita only.
A
It follows, therefore, that moral turpitude is
somewhat a vague and indefinite term, the meaning
L
of which must be left to the process of judicial
inclusion or exclusion as the cases are reached.
(Garcia v. Sesbreno, A.C. No. 7973 and A.C. No. 10457,
03 Feb. 2015)
Examples of Acts involving Moral Turpitude and
the Resulting Consequences
1. A lawyer who is convicted of Estafa and/or
of violating B.P. Blg. 22 was disbarred. (In
the Matter of Disbarment Proceedings v.
Narciso N. Jaramillo, En Banc A.C. No. 229,
30 April 1957);
2. A lawyer who is convicted of bribery or
attempted bribery was disbarred. (In Re:
Dalmacio De los Angeles, A.C. No. L-350, 07
Aug. 1959; 7 C.J.S., p. 736; 5 Am. Jur. p. 428);
3. A lawyer who is convicted of murder was
disbarred. (In Re: Disbarment Proceedings
Against Atty. Diosdado Q. Gutierrez, A.C. No.
L- 363, 31 July 1962);
4. A lawyer who, before being admitted to the
Bar, is convicted of illegal marriage was
disqualified from being admitted to the bar.
(Villasanta v. Peralta, 101 Phil.313, 30 April
1957);
5. A lawyer who is convicted of falsification of
public document was removed from his
office/name erased from roll of attorneys.
(De Jesus-Paras v. Vailoces, A.C. No. 439,12
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
April 1961);
6. A lawyer who is convicted of Estafa through
falsification of public document was
disbarred. (Villanueva v. Sta. Ana, CBD Case
No. 251, 11 July 1995);
7. A lawyer who is convicted of abduction was
suspended from office for one (1) year. (In
Re Basa, 41 Phil. 275, 07 Dec. 1920);
8. A lawyer who is convicted of concubinage
was suspended from office for one (1) year.
(In Re: Isada, 60 Phil. 915, 16 Nov. 1934);
9. A lawyer who is convicted of smuggling was
disbarred. (In Re: Rovero, A.C. No. 126, 24
Oct. 1952); or,
10. A lawyer who is convicted of homicide was
disbarred. (Garcia v. Sesbreno, A.C. No. 7973
and A.C. No. 10457, 03 Feb. 2015).
NOTE: Psychological incapacity of a lawyer does not
necessarily make him an unfit member of the Bar, or
vice versa. (Paras v. Paras, G.R. NO. 147824, 02 Aug.
N
2007)
E
Q: Atty. Simeon persuaded Armando, Benigno
and Ciriaco to invest in a business venture that
later went bankrupt. Armando, Benigno and
T
Ciriaco charged Atty. Simeon with estafa.
Simultaneously, they filed an administrative
A
complaint against the lawyer with the Supreme
Court. If Simeon is convicted of estafa, will he be
disbarred? Explain. (2009 BAR)
A: YES. One of the grounds for disbarment under
Sec. 27, Rule 138 of the ROC is conviction of a crime
involving moral turpitude. Estafa is a crime
involving moral turpitude.
Q: If Atty. Simeon is acquitted of the estafa
charge, will the disbarment complaint be
dismissed? Explain. (2009 BAR)
A: NO. If the acquittal is based merely on reasonable
doubt, the disbarment proceeding may continue
However, if the acquittal is based on the ground that
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
no crime was committed, or that Simeon is innocent,
the administrative case may be dismissed.
The purpose of a disbarment proceeding is to
determine whether a lawyer deserves to remain a
member of the bar. For such determination, conduct
which merely avoids the penalty of the law is not
sufficient.
Q: Lehnert filed an administrative complaint
W
against Atty. Diño, praying that Atty. Dino be
permanently disbarred for violating Lawyer’s
oath, as well as the CPR, when he committed two
A
(2) violations of B.P. Blg. 22. Lehnert also
claimed that when a warrant of arrest was
L
issued against Atty. Dino, officers were unable to
locate him. Thus, considering that Atty. Diño was
hiding to evade arrest, Lehnert prayed for his
immediate disbarment. Is Atty. Dino guilty for
violation of the Lawyer’s Oath and the Code of
O
Responsibility when he issued post-dated
checks, which were subsequently dishonored?
E
A: YES. Lawyers must at all times faithfully perform
their duties to society, to the bar, to the courts and
to their clients. As part of those duties, they must
promptly pay their financial obligations. Their
conduct must always reflect the values and norms of
the legal profession as embodied in the CPR. On
these considerations, the Court may disbar or
suspend lawyers for any professional or private
misconduct showing them to be wanting in moral
character, honesty, probity and good demeanor —
or to be unworthy to continue as officers of the
Court. The issuance of worthless checks constitutes
gross misconduct and violates Canon 1 of the CPR.
(Lehnert vs. Diño, A.C. No. 12174, 28 Aug. 2018)
Q: Atty. De Vera borrowed ₱500,000.00 from
Teresita with interest of ₱20,000.00 per month
until fully paid. However, Teresita did not have
the full amount. Atty. De Vera persuaded her to
borrow the amount from a common friend, Mary
Jane, by mortgaging her property located in
Lucena City. Atty. De Vera issued a check for
₱500,000.00. Atty. De Vera also issued at least
two more checks to cover the interest agreed
upon. Teresita alleges that in June 2006, Atty. De
Vera obtained another loan from Teresita’s
24
 I. LEGAL ETHICS
sister in the amount of ₱100,000.00. Teresita
guaranteed the loan. Atty. De Vera issued
another post-dated check for ₱100,000.00 to
Teresita. Teresita claimed that she paid her
sister the amount borrowed by Atty. De Vera.
Upon maturity of the checks, Teresita presented
the checks for payment. However, the checks
bounced for being drawn against insufficient
funds. Teresita attempted to encash the checks
for a second time. However, the checks were
dishonored because the account was closed.
Teresita demanded payment from Atty. De Vera.
However, she failed to settle her obligations,
prompting Teresita to file complaints against
Atty. De Vera for violation of Batas Pambansa
Blg. 22 and Estafa. Should Atty. De Vera be held
administratively liable?
A: YES. Being a lawyer, Atty. De Vera, was well
aware of the objectives and coverage of Batas
O
Pambansa Blg. 22. If not, he was nonetheless
presumed to know them, for the law was penal in
E
character and application. His issuance of the
unfunded check involved herein knowingly violated
B.P. Blg. 22, and exhibited his indifference towards
N
the pernicious effect of his illegal act to public
interest and public order. He thereby swept aside
his Lawyer’s Oath that enjoined him to support the
E
Constitution and obey the laws. (Enriquez v. Atty.
Trina De Vera, A.C. No. 8330, 16 Mar. 2015)
T
Rule 1.02
A lawyer shall not counsel or abet activities
A
aimed at defiance of the law or at lessening
confidence in the legal system.
(1994, 1998 BAR)
Examples of Activities aimed at Defiance of the
Law or at lessening Confidence in the Legal
System
1. Advising his clients to execute another
Deed of Sale antedated to evade payment of
capital gains taxes; (Chua v. Mesina, A.C. No.
4904, 12 Aug. 2004)
2. Engaging in the following activities:
a. prohibited campaigning;
b. use of government resources and
25
solicitation of votes; and
c. campaigning for national positions
in the IBP; (In Re: 1989 Elections of
IBP, A.M. No. 491, 06 Oct. 1989); or,
3. Repeatedly disobeying orders of SEC to
appear in its hearings and repeatedly
failing to substantiate his excuse for failing
to appear. (Batac et. al. v. Cruz, Jr., A.C. No.
W
5809, 23 Feb. 2004)
Q: Chu retained Atty. Guico as counsel to handle
A
labor disputes involving his company. In one
case, Atty. Guico asked Chu to prepare a
L
substantial amount of money to be given to the
NLRC Commissioner handling the appeal to
ensure a favorable decision. Chu was able to
raise ₱300,000. Atty. Guico again advised Chu to
raise another ₱300,000.00 to encourage the
NLRC Commissioner to issue the decision. But
Chu could only produce ₱280,000.00. The
NLRC’s decision was adverse to Chu. Was the
advice given by Atty. Guico proper?
A: NO. A lawyer should not render any service or
give advice to any client that would involve defiance
of the laws he was bound to uphold and obey, for he
or she was always bound as an attorney to be law
abiding, and thus to uphold the integrity and dignity
of the legal profession.
Verily, he or she must act and compose himself or
herself in such a manner that would promote public
confidence in the integrity of the legal profession.
Atty. Guico violated the law against bribery and
corruption. He compounded his violation by using
said illegality as his means of obtaining a huge sum
from the client that he soon appropriated for his
interest. His acts constituted gross dishonesty and
deceit and were a flagrant breach of his ethical
commitments under the Lawyer’s Oath not to delay
any man for money or malice; and under Rule 1.01
of the CPR. His deviant conduct eroded the faith of
the people in him as an individual lawyer as well as
in the Legal Profession as a whole. In doing so, he
ceased to be a servant of the law. (Chu v. Guico, Jr.,
A.C. No. 10573, 13 Jan. 2015)
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Q: Atty. Asilo, a lawyer and a notary public, Barratry vs. Ambulance Chasing (1993 BAR)
notarized a document already prepared by
spouses Roger and Luisa when they approached AMBULANCE
BARRATRY
him. It is stated in the document that Roger and CHASING
Luisa formally agreed to live separately from As to the Manner of Commission
each other and either one can have a live-in
An offense of An act of chasing
partner with full consent of the other. What is
frequently exciting and victims of accidents to
the liability of Atty. Asilo, if any? (1998 BAR)
stirring up quarrels talk to the said victims
and suits, either at law (or relatives) and to
A: Atty. Asilo may be held administratively liable for

W
or otherwise; lawyer’s offer one’s legal
violating Rule 1.02 of the CPR which provides that
act of fomenting suits services for the filing of
“a lawyer shall not counsel or abet activities aimed
among individuals and a case against the
at defiance of the law or at lessening confidence in

A
offering his legal person(s) who caused
the legal system.”
services to one of them. the accident(s). It has
spawned a number of

L
An agreement between two spouses to live
Barratry is not a crime recognized evils such
separately from each other and either one could
under the Philippine as (Fo-Su-D-Mu):
have a live-in partner with full consent of the other,
laws. However, it is
is contrary to law and morals. The ratification by a
proscribed by the rules 1. Fomenting
notary public who is a lawyer of such illegal or

O
of legal ethics. litigation with
immoral contract or document constitutes
resulting burdens
malpractice or gross misconduct in office. He should
on the courts and

E
at least refrain from its consummation. (In Re:
the public;
Santiago, A.C. No. 923, 21 June 1940; Panganiban v.
Borromeo, 58 Phil. 367; In Re: Bucana, A.C. No. 1637,
2. Subornation of
06 July 1976)

N
perjury;

Rule 1.03 3. Mulcting innocent

E
A lawyer shall not, for any corrupt motive or persons by
interest, encourage any suit or proceeding or judgments, upon

T
delay any man’s cause. manufactured
causes of action;
The rule is aimed against the practice of barratry, and,

A
stirring up litigation, and ambulance chasing.
4. Defrauding
injured persons
having proper
causes of action
but ignorant of
legal rights and
court procedures
by means of
contracts which
retain exorbitant
percentages of
recovery and
illegal charges for
court costs and

U N IV E R S I T Y O F S A N T O T O M A S 26
2023 GOLDEN NOTES
 I. LEGAL ETHICS
expenses and by
settlement made
for quick returns
of fees and against
just rights of the
injured persons.
(Hightower v.
Detroit Edison Co.
247 NW 97, 1993)
Maintenance
Maintenance is the intermeddling of an
uninterested party to encourage a lawsuit. It is a
taking in hand, a bearing up or upholding of quarrels
or sides, to the disturbance of the common right.
(Funa, 2009) A lawyer owes to society and to the
court the duty not to stir up litigation.
Impropriety of Voluntary Giving of Advice
O
It is improper to voluntarily give legal advice when
E
the lawyer, in giving such, is motivated by a desire
to obtain personal benefit, secure personal
publicity, or cause legal action to be taken merely to
N
harass or injure another. It is allowed in rare cases
where ties of blood, relationship or trust make it his
duty to do so. (Canon 28, Canon of Professional Ethics
E
(CPE))
T
Q: Atty. Melissa witnessed the car accident that
resulted in injury to Manny, a friend of hers.
While visiting him at the hospital, she advised
A
him about what action he needed to take
regarding the accident. Is Atty. Melissa subject
to disciplinary action if she eventually handles
the case for him? (2011 BAR)
A: NO. It is unprofessional for a lawyer to volunteer
advice to bring a lawsuit, except in rare cases where
ties of blood, relationship or trust make it his duty
to do so. (Canon 28, CPE) In the case at hand, since
Atty. Melissa is a friend of the injured person, she
may not be admonished for extending some legal
advice to a friend in need. It is natural for a person
to give advice to a friend in need.
27
Q: Atty. X advised complainant that to stop the
ejectment suit against him, Atty. X would file a
complaint with the Baguio CFI. Complainant
gave Atty. X ₱5,863 for fees and miscellaneous
fees. However, the complaint was not filed. By
way of defenses, the lawyer presented
complainant’s affidavit of desistance; claimed
that upon perusal of the records of the ejectment
case, he found that complainant had already
filed a Third-Party complaint, thereby making
W
the proposed suit unnecessary. Is he liable for
misconduct?
A
A: YES. The lawyer is liable for misconduct. It is
clear from the facts that the lawyer had deceitfully
L
defrauded the complainant. By receiving the
amount of ₱5,863.00 from the complainant to
represent him, the lawyer violated Rule 1.01 of
Canon 1 of the CPR. He should have filed the
complaint before the CFI of Baguio. He acted in a
deceitful conduct by misrepresenting to file a
complaint in order to affect the ejectment suit. In
addition, the lawyer also encouraged the suit which
is groundless and unfounded to gain a financial
interest. (Munar v. Flores, A.C. No. 2112, 30 May
1983)
Rule 1.04
A lawyer shall encourage his clients to avoid, end
or settle a controversy if it will admit of a fair
settlement.
Lawyers are called upon to resist the whims and
caprices of their clients and to temper the latter’s
propensity to litigate because the Lawyer’s Oath to
uphold the cause of justice is superior to his duty to
his clients. (Visbal v. Buban, A.M. No. MTJ-02-1432,
03 Sept. 2004)
A lawyer should be a mediator for concord and a
conciliator for compromise rather than an initiator
of controversy and a predator of conflict. It is the
duty of a lawyer in his exalted position as an officer
of the court not to be an instigator of any
controversy. (Pineda, 2009)
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
The rule requires that lawyers encourage CANON 2
settlement only when the same is fair. It should be A lawyer shall make his legal services available in
noted that the duty and the right of the lawyer is an efficient and convenient manner compatible
limited to encouraging the client to settle. with the independence, integrity and
Ultimately, however, the final decision to settle a effectiveness of the profession
claim rests upon the client. A lawyer cannot
compromise the case of his client without the Efficient and Convenient Legal Services
latter’s consent even if he believes that the
compromise is for the better interest of the client. It is the lawyer’s prime duty to see to it that justice
(Pineda, 2009, citing Philippine Aluminum Wheels is accorded to all without discrimination.

W
Inc. v. FASGI Enterprises Inc., G.R. No. 137378, 12 Oct.
2000) Rule 2.01
A lawyer shall not reject, except for valid reasons,

A
Q: Jon de Ysasi III was employed by his father in the cause of the defenseless or the oppressed.
their farm. During the entire period of his

L
illness, his father took care of his medical Definitions
expenses and he continued to receive
compensation. However, without due notice, his
1. Defenseless. It refers to those people who are
father ceased to pay his salary. He made oral and
not in a position to defend themselves due to
written demands through Atty. Sumbingco,

O
poverty, weakness, ignorance or other similar
asked for an explanation for the withholding,
reasons.
and for the remittance of, his salary. Both

E
demands were not acted upon. He filed a case in
2. Oppressed. It refers to those who are the
court. Can the lawyers employed by the parties
victims of cruelty, unlawful exaction,
be admonished for not trying to reconcile the
domination or excessive use of authority.
parties before the filing of the suit?

N
A lawyer so appointed as counsel for an indigent
A: YES. The conduct of the respective counsel of the
prisoner, as the Canons of Professional Ethics

E
parties, as revealed by the records, sorely
demands, should always “exert his best efforts” in
disappoints the Court and invites reproof. Both
the indigent’s behalf. (People v. Estebia, G.R. No. L-
counsels may well be reminded that their ethical

T
26868, 27 Dec. 1972)
duty as lawyers to represent their clients with zeal
goes beyond merely presenting their clients'
NOTE: The inability to pay for legal services is not a

A
respective causes in court. It is just as much their
valid reason to refuse acceptance of a case. This is
responsibility, if not more importantly, to exert all
because the profession is a branch of the
reasonable efforts to smooth over legal conflicts,
administration of justice and not a mere money-
preferably out of court and especially in
getting trade. (CPR Annotated, PhilJA)
consideration of the direct and immediate
consanguineous ties between their clients.
Free Legal Assistance Act of 2010 (R.A. No. 9999)

Once again, the useful function of a lawyer is not

R.A. No. 9999 is enacted to:
only to conduct litigation but to avoid it whenever
possible by advising settlement or withholding suit.
1. Encourage lawyers and professional
He is often called upon less for dramatic forensic
partnerships to provide free legal
exploits than for wise counsel in every phase of life.
assistance;
He should be a mediator for concord and a
conciliator for compromise, rather than a virtuoso
2. Solicit the assistance of lawyers and
of technicality in the conduct of litigation. (De Ysasi
professional partnerships in the private
III v. NLRC, G.R. No. 104599, 11 Mar. 1994)
practice of law in providing quality legal

U N IV E R S I T Y O F S A N T O T O M A S 28
2023 GOLDEN NOTES
 I. LEGAL ETHICS
assistance to indigent litigants through a
system of tax incentives;
3. Provide relief to the Public Attorney’s
Office (PAO) and other associations
accredited by the Supreme Court from the
numerous cases it handles;
4. Provide indigent litigants the opportunity
to acquire the services of distinguished law
firms and legal practitioners of the country
for free; and
5. Ensure that the right of every individual to
counsel, as mandated in the Constitution, is
protected and observed.
Services Available
Public Attorney's Office (PAO), Department of
O
Justice (DOJ), and other legal aid clinics accredited
by the Supreme Court shall refer pauper litigants to
E
identified lawyers and professional partnerships.
They shall issue a certification that services were
rendered by the lawyer or the professional
N
partnership under this act. The certification shall
include the cost of the actual services given. (Sec. 4,
R.A. No. 9999)
E
Incentives to Lawyers giving Free Service
T
A lawyer or professional partnerships rendering
actual free legal services shall be entitled to an
A
allowable deduction from the gross income, the
amount that could have been collected for the actual
free legal services rendered or up to 10% of the
gross income derived from the actual performance
of the legal profession, whichever is lower.
NOTE: the actual free legal services contemplated
under the law shall be exclusive of the minimum 60-
hour mandatory legal aid services rendered to
indigent litigants as required under the Rule on
Mandatory Legal Aid Services for Practicing
Lawyers, under Bar Matter No. 2012, issued by the
Supreme Court. (Sec. 5, R.A. No. 9999)
29
Salient Features
1. The law will allow indigent litigants to
acquire the services of renowned lawyers
and law firms for free;
2. In exchange for the services rendered by
the lawyer or the law firm, they will be
given tax incentives equivalent to the cost
of the services rendered to the indigent
W
litigant;
3. It will help relieve the PAO of its numerous
A
caseloads involving indigent litigants who
shall be referred to lawyers or law firms in
L
private practice; and
4. It should entice renowned and
distinguished firms and lawyers in the
practice as their services shall be
compensated commensurately through the
tax incentives.
Rule 2.02
In such cases, even if the lawyer does not accept a
case, he shall not refuse to render legal advice to
the person concerned if only to the extent
necessary to safeguard the latter’s rights.
Rendering of Legal Advice
It includes preliminary steps that should be taken,
at least, until the person concerned has obtained the
services of a proper counsel’s representation. Even
though no attorney-client relationship is created
between the parties, the lawyer, by providing
interim advice, preserves the dignity of the
profession by inspiring public faith in the
profession. (CPR Annotated, Philippine Judicial
Academy (PhilJA))
Q: Wanda finally became pregnant in the 10 th
year of her marriage to Horacio. As her
pregnancy progressed, she started experiencing
difficulty in breathing and was easily fatigued.
The doctors diagnosed Wanda with a heart
congestion problem due to a valve defect, and
her chances of carrying a baby to a full term are
slim. Wanda is scared and contemplates the
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
possibility of abortion. She thus sought legal
advice from Diana, a lawyer-friend and fellow
church member, who has been informally
advising her on legal matters. What is Diana’s
best ethical response? (2013 BAR)
A: Advise Wanda on the purely legal side of her
problem and assure her that abortion is allowed by
law if the pregnancy endangers the life of the
mother. (Rule 2.01 & 2.02, CPR)
Q: The rendition of free legal services is a
lawyer’s: (2014 BAR)
A: Moral duty is above social obligation and legal
mandate. The lawyer voluntarily imposes upon
himself higher duties and more noble obligations
enshrined in the Lawyer's Oath which goes beyond
commitment to social obligation and legal
mandates.
Rule 2.03
A lawyer shall not do or permit to be done any act
designed primarily to solicit legal business.
(1997 BAR)
N
Rationale behind the Rule that Legal Profession
is not considered a Business (2006 BAR)
E
It is not a business because it is a:
T
1. Duty of public service, of which the
emolument is a byproduct, and in which
A
one may attain the highest eminence
without making much money;
2. Relation, as an “officer of the court”, to the
administration of justice involving
thorough sincerity, integrity and reliability;
3. Fiduciary relation to clients of the highest
degree; and
4. Relation to the colleagues in the bar is
characterized by candor, fairness, and
unwillingness to resort to current business
methods of advertising and encroachment
on their practice or dealing directly with
their clients.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Advertisements (2015 BAR)
GR: Advertisement by lawyers is not allowed. The
most worthy and effective advertisement possible is
the establishment of a well-merited reputation for
professional capacity and fidelity to trust. (Director
of Religious Affaits v. Bayot, A.C. No. L-1117, 20 Mar.
1944)
NOTE: The proscription against advertising of legal
W
services or solicitation of legal business rests on the
fundamental postulate that the practice of law is a
profession. (Ulep v. Legal Aid, Inc., B.M. No. 553, 17
A
June 1993)
L
XPNs: (LABAN-D-PEPOL)
1. Reputable Law lists, in a manner consistent
with the standards of conduct imposed by
the canons, stating brief biographical and
O
informative data;
E
2. Simple announcement of the Existence of a
lawyer or the law firm posted anywhere
where it is proper such as the place of
business or residence except courtrooms
and government buildings;
3. Ordinary, simple Professional Card. It may
contain only a statement of name, the name
of the law firm which is connected with,
address, telephone number and the special
branch of law practiced;
4. A simple announcement of the Opening of a
law firm or of changes in the partnership,
associates, firm name or office address,
being for the convenience of the profession;
5. Announcement in any Legal publication,
including books, journals, and legal
magazines and in telephone directories
(Ulep v. Legal Clinic, Inc., B.M. No. 553, 17
June 1993);
6. Writing legal Articles;
7. Engaging in Business and other
occupations except when such could be
30
 I. LEGAL ETHICS
deemed improper, be seen as indirect 15.08, CPR)
solicitation, or would be the equivalent of a
law practice; Q: Atty. Tabalingcos was charged with
unlawfully soliciting clients and advertising
8. Activity of an association for legal legal services through various business entities.
representation; He allegedly set up two financial consultancy
firms, Jesi and Jane Management, Inc. and
9. Notice to other local lawyers and Christmel Business Link, Inc., and used them as
publishing in a legal journal of one’s fronts to advertise his legal services and solicit
availability to act as an associate for them; cases. However, he contended that his law firm

W
had an agreement with Jesi and Jane
10. Seeking a Public office, which can only be Management, Inc., whereby the firm would
held by a lawyer or, in a dignified manner, handle the legal aspect of the corporate

A
a position as a full-time corporate counsel; rehabilitation case; and that the latter would
and attend to the financial aspect of the case such as

11. Listing in a phone Directory, but not under
a designation of a special branch of law.
(Atty. Khan Jr. v. Atty. Simbillo, A.C. No. 5299,
19 Aug. 2003)
L
the preparation of the rehabilitation plans to be
presented in court. Is Atty. Tabalingcos guilty of
unlawful solicitation?
A: YES. He violated Rule 2.03 of the Code, which

O
prohibits lawyers from soliciting cases for profit. A
NOTE: For solicitation to be proper, it must be lawyer is not prohibited from engaging in business

E
compatible with the dignity of the legal profession. or other lawful occupation. Impropriety arises,
If made in a modest and decorous manner, it would though, when the business is of such a nature or is
bring no injury to the lawyer or to the bar. (Pineda, conducted in such a manner as to be inconsistent

N
2009) with the lawyer’s duties as a member of the bar. This
arises when the business is one that can readily lend
Rationale for the Prohibition Against itself to the procurement of professional

E
Advertisements employment for the lawyer; or that can be used as a
cloak for indirect solicitation on the lawyer’s behalf;

T
1. The profession is primarily for public or is of a nature that, if handled by a lawyer, would
service; be regarded as the practice of law. It is clear from
2. It commercializes the profession; the documentary evidence submitted by

A
3. It involves self-praise and puffing;
4. It damages public confidence; and
5. It may increase lawsuits and result in
needless litigation.
Examples of Indirect Solicitation
1. Writing and selling for publication articles
of general nature on legal subjects; and
2. Writing unsolicited articles on a legal
subject.
NOTE: If engaged in another profession or
occupation concurrently with the practice of law,
the lawyer shall make clear to his client whether he
is acting as a lawyer or in another capacity. (Rule
complainant that Jesi & Jane Management, Inc.,
which purports to be a financial and legal
consultant, was indeed a vehicle used by Atty.
Tabalingcos as a means to procure professional
employment; specifically, for corporate
rehabilitation cases. (Villatuya v. Tabalingcos, A.C.
No. 6622, 10 July 2012)
Q: Atty. David agreed to give one-half of his
professional fees to an intermediary or
commission agent and he also bound himself not
to deal directly with the clients. Can he be
subject to disciplinary action?
A: YES. The agreement is void because it constitutes
malpractice which is the practice of soliciting cases

31
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
of law for profit, either personally or through paid
agents or brokers. Malpractice ordinarily refers to
any malfeasance or dereliction of duty committed
by a lawyer. The meaning of malpractice is in
consonance with the notion that the practice of law
is a profession not a business. The lawyer may not
seek or obtain employment by himself or through
others, to do so would be unprofessional. (Tan Tek
Beng v. David, A. C. No. 1261, 29 Dec. 1983)
NOTE: A general professional partnership with a
non-lawyer is void. In the formation of partnership
for the practice of law, no person should be
admitted or held out as a practitioner or member
who is not a member of the legal profession duly
authorized to practice, and amenable to
professional discipline. (Canon 33, CPE)
Q: Atty. Dulcinea writes a regular column in a
newspaper of general circulation and articles on
unforgettable legal stories in a leading
magazine. Her by-line always includes the name
of her firm where she is a named partner. Would
you consider this as improper advertising?
A: YES. Atty. Dulcinea’s by-line including the firm
N
name where she belongs is improper because it is
an indirect way of solicitation or is an advertisement
E
of the law firm.
Q: A paid advertisement appeared in the 05 July
T
2000 issue of Philippine Daily Inquirer, which
reads: "ANNULMENT OF MARRIAGE Specialist
A
532-4333/521-2667." Similar advertisements
were published in the 02 and 06 Aug. 2000
issues of the Manila Bulletin and 05 Aug. 2000
issue of The Philippine Star. Does the
appearance of such in a newspaper, amount to
advertising and solicitation of legal services
prohibited by the CPR and the Rules of Court?
A: YES. It has been repeatedly stressed that the
practice of law is not a business. It is a profession in
which duty to public service, not money, is the
primary consideration. Lawyering is not primarily
meant to be a money-making venture, and law
advocacy is not a capital that necessarily yields
profits. The gaining of a livelihood should be a
secondary consideration.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
The duty to public service and to the administration
of justice should be the primary consideration of
lawyers, who must subordinate their personal
interests or what they owe to themselves. (Atty.
Khan Jr. v. Atty. Simbillo, A.C. No. 5299, 19 Aug. 2003)
NOTE: The rule against solicitation applies to a
lawyer who offers monetary reward to those who
can serve as witness/es in the case, which he is
handling. (CPR Annotated, PhilJA)
W
Rule 2.04
A lawyer shall not charge rates lower than those
A
customarily prescribed unless the circumstances
so warrant.
L
(1997, 2005 BAR)
GR: A lawyer shall not charge rates lower than those
customarily prescribed.
O
XPN: When clients are relatives, co-lawyers, or are
indigents.
E
What the rule prohibits is a competition in the
matter of charging professional fees to attract
clients in favor of the lawyer who offers lower rates.
The rule does not prohibit a lawyer from charging a
reduced fee or none at all to an indigent. (Comments
of the IBP Committee)
CANON 3
A lawyer in making known his legal services shall
use only true, honest, fair, dignified and objective
information or statement of facts.
Brazen Commercialization of Legal Services is
not Allowed.
The practice of law is not a trade like the sale of
commodities to the general public where "the usual
exaggerations in trade, when the proper party had
the opportunity to know the facts, are not in
themselves fraudulent.” (Art. 1340, New Civil Code)
Q: Atty. E has a daily 10-minute radio program
billed as a “Court of Common Troubles.” The
program is advertised by the radio station as a
public service feature for those who seek but
cannot afford to pay for legal advice. Its
32
 I. LEGAL ETHICS
sponsors include a food processing company
and a detergent manufacturing firm which share
with the radio station the monthly
renumeration of Atty. E. Is there any
impropriety in Atty. E’s role under the above
arrangement? (1997 BAR)
A: YES. Giving advice on legal matters through the
medium of a newspaper column or radio station or
television broadcast is improper. It would involve
indirect advertising and violation of the confidential
relation between the lawyer and the client. (Agpalo,
2002; Canon 5, CPR)
Q: Atty. Nelson recently passed the Bar and
wanted to specialize in marine labor law. He
gave out calling cards with his name, address
and telephone number in front, and the
following words at the back: “We provide legal
assistance to overseas seamen who are
O
repatriated due to accident, illness, injury, or
death. We also offer FINANCIAL ASSISTANCE.”
E
Does this constitute ethical misconduct? (2012
BAR)
N
A: YES. The calling card contains advertisement in
violation of Canon 3 of the CPR. The phrase “We also
offer financial assistance.” was clearly used to entice
E
clients who already had representation to change
counsels with a promise of loans to finance their
T
legal actions. Money was dangled to lure clients
away from their original lawyers, thereby taking
advantage of their financial distress and emotional
A
vulnerability. This crass commercialism degraded
the integrity of the bar and deserves no place in the
legal profession. (Linsangan v. Atty. Tolentino, A.C.
No. 6672, 04 Sept. 2009)
Q: As a new lawyer, Attorney Novato started
with a practice limited to small claims cases,
legal counseling, and notarization of documents.
He put up a solo practice law office and was
assisted by his wife who served as his
secretary/helper. He used a makeshift hut in a
vacant lot near the local courts and a local
transport regulatory agency. With this strategic
location, he enjoyed heavy patronage assisting
walk-in clients in the preparation and filing of
pleadings and in the preparation and
33
notarization of contracts and documents. He had
the foresight of investing in a good heavy -duty
copier machine that reproduces quality
documents, and charges a reasonable fee for this
service. He put up a shingle that reads: “Atty.
Novato, Specialist in Small Claims, Fastest in
Notarization; the Best and Cheapest in Copier
Services.” Is Attorney Novato’s manner of
carrying out his professional practice in keeping
with appropriate ethical and professional
W
practice? (2013 BAR)
A: NO. Attorney Novato’s manner of carrying out his
A
professional practice is not in keeping with
appropriate ethical and professional practice. He
L
has degraded the law profession which may result
in loss of respect to lawyers as a whole.
The use of a makeshift hut standing alone would
create the impression that the lawyer does not have
a permanent address which is required to be stated
in all pleadings he signs as well as required to be
shown in documents he notarizes.
His shingle shows that he has considered the law
profession as a business. He should have a separate
shingle for his copier services business.
When he included in his shingle the phrases
“Specialist in Small Claims” and “Fastest in
Notarization” he has transgressed the rule that a
lawyer in making known his legal services shall use
only dignified information or statement of facts. He
has also violated the norm that a lawyer shall not
use or permit the use of any misleading, undignified,
self-laudatory or unfair statement or claim
regarding his qualifications or legal services. (Canon
3, CPR)
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Rule 3.01
A lawyer shall not use or permit the use of any
false, fraudulent, misleading, deceptive,
undignified, self-laudatory or unfair statement or
claim regarding his qualifications or legal
services.
(1997 BAR)
Any false, exaggerating, or untrue claims about
his qualification are unethical.
When a lawyer represents to a prospective client
that he has never lost a single case in his entire
career. Certainly, this is impossible for the best
lawyers in the country have experienced losing
cases. (Antiquiera, 1992)
Self-Laudation is Prohibited.
Certain self-laudatory information such as election
to a public office, scholastic honors and
achievements, and legal authorships may be
disseminated. What is prohibited is that which
“creates an unjustified expectation about results the
lawyer can achieve.” (Funa, 2009)
N
Examples of Advertisements which are
considered as deceptive
E
1. Misstatements of fact;
T
2. Suggestions that the ingenuity or prior
record of a lawyer rather than the justice of
A
the claim are the principal factors likely to
determine the result;
3. Inclusion of information irrelevant in
selecting a lawyer; or
4. Representations concerning the quality of
service, which cannot be measured or
verified. (CPR Annotated, PhilJA)
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Rule 3.02
In the choice of a firm name, no false, misleading
or assumed name shall be used. The continued
use of the name of a deceased partner is
permissible provided that the firm indicates in all
its communications that said partner is deceased.
(1994, 1996, 2001 BAR)
A lawyer is not authorized to use a name other than
W
the name inscribed in the Roll of Attorneys in his
practice of law. (Pangan v. Atty. Ramos, A.M. No.
1053, 07 Sept. 1979)
A
Rationale behind the Rule that the Name of
Deceased Partner may still be used
L
All the partners have, by their joint and several
efforts over a period of years contributed to the
goodwill attached to the firm name. In the case of a
O
firm having widespread connections, this goodwill
is disturbed by a change in firm name every time a
partner dies, and that reflects a loss in some degree
E
of the goodwill to the building up of which the
surviving partners have contributed their time, skill
and labor through a period of years. (CPR Annotated,
PhilJA)
NOTE: No name not belonging to any of the partners
or associates may be used in the firm name for any
purpose.
Continued use of the name of a deceased partner is
permissible provided that the firm indicates in all its
communications that said partner is deceased. The
use of a cross after the name of the deceased partner
is sufficient indication. It is advisable though that
the year of the death be also indicated.
The use of the firm name of a foreign law firm is
unethical. (Pineda, 2009)
Use of the firm name “Baker & McKenzie”
constitutes a representation that being associated
with the firm they could "render legal services of the
highest quality to multinational business
enterprises and others engaged in foreign trade and
investment". This is unethical because Baker &
McKenzie is not authorized to practice law here.
34
 I. LEGAL ETHICS
(Dacanay v. Baker & Mckenzie, ADM. Case No. 2131,
10 May 1985)
Maintaining a disbarred lawyer’s name in the firm
name is different from using a deceased partner’s
name in the firm name. Canon 3, Rule 3.02 allows
the use of a deceased partner’s name as long as
there is an indication that the partner is deceased.
This ensures that the public is not misled. On the
other hand, the retention of a disbarred lawyer’s
name in the firm name may mislead the public into
believing that the lawyer is still authorized to
practice law. The use of a deceased partner’s name
in a law firm’s name was allowed upon the
effectivity of the CPR, with the requirement that “the
firm indicates in all its communications that said
partner is deceased.” On the other hand, this court
has ruled that the use of the name of a person who
is not authorized to practice law constitutes
contempt of court. (Kimteng v. Young, G.R. No.
O
210554, 05 Aug. 2015)
E
Rule 3.03
Where a partner accepts public office, he shall
withdraw from the firm and his name shall be
N
dropped from the firm name unless the law
allows him to practice law concurrently.
E
Name of a partner in law firm should be dropped if
appointed as judge since he is no longer allowed to
T
practice law. (Pineda, 2009)
Rationale
A
To prevent the law firm or partners from making
use of the name of the public official to attract
business and to avoid suspicion of undue influence.
Q: Samonte alleges that when she went to
Branch 220, RTC-QC to inquire about the reason
for the issuance of the TRO, Atty. Rolando
Gatdula (Clerk of Court) blamed her lawyer for
writing the wrong address in the complaint for
ejectment. He told her that if she wanted the
execution to proceed, she should change her
lawyer and retain the law office of Atty. Gatdula,
at the same time giving his calling card with the
name "Baligod, Gatdula, Tacardon, Dimailig and
Celera" with office at Rm. 220 Mariwasa Bldg.,
35
717 Aurora Blvd., Cubao, Quezon City,
otherwise, she will not be able to eject the
defendant.
Samonte told Atty. Gatdula that she could not
decide because she was only representing her
sister. To her consternation, the RTC Branch 220
issued an order granting the preliminary
injunction as threatened by Atty. Gatdula
despite the fact that the MTC Branch 37 had
W
issued an Order directing the execution of the
Decision in a prior civil case. Samonte filed an
administrative case for misconduct. Did Atty.
A
Gatdula violate the Code of Conduct and Ethical
Standards for the Public Officials and
L
Employees?
A: YES. The card clearly gives the impression that he
is connected with the said law firm. The
inclusion/retention of his name in the professional
card constitutes an act of solicitation which violates
Section 7(b)(2) of R.A. No. 6713, otherwise known
as “Code of Conduct and Ethical Standards for the
Public Officials and Employees” which declares it
unlawful for a public official or employee to, among
others: (2) Engage in the private practice of their
profession unless authorized by the Constitution or
law, provided that such practice will not conflict or
tend to conflict with official functions. (Samonte v.
Gatdula, A.M. No. 99-1292, 26 Feb. 1999)
Rule 3.04
A lawyer shall not pay or give anything of value to
representatives of the mass media in anticipation
of, or in return for, publicity to attract legal
business.
Rationale
To prevent some lawyers from gaining an unfair
advantage over others through the use of
gimmickry, press pageantry or other artificial
means.
Q: Fiscal Salva conducted the investigation of a
case concerning the killing of Monroy, in the
session hall of the Municipal Court of Pasay City
to accommodate the public and members of the
press. He also told the press that “if you want to
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
ask questions, I am allowing you to do so and the
questions will be reproduced as my own.” Is the
act of Fiscal Salva unethical?
A: YES. Fiscal Salva should be publicly censured for
the uncalled for, and wide, publicity and
sensationalism that he had given to, and allowed in
connection with, his investigation, whatever be his
motive, which is considered and found to be
contempt of court. (Cruz v. Salva, G.R. No. L-12871,
25 July 1959)
CANON 4
A lawyer shall participate in the development of
the legal system by initiating or supporting
efforts in law reform and in the improvement of
the administration of justice.
Participation in the Improvement and Reforms
in the Legal System
By reason of education and experience, lawyers are
especially qualified to recognize deficiencies in the
legal system and to initiate corrective measures
therein.
N
Thus, they should participate in proposing and
supporting legislation and programs to improve the
E
system, without regard to the general interests or
desires of clients or former clients. (Ethical
Consideration 8-1, 1978, Model Code of Professional
T
Responsibility, American Bar Association)
A
Examples:
1. Presenting position papers or resolutions
for the introduction of pertinent bills in
Congress; or
2. Petitions with the Supreme Court for the
amendment of the Rules of Court.
Endorsement by a Lawyer
A lawyer may, with propriety, endorse a candidate
and seek endorsement from other lawyers. A lawyer
should not use or attempt to use the power or
prestige of the judicial office to secure such
endorsement.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
On the other hand, the lawyer whose endorsement
is sought should have the courage and moral
stamina to refuse the request for endorsement if he
believes the candidate lacks the essential
qualifications for the office or believes the opposing
candidate is better qualified. (ABA Opinion 189
(1938); Funa, 2009)
CANON 5
A lawyer shall keep abreast of legal
W
developments, participate in continuing legal
education programs, support efforts to achieve
high standards in law schools as well as in the
A
practical training of law students and assist in
disseminating information regarding the law
L
and jurisprudence.
Participation in the Legal Education Program
This duty carries with it the obligation to be well-
O
informed of the existing laws and to keep abreast
with legal developments, recent enactment, and
E
jurisprudence. It is imperative that they be
conversant with the basic legal principles.
Unless they faithfully comply with such duty, they
may not be able to discharge competently and
diligently their obligations as members of the Bar.
Worse, they may become susceptible to committing
mistakes. (Dulalia Jr. v. Cruz, A.C. No. 6854, 25 Apr.
2007, citing Santiago v. Rafanan, A.C. No. 6252, 05
Oct. 2004)
The latest circular of the Supreme Court provides
for the mandatory attendance of all lawyers in the
“Mandatory Continuing Legal Education” (MCLE)
program of the IBP. Law practitioners have to
comply with the thirty-six (36) hours of mandatory
legal education as a pre-condition to the non-
revocation of license to practice law. (Antiquiera,
1992)
A member who, for whatever reason, is in non-
compliance at the end of the compliance period shall
pay a non-compliance fee. Any member who fails to
satisfactorily comply with Section 2 of Rule 12 shall
be listed as a delinquent members by the IBP Board
of Governors upon the recommendation of the
MCLE Committee, in which case, Rule 139-A of the
36
 I. LEGAL ETHICS
ROC shall apply. (Mendoza-Arcega and Dechavez,
2020)
Three-fold Obligation of a Lawyer under this
Canon
1. He/She owes it to himself/herself to
continue improving his/her knowledge of
the laws.
2. He/She owes it to his/her profession to take
an active interest in the maintenance of
high standards of legal education; and
3. He/She owes it to the lay public to make the
law a part of their social consciousness.
(Pineda, 2009)
CANON 6
These canons shall apply to lawyers in
O
government service in the discharge of their
official tasks.
E
See page 10 for further discussion on Public
Officials and the Practice of Law
N
Lawyers in the Government and Discharge of
Official Tasks
E
Lawyers employed in the government should be
T
more sensitive in the performance of their
professional obligations as their conduct is subject
to constant scrutiny of the public. (Vitriolo v. Dasig,
A
A.C. No. 4984, 01 Apr. 2003)
Canon 6 of the CPR laid down the rules to be
observed by government lawyers in the
performance of their functions. More specifically,
Canon 6 highlights the continuing standard of
ethical conduct to be observed by government
lawyers in the discharge of their official tasks. In
addition to the standard of conduct laid down under
R.A. No. 6713 or the Code of Conduct and Ethical
Standards for Public Officials and Employees, a
lawyer in the government service is obliged to
observe the standard of conduct under the CPR.
Since public office is a public trust, the ethical
conduct demanded upon lawyers in the government
37
service is more exacting than the standards for
those in private practice. Lawyers in the
government service are subject to constant public
scrutiny under norms of public accountability. They
also bear the heavy burden of having to put aside
their private interest in favor of the interest of the
public; their private activities should not interfere
with the discharge of their official functions.
(Mendoza-Arcega and Dechavez, 2020)
W
Q: Provincial Prosecutor Bonifacio refused to
represent the Municipality of San Vicente in a
case for collection of taxes. He explained that he
A
cannot handle the case with sincerity and
industry because he does not believe in the
L
position taken by the municipality. Can
Prosecutor Bonifacio be sanctioned
administratively? (2006 BAR)
A: NO. A lawyer may refuse a case which he believes
to be unmeritorious, because it is “his duty to
counsel or maintain such actions or proceedings
only as appear to him to be just and such defenses
only as he believes to be honestly debatable under
the law. (Sec. 20(c), Rule 138)
The Canons of The CPR are applicable to
government lawyers in the performance of their
official tasks. (Canon 6, CPR)
Rule 6.01
The primary duty of a lawyer engaged in public
prosecution is not to convict but to see to it that
justice is done. The suppression of facts or the
concealment of witnesses capable of establishing
the innocence of the accused is highly
reprehensible and is cause for disciplinary
action.
Q: From the viewpoint of legal ethics, why
should it be mandatory that the public
prosecutor be present at the trial of a criminal
case despite the presence of a private
prosecutor? (2001 BAR)
A: The public prosecutor must be present at the trial
of the criminal case despite the presence of a private
prosecutor in order to see to it that the interest of
the State is well-guarded and protected, should the
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
private prosecutor be found lacking in competence
in prosecuting the case. Moreover, the primary duty
of a public prosecutor is not to convict but to see to
it that justice is done (Rule 6.01, CPR). A private
prosecutor would be naturally interested only in the
conviction of the accused.
Q: When may a private prosecutor appear in
behalf of the State even without the presence or
supervision of a public prosecutor?
A: All criminal actions either commenced by
complaint or by information shall be prosecuted
under the direction and control of a public
prosecutor. In case of heavy work schedule of the
public prosecutor or lack of public prosecutors, the
private prosecutor may be authorized in writing by
the Chief of the Prosecution Office or the Regional
State Prosecutor to prosecute the case subject to the
approval of the court.
NOTE: Once so authorized to prosecute the criminal
action, the private prosecutor shall continue to
prosecute the case up to end of the trial even in the
absence of a public prosecutor, unless the authority
is revoked or otherwise withdrawn. (Sec. 5, Rule
N
110, ROC, as amended by A.M. No. 02-2-07-SC
effective 01 May 2002)
E
Rule 6.02
T
A lawyer in the government service shall not use
his public position to promote or advance his
private interests, nor allow the latter to interfere
A
with his public duties.
Restriction on Lawyers who are also Public
Officials and Employees during their
Incumbency
They must not: (P-E-R-U)
1. Engage in the Private practice of their
profession unless authorized by the
Constitution or law, provided that such
practice will not conflict or tend to conflict
with their official functions;
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
2. Own, control, manage or accept
Employment as officer, employee,
consultant, counsel, broker, agent, trustee
or nominee in any private enterprise
regulated, supervised or licensed by their
office unless expressly allowed by law;
3. Recommend any person to any position in
a private enterprise which has a regular or
pending official transaction with their
W
office; and
4. Use or divulge confidential or classified
A
information officially known to them by
reason of their office and not available to
L
the public.
Rule 6.01 vs. Rule 6.02
Unlike Rule 6.01, 6.02 is not limited to public
O
prosecutors, or lawyers engaged principally in
criminal prosecution. The restriction applies
E
particularly to lawyers in government service, who
are allowed by law to engage in private law practice,
and those who, though prohibited from engaging in
the practice of law, have friends, former associates
and relatives who are in the active practice of law.
(CPR Annotated, PhilJA)
Rule 6.03
A lawyer shall not, after leaving government
service, accept engagement or employment in
connection with any matter in which he had
intervened while in said service.
(1992, 1993, 2001 BAR)
The restriction provided under the rule covers
engagement or employment which means that he
cannot accept any work or employment from
anyone that will involve or relate to the matter in
which he intervened as a public official, except on
behalf of the body or authority which he served
during his public employment. (CPR Annotated,
PhilJA)
NOTE: Sec. 7(b) of R.A. No. 6713 prohibits a former
public official or employee for a period of 1 year
after retirement or separation from office to
practice his or her profession in connection with
38
 I. LEGAL ETHICS
any matter before the office he or she used to be Consequently, the danger that confidential official
with. information might be divulged is still nil, if not
inexistent. Their interests coincide instead of
Q: Solicitor General Estelito Mendoza filed a colliding. (PCGG v. Sandiganbayan, G.R. Nos. 151809-
petition with the CFI praying for the assistance 12, 12 Apr. 2005)
and supervision of the court in the GenBank’s
liquidation. Mendoza gave advice on the Adverse-Interest Conflict vs. Congruent-Interest
procedure to liquidate the GenBank. Conflict
Subsequently, President Aquino established the
PCGG to recover the alleged ill-gotten wealth of CONGRUENT-

W
former President Marcos, his family and cronies. ADVERSE-INTEREST INTEREST
CONFLICTS REPRESENTATION
The PCGG filed with the Sandiganbayan a CONFLICTS

A
complaint for reversion, reconveyance, As to the Scenarios Applicable
restitution, accounting and damages against
Exist where the matter

L
Tan, et al. and issued several writs of
in which the former
sequestration on properties they allegedly
government lawyer The disqualification
acquired. Tan, et al. were represented by former
represents a client in does not involve a
SolGen Mendoza, who has then resumed his
private practice is conflict at all, because
private practice of law. The PCGG filed motions

O
substantially related to it prohibits the lawyer
to disqualify Mendoza as counsel for Tan, et al.,
the matter that the from representing a
alleging that then SolGen and counsel to Central
lawyer dealt with private practice client

E
Bank, “actively intervened” in the liquidation of
while employed by the even if the interests of
GenBank, which was subsequently acquired by
government and the the former
Tan, et al. Is Rule 6.03 of the CPR applicable to
interests of the government client and

N
Mendoza?
government and the the new client are
interests of the current entirely parallel.
A: NO. The advice given by Mendoza on the
and former are

E
procedure to liquidate the GenBank is not the
adverse.
“matter” contemplated by Rule 6.03 of the CPR.

T
NOTE: “Congruent-interest representation
ABA Formal Opinion No. 342 is clear in stressing
conflict,” unlike the “adverse-interest conflict,” is
that the “drafting, enforcing or interpreting
unique to former government lawyers. (PCGG v.

A
government or agency procedures, regulations or
Sandiganbayan, G.R. Nos. 151809-12. 12 Apr. 2005)
laws, or briefing abstract principles of law” are acts
which do not fall within the scope of the
term “matter”. 2. TO THE LEGAL PROFESSION

NOTE: In fine, the intervention cannot be Canons 7 to 9:

insubstantial and insignificant
However, this concern does not cast shadow in the
case at bar. The act of Mendoza in informing the
Central Bank on the procedure on how to liquidate
the GenBank is different from the subject matter of
the civil case about the sequestration of the shares
of Tan et al. in Allied Bank.
7. At all times uphold the integrity and dignity
of the profession and support the activities
of the IBP.
8. Conduct oneself with courtesy, fairness and
candor toward his colleagues and avoid
harassing tactics against opposing counsel.

39
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
9. Not to directly or indirectly assist in the
unauthorized practice of law.
CANON 7
A lawyer shall at all times uphold the integrity
and dignity of the legal profession and support
the activities of the integrated bar.
Integrated Bar of the Philippines (IBP)
It is an official national body composed of all
persons whose names now appear or may hereafter
be included in the Roll of Attorneys of the Supreme
Court. (Sec. 1, Rule 139-A, ROC)
Statutory Basis
R.A. No. 6397 or An Act Providing for the Integration
of the Philippine Bar, and Appropriating Funds
Therefor. The Supreme Court may adopt rules of
court to effect the Integration of the Philippine Bar
under such conditions as it shall see fit in order to
raise the standards of the legal profession, improve
the administration of justice and enable the bar to
discharge its public responsibility more effectively.
(Sec. 1, R.A. No. 6397)
N
NOTE: The IBP is a state-organized bar, to which
E
every lawyer must belong, as distinguished from
bar associations organized by lawyers themselves,
where membership is voluntary. It is a national
T
organization of lawyers created on 16 Jan. 1973
under Rule 139-A of the ROC, and constituted on 04
A
May 1973 into a body corporate by P.D. No. 181.
Integration of the Bar
The integration of the Philippine Bar means the
official unification of the entire lawyer population,
and this requires membership and financial support
of every attorney as condition sine qua non to the
practice of law and the retention of his name in the
Roll of Attorneys of the Supreme Court. (Pineda,
1999)
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Fundamental Purposes of the IBP
The IBP is established to:
1. Elevate the standards of the legal
profession;
2. Improve the administration of justice; and
3. Enable the Bar to discharge its public
responsibility more effectively. (Sec. 2, Rule
139-A, Rules of Court, as amended)
W
NOTE: The Philippines is divided into nine (9)
A
Regions of the Integrated Bar, with a Chapter
organized in every province. Each Chapter shall
have its own local government as provided for by
L
uniform rules to be prescribed by the Board of
Governors and approved by the Supreme Court.
(Secs. 3 and 4, Rule 139-A, ROC)
O
Constitutionality of the IBP Integration
The practice of law is not a vested right but a
E
privilege clothed with public interest. Hence, it is
fair and just that the exercise of that privilege be
regulated to assure compliance with the lawyer's
public responsibilities. Given existing bar
conditions, the most efficient means of doing so is
by integrating the Bar through a rule of court that
requires all lawyers to pay annual dues to the
Integrated Bar. (In the Matter of the Integration of
the Bar of the Philippines, 49 SCRA 22, 09 Jan. 1973)
Structure of the IBP Board
Nine (9) Governors shall be elected by the House of
Delegates from the nine (9) Regions on the
representation basis of one Governor from each
Region. Each Governor shall be chosen from a list of
nominees submitted by the Delegates from the
Region, provided that not more than one (1)
nominee shall come from any Chapter. The
President and the Executive Vice President, if
chosen by the Governors from outside of
themselves as provided in Sec. 7 of this Rule, shall
ipso facto become members of the Board. (Sec. 6,
Rule 139-A, ROC, as amended)
40
 I. LEGAL ETHICS
Term of Members of the IBP Board
The Governors shall hold office for a term of two (2)
years from July 1 immediately following their
election to June 30 of their second year in office and
until their successors shall have been duly chosen
and qualified. (Sec. 38, Art. VI, IBP By-Laws)
Principle of Rotation
Under this principle, the governorship of a region
shall rotate once in as many terms as the number of
chapters there are in the region, to give every
chapter a chance to represent the region in the
Board of Governors. Thus, in a region composed of
5 chapters, each chapter is entitled to the
governorship once in every 5 terms, or once every
ten (10) years, since a term is two (2) years. (Atty.
Magsino et al. v. Atty. Vinluan, A.M. No. 09-5-2-SC, 14
Dec. 2010)
O
NOTE: The principle on rotation shall be strictly
E
implemented. All prior elections for governor in the
region shall be reckoned with or considered in
determining who should be the governor to be
N
selected from the different chapters to represent
the region in the Board of Governors. (Bar Matter
No. 586, 16 May 1991)
E
Kinds of Rotation
T
1. Rotation by Pre-ordained Sequence - It is
effected by the observance of the sequence of
A
the service of the chapters in the first cycle,
which is predictable.
2. Rotation by Exclusion - It is effected by the
exclusion of a chapter who had previously
served until all chapters have taken their turns
to serve. It is not predictable as each chapter
will have the chance to vie for the right to serve,
but will have no right to a re-election as it is
debarred from serving again until the full cycle
is completed. (In the Matter of the Brewing
Controversies in the Elections of the Integrated
Bar of the Philippines, A.M. No. 09-5-2-SC, 04 Dec.
2012)
41
NOTE: In one case, the Supreme Court held that
rotation by exclusion shall be adopted since the
elections would be more genuine as the opportunity
to serve as Governor at any time is once again open
to all chapters, unless, of course, a chapter has
already served in the new cycle.
While predictability is not altogether avoided, as in
the case where only one chapter remains in the
cycle, still, as previously noted by the Court “the
W
rotation rule should be applied in harmony with,
and not in derogation of, the sovereign will of the
electorate as expressed through the ballot.” (In the
A
Matter of the Brewing Controversies in the Elections
of the IBP, A.M. No. 09-5-2-SC, 04 Dec. 2012)
L
Transferring to another IBP Chapter is not a
Ground for Disqualification to run as IBP
Governor.
Transferring to another IBP Chapter is not a ground
for disqualification for the post of IBP Governor as
the same is allowed under Section 19 of the IBP By-
Laws with the qualification only that the transfer be
made not less than three months immediately
preceding any chapter election. (Velez v. De Vera,
A.C. No. 6697, 25 July 2006)
Board Meetings
The Board shall meet regularly once every three
months, on such date and at such time and place as
it shall designate. A majority of all the members of
the Board shall constitute a quorum to do business.
Special meetings may be called by the President or
by five members of the Board. (Sec. 6, Rule 139-A,
Rules of Court, as amended)
IBP Officers
The Integrated Bar shall have a/an:
1. President;
2. Executive Vice President who shall be chosen
by the Governors immediately after the latter’s
election; either from among themselves or from
other members of the Integrated Bar, by the
vote of at least five Governors. Each of the
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
regional members of the Board shall be ex
officio Vice President for the Region which he
represents;
3. Secretary;
4. Treasurer; and
5. Such other officers and employees as may be
required by the Board of Governors, to be
appointed by the President with the consent of
the Board, and to hold office at the pleasure of
the Board or for such term as it may fix. Said
officers and employees need not be members of
the Integrated Bar. (Sec. 7, Rule 139-A, ROC)
NOTE: No lawyer holding an elective, judicial, quasi-
judicial, or prosecutory office in the Government or
any political subdivision or instrumentality thereof
shall be eligible for election or appointment to any
position in the Integrated Bar or any Chapter
thereof.
A Delegate, Governor, officer or employee of the
Integrated Bar, or an officer or employee of any
Chapter thereof shall be considered ipso facto
N
resigned from his position as of the moment he files
his certificate of candidacy for any elective public
E
office or accepts appointment to any judicial, quasi-
judicial, or prosecutory office in the Government or
any political subdivision or instrumentality thereof.
T
(Sec. 13, Rule 139-A, Rules of Court, as amended)
A
Term of Officers
The President and the Executive Vice President
shall hold office for a term of two years from July 1
following their election until June 30 of their second
year in office and until their successors shall have
been duly chosen and qualified.
In the event the President is absent or unable to act,
his functions and duties shall be performed by the
Executive Vice President, and in the event of the
death, resignation, or removal of the President, the
Executive Vice President shall serve as Acting
President for the unexpired portion of the term.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
In the event of the death, resignation, removal or
disability of both the President and the Executive
Vice President, the Board of Governors shall elect an
Acting President to hold office for the unexpired
portion of the term or during the period of
disability. Unless otherwise provided in these By-
Laws, all other officers and employees appointed by
the President with the consent of the Board shall
hold office at the pleasure of the Board or for such
term as the Board may fix. (Sec. 49, Article VII, IBP
W
By-Laws)
Qualifications of a Regional IBP Governor
A
A regional IBP Governor shall be:
L
1. A member in good standing in the IBP;
2. Included in the voters list of his/her
chapter or is not disqualified by the
O
Integration Rule, by the By-Laws of the
Integrated Bar, or by the By-Laws of the
E
Chapter to which he belongs;
3. Not belong to a chapter from which a
regional governor has already been elected,
unless the election is the start of a new
season or cycle; and
4. Not be in the government service. (In Re:
Petition to disqualify Atty. De Vera, A.C. No.
6052, 11 Dec. 2003)
NOTE: Moral fitness is not an explicit qualification
in the IBP by-laws.
Vacancy occurring in the IBP Presidency
1. In the event the President is absent or unable to
act, his duties shall be performed by the
Executive Vice President.
2. In the event of the death, resignation, or
removal of the President, the Executive Vice
President shall serve as Acting President during
the remainder of the term of the office thus
vacated.
42
 I. LEGAL ETHICS
3. In the event of the death, resignation, removal Prohibited Acts and Practices relative to the
or disability of both the President and the Elections of IBP Officers
Executive Vice President, the Board of
Governors shall elect an Acting President to The following acts are prohibited in relation to
hold office until the next succeeding election or elections of IBP officers:
during the period of disability. (Sec. 49, Article
VII, IBP By-Laws) 1. Distribution, except on election day, of
election campaign materials;
NOTE: He shall serve only the unexpired term.
2. Distribution, on election day, of election

W
Q: Atty. Ubano filed a motion seeking to nullify campaign materials other than a statement
the nomination of Atty. Chaguile as replacement of the bio data of the candidate on not more
of IBP Governor for Northern Luzon, Atty. than one page of a legal size sheet of paper;

A
Habawel, alleging that the IBP’s by-laws clearly or causing the distribution of such
states that there must be first a vacancy or a statement to be done by persons other than

prior resignation before the delegates of the
Region can lawfully elect a successor. On the
other hand, the IBP-BOG alleges that it was not
necessary for a position to be absolutely vacant 3.
before a successor may be appointed or elected
L
those authorized by the officer presiding at
the elections;
Campaigning for or against any candidate,
while holding an elective, judicial, quasi-

O
and that it has been the "tradition" of the IBP judicial or prosecutory office in the
that where the unexpired term is only for a very Government or any political subdivision,

E
short period of time, it is usually the BOG which agency or instrumentality thereof;
appoints a replacement or an officer in charge to
serve the unexpired term. Is the nomination 4. Formation of tickets, single slates, or

N
invalid? combinations of candidates as well as the
advertising thereof; and
A: NO. It is not only erroneous but also absurd to

E
insist that a vacancy must actually and literally exist 5. For the purpose of inducing or influencing
at the precise moment that a successor to an office a member to withhold his vote, or to vote

T
is identified. Where a vacancy is anticipated with for or against a candidate:
reasonable certainty—as when a term is ending or a. Payment of the dues or other
the effectivity of a resignation or a retirement is indebtedness of any member;

A
forthcoming—it is but reasonable that those who
are in a position to designate a replacement act b. Giving of food, drink,
promptly. New officials are elected before the end of entertainment, transportation or
an incumbent’s term; replacements are recruited any article of value, or any similar
(and even trained) ahead of an anticipated consideration to any person; or
resignation or retirement. This is necessary to
ensure the smooth and effective functioning of an c. Making a promise or causing an
office. Between prompt and lackadaisical action, the expenditure to be made, offered or
former is preferable. It is immaterial that there is an promise to any person. (Sec. 4, IBP
identified successor-in-waiting so long as there are By-Laws; In the Matter of the
no simultaneous occupants of an office. (Re: Inquiry into the 1989 Elections of
Nomination of Atty. Lynda Chauile, A.M. No. 13-04- the Integrated Bar of the
03-SC, 10 Dec. 2013) Philippines, A.M. No. 491, 06 Oct.
1989).

43
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Q: The Integrated Bar of the Philippines adopted
a resolution recommending to the Court the
removal of the name Marcial A. Edillon, a duly
licensed practicing attorney, from its Roll of
Attorneys for stubborn refusal to pay his
membership dues to the IBP since its
constitution, notwithstanding due notice. Is
Edillon correct in his objection that the Court is
without power to compel him to become a
member of the IBP; hence, making Sec. 1 of Rule
139-A of the Rules of Court unconstitutional as it
infringes his constitutional right of freedom to
associate (and not to associate)?
A: NO. To compel a lawyer to be a member of the
Integrated Bar is not violative of his constitutional
freedom to associate. Integration does not make a
lawyer a member of any group of which he is not
already a member. He became a member of the Bar
when he passed the Bar Examinations. What
integration does is to provide an official national
organization for the well-defined but unorganized
group of which every lawyer is already a member.
Assuming that the questioned provision does in
sense compel a lawyer to be a member of the
N
Integrated Bar, such compulsion is justified as an
exercise of the plenary power of the Court (In the
E
Matter of IBP Membership dues delinquency of Atty.
Marcial Edillon, A.M. No. 1928, 03 Aug. 1978)
T
NOTE: A lawyer does not automatically become a
member of the IBP chapter where he resides or
A
works after becoming a full-fledged member of the
Bar. He has the discretion to choose the IBP Chapter
he wants to join. (Garcia v. De Vera, A.C. 6052, 11 Dec.
2003)
Unless he otherwise registers his preference for a
particular Chapter, a lawyer shall be considered a
member of the Chapter of the province, city, political
subdivision or area where his office is or, in the
absence thereof, his residence is located. In no case
shall any lawyer be a member of more than one
Chapter. (Sec. 4, Rule 139-A, Rules of Court, as
amended)
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Procedure for Voluntary Termination of
Membership
A member may terminate his membership by filing
a written notice to that effect with the Secretary of
the Integrated Bar, who shall immediately bring the
matter to the attention of the Supreme Court.
Forthwith he shall cease to be a member and his
name shall be stricken by the Court from the Roll of
Attorneys. (Sec.11, Rule 139-A, Rules of Court, as
W
amended)
NOTE: Re-instatement may be made by the Court in
A
accordance with rules and regulations prescribed
by the Board of Governors and approved by the
L
Court. (Sec. 11, Rule 139-A, Rules of Court, as
amended)
Membership Dues
O
Every member of the Integrated Bar shall pay such
annual dues as the Board of Governors shall
E
determine with the approval of the Supreme Court.
A fixed sum equivalent to ten percent (10%) of the
collections from each Chapter shall be set aside as a
Welfare Fund for disabled members of the Chapter
and the compulsory heirs of deceased members
thereof. (Sec. 9, Rule 139-A, Rules of Court, as
amended)
NOTE: Membership dues are not prohibited by the
Constitution. The fee is imposed as a regulatory
measure, designed to raise funds for carrying out
the purposes and objectives of the integration. (In
the Matter of IBP Membership dues delinquency of
Atty. Marcial Edillon, A.M. No. 1928, 03 Aug. 1978)
Effect of Non-Payment of Dues
Default in the payment of annual dues for six (6)
months shall warrant suspension of membership in
the Integrated Bar, and default in such payment for
one (1) year shall be a ground for the removal of the
name of the delinquent member from the Roll of
Attorneys (Sec. 10, Rule 139-A, ROC, as amended)
Q: Atty. Llamas, for a number of years, has not
indicated the proper PTR and IBP O.R. Nos. and
data in his pleadings. He only indicated “IBP
44
 I. LEGAL ETHICS
Rizal 259060” but he has been using this for at
least three (3) years. Atty. Llamas averred that
he is only engaged in a “limited” practice of law
and under R.A. No. 7432, as a senior citizen, he is
exempt from payment of income taxes,
including the payment of membership dues. Is
Atty. Llamas correct?
A: NO. Rule 139-A requires that every member of
the Integrated Bar shall pay annual dues and default
thereof shall warrant the appropriate penalties. It
does not matter whether or not Atty. Llamas is only
engaged in “limited” practice of law. Moreover, the
exemption invoked by Atty. Llamas does not include
exemption from payment of membership or
association dues. (Santos Jr. v. Atty. Llamas, A.C. No.
4749, 20 Jan. 2000)
NOTE: R.A. No. 7432, or “An Act to Maximize the
Contribution of Senior Citizens to Nation Building,
O
Grants Benefits, and Special Privileges”, providing
20% discount to Senior Citizens DOES NOT apply to
E
IBP Dues. (Santos Jr. v. Atty. Llamas, A.C. No. 4749, 20
Jan. 2000)
N
Q: Atty. Arevalo sought exemption from
payment of IBP dues for the alleged unpaid
accountability for the years 1977-2005. He
E
alleged that after being admitted to the
Philippine Bar in 1961, he became part of the
T
Philippine Civil Service then migrated to, and
worked in the USA from December 1986 until
his retirement in 2003. He maintained that he
A
cannot be assessed IBP dues for the years that he
was working in the Philippine Civil Service since
the Civil Service law prohibits the practice of
one’s profession while in government service,
and neither can he be assessed for the years
when he was working in the USA. Is Atty. Arevalo
entitled to exemption from payment of his dues
during the time that he was inactive in the
practice of law?
A: NO. The Integration of the Philippine Bar means
the official unification of the entire lawyer
population. This requires membership and financial
support of every attorney as condition sine qua non
to the practice of law and the retention of his name
in the Roll of Attorneys of the Supreme Court.
45
Payment of dues is a necessary consequence of
membership in the IBP, wherein no one is exempt.
This means that the compulsory nature of payment
of dues subsists for as long as one’s membership in
the IBP remains regardless of the lack of practice of,
or the type of practice, the member is engaged in.
There is nothing in the law or rules which allow
exemption from payment of membership dues
(even if the lawyer is staying abroad). He could have
informed the Secretary of the Integrated Bar of his
W
intention to stay abroad before he left. In such case,
his membership in the IBP could have been
terminated and his obligation to pay dues could
A
have been discontinued. (Letter of Atty. Arevalo, Jr.
requesting Exemption from Payment of Dues, B.M. No.
L
1370, 09 May 2005)
No Retirement in the IBP
There is no such thing as retirement in the IBP as
understood in labor law. A lawyer, however, may
terminate his bar membership after filing the
required verified notice of termination with the
Secretary of the Integrated Bar. (In Re: Atty. Jose
Principe, Bar Matter No. 543, 20 Sept. 1990).
Rule 7.01
A lawyer shall be answerable for knowingly
making a false statement or suppressing a
material fact in connection with his application
for admission to the bar.
Upholding the Dignity and Integrity of the
Profession
The concealment of an attorney in his application to
take the bar exams of the fact that he had been
charged with or indicted for an alleged crime, is
ground for revocation of his license to practice law.
(In re: Victorino Lanuevo, A.M. No. 1162, 29 Aug.
1975)
Honest Mistake as Excuse in making False
Statement
An honest mistake in making false statement may be
a valid excuse but the burden of proof lies on the one
who alleges it.
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
On the other hand, to be liable for suppressing a fact
or information in the application, the suppression
must be:
1. Deliberately or knowingly made; and
2. The fact or information suppressed must be
material. (CPR Annotated, PhilJA)
Discovery of False Statements or Suppression of
Material Fact in the Application for Admission to
the Bar
1. If such happens before the candidate could take
the bar examinations, then he will be denied
permission to take the examinations.
2. If it happens after the candidate had passed the
examinations but before having been taken his
oath, then he will not be allowed to take his oath
as a lawyer.
3. If it happens after the candidate had taken his
oath as a lawyer, then his name will be stricken
from the Roll of Attorneys.
Effect of Concealment of a Crime which does not
N
involve Moral Turpitude
E
Concealment will be taken against him. It is not the
commission of the crime that makes him morally
unfit to become a lawyer, but it is the concealment
T
that he committed. When he made concealment, he
perpetrated perjury. (In re: Victorino Lanuevo, A.M.
A
No. 1162, 29 Aug. 1975)
Rule 7.02
A lawyer shall not support the application for
admission to the bar of any person known by him
to be unqualified in respect to character,
education, or other relevant attribute.
Rationale
The rationale behind the rule goes beyond the
personal responsibility to be upright and honest. It
further extends to the lawyer’s responsibility to
uphold the integrity and dignity of the profession,
by not blindly issuing certifications in support of
applications for admission to the bar of persons
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
known to him or her to have questionable character,
inadequate education or other relevant attributes
not consistent with any or all of the requirements
for admission (CPR Annotated, PhilJA).
Rule 7.03
A lawyer shall not engage in conduct that
adversely reflects on his fitness to practice law,
nor shall he, whether in public or private life,
behave in a scandalous manner to the discredit of
W
the legal profession.
(2004 BAR)
A
A member of the Bar and officer of the court is not
only required to refrain from adulterous
L
relationships, or the keeping of mistresses, but must
also so behave himself as to avoid scandalizing the
public by creating the belief that he is flouting those
moral standards. (Zaguirre v. Castillo, A.C. No. 4921,
O
06 Mar. 2003)
Q: Atty. Perenia got married in 2005. Then he
E
met another woman, Helen. They fell in love and
cohabitated. Atty. Perenia would even bring
Helen along to social functions and introduce
her as his second wife. Rule on the conduct of
Atty. Perenia.
A: It violates Rule 7.03 of the CPR. Shamelessly
flaunting his mistress constitutes an act which
embarrasses and discredits the law profession since
it is his duty and obligation to uphold the dignity
and integrity of the profession. The actuation of
Atty. Perenia is contrary to good morals. While it has
been held in disbarment cases that the mere fact of
sexual relations between two unmarried adults is
not sufficient to warrant administrative sanction for
such illicit behavior, it is not so with respect to
betrayals of the marital vow of fidelity. Even if not all
forms of extra-marital relations are punishable
under penal law, sexual relations outside marriage
are considered disgraceful and immoral as it
manifests deliberate disregard of the sanctity of
marriage and the marital vows protected by the
Constitution and affirmed by our laws. (Vitug v.
Rongcal, A.C. No. 6313, 07 Sept. 2006)
46
 I. LEGAL ETHICS
Q: Atty. Kuripot was one of Town Bank’s valued
clients. In recognition of his loyalty to the bank,
he was issued a gold credit card with a credit
limit of ₱250,000.00. After two months, Atty.
Kuripot exceeded his credit limit, and refused to
pay the monthly charges as they fell due. Aside
from a collection suit, Town Bank also filed a
disbarment case against Atty. Kuripot. In his
comment on the disbarment case, Atty. Kuripot
insisted that he did not violate the CPR since his
obligation to the bank was personal in nature
and had no relation to his being a lawyer. Is Atty.
Kuripot correct? Explain your answer. (2005
BAR)
A: NO. Atty. Kuripot is not correct. Section 7.03 of
the CPR provides that “a lawyer shall not engage in
conduct that adversely affects his fitness to practice
law, nor shall he, whether in public or private life,
behave in a scandalous manner to the discredit of
O
the legal profession.”
E
Q: Should Atty. Kuripot be held administratively
liable for his refusal to settle his credit card bill?
(2005 BAR)
N
A: He may NOT be held administratively liable. The
Supreme Court has held that it does not have
E
original jurisdiction over complaints for collection
of debts. The creditor’s course of action is civil, not
T
administrative, in nature and proper reliefs may be
obtained from the regular courts. (Litigio v. Dicon,
A.M. No. MTJ-93-806, 13 July 1995)
A
Q: Atty. Capito was supposed to represent
Milagros in a claim for support against her
husband but no legal action was taken. He then
borrowed 4,000 from Milagros. He was also
permitted to stay in the house of Milagros for
two (2) weeks but he prolonged his stay to a
month and reneged on his promise to pay. Atty.
Capito continued to borrow money from her and
the debt grew to ₱16,000. When Milagros finally
met him to collect the debt, Atty. Capito, in the
presence of several others, told her “Eh kung
sabihin ko na sugar mommy kita”. Rule on the
conduct of Atty. Capito.
47
A: Atty. Capito is guilty of gross discourtesy
amounting to conduct unbecoming of a court
employee. By such violation, he failed to live up to
his oath of office as member of the Integrated Bar of
the Philippines and violated Rules 7.03 and 8.01 of
the CPR. He should not use abusive, offensive,
scandalous, menacing, and improper language. A
lawyer’s every act or word should be marked by
prudence, restraint, courtesy, and dignity. (In re:
Complaints of Mrs. Milagros Lee & Samantha Lee
W
against Atty. Gil Luisito R. Capito, A.M. No. 2008-19-
SC, 18 Aug. 2010)
A
Q: Ricafort filed a complaint for disbarment
against Atty. Medina. Ricafort alleged that his
L
tricycle sideswiped Atty. Medina’s car along
Sarvida Street in Surigao City. Atty. Medina then
alighted from his car and confronted Ricafort.
The latter allegedly snapped at him, saying: “Do
you not know me?" and proceeded to slap him,
and then left. Should Atty. Medina be held
administratively liable?
A: YES. Good character is a continuing qualification
for lawyers. The Court has the power to impose
disciplinary sanctions to lawyers who commit acts
of misconduct in either a public or private capacity
if the acts show them unworthy to remain officers of
the court.
Canon 7, Rule 7.03 of the CPR provides that “A
lawyer shall not engage in conduct that adversely
reflects on his fitness to practice law, nor shall he
whether in public or private life, behave in a
scandalous manner to the discredit of the legal
profession.”
By itself, the act of humiliating another in public by
slapping him or her on the face hints of a character
that disregards the human dignity of another. Atty.
Medina’s question to Ricafort confirms such
character and his potential to abuse the profession
as a tool for bullying, harassment, and
discrimination. His act discredits the legal
profession by perpetuating a stereotype that is
unreflective of the nobility of the profession.
(Ricafort v. Medina, A.C. No. 5179, 31 May 2016)
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Q: In a civil case filed against them, the
defendants, through their counsel, Atty. Rivera,
filed their Answer, which appeared to have been
signed by all the defendants, and was prepared
and notarized by Atty. Rivera in his law office in
Tuguegarao City, Cagayan. However, upon
inquiry, Atty. Rivera was not commissioned as a
notary public for and in the Province of Cagayan
at the time, as stated in the Certification issued
by the Office of the Clerk of Court of the RTC of
Tuguegarao City. Further, Atty. Rivera admitted
that not all defendants personally appeared
before him when he notarized the Verification.
Hence, an administrative complaint was filed
against Atty. Rivera. Will the case prosper?
A: YES. Notarization converts a private document
into a public document. Notarization is not a mere
empty, meaningless, routinary act. It is invested
with substantive public interest, such that only
those who are qualified or authorized may act as
notaries public. Corollarily, under Sec. 11 of the
2004 Rules on Notarial Practice, only a person who
is commissioned as notary public may perform
notarial acts in any place within the territorial
jurisdiction of the commissioning court for a period
N
of 2 years commencing the first day of January of the
year in which the commissioning is made, unless
E
earlier revoked or the notary public has resigned.
Atty. Rivera's act is in blatant disregard of the
T
Lawyer's Oath to obey the laws, i.e. the Notarial Law,
and to do no falsehood. It likewise constitutes a
A
transgression of Rule 1.01 of Canon 1 of the CPR,
which states that: "A lawyer shall not engage in
unlawful, dishonest, immoral or deceitful conduct."
He also transgressed Canon 7 of the CPR, which
mandates that every lawyer shall "uphold at all
times the integrity and dignity of the legal
profession," and Rule 7.03 which provides, “A
lawyer shall not engage in conduct that adversely
reflects on his fitness to practice law, nor shall he,
whether in public or private life, behave in a
scandalous manner to the discredit of the legal
profession” (Atty. Antonio Manzano v. Atty. Carlos
Rivera, A.C. No. 12173, 03 Nov. 2020, as penned by J.
Hernando).
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
The Defense of in pari delicto is a Sufficient
Ground for Disbarment.
In a disbarment proceeding, it is immaterial that the
complainant was also at fault, in pari delicto,
because this is not a proceeding to grant relief to the
complainant, but one to purge the law profession of
unworthy members, to protect the public and the
courts. Pari delicto is not always a complete defense.
(Mortel v. Aspiras, A.M. No. 145, 28 Dec. 1956)
W
CANON 8
A lawyer shall conduct himself with courtesy,
A
fairness and candor towards his professional
colleagues, and shall avoid harassing tactics
L
against opposing counsel.
Courtesy, Fairness, and Candor Towards
Professional Colleagues
O
The lawyer’s arguments, whether written or oral,
should be gracious to both the court and opposing
E
counsel and be of such words as may be properly
addressed by one gentleman to another. (National
Security Co. v. Jarvis, 278 U.S. 610)
A lawyer’s language should be forceful but dignified,
emphatic but respectful as befitting an advocate and
in keeping with the dignity of the legal profession.
The use of unnecessary language is proscribed if we
are to promote high esteem in the courts and trust
in judicial administration. (Lacurom v. Jacoba, A.C.
No. 5921, 10 Mar. 2006)
Q: Atty. Ferrer filed a reply with opposition to
motion to dismiss that contained abusive,
offensive, and improper language which
insinuated that Atty. Barandon presented a
falsified document in court. He also filed a
fabricated charge against Atty. Barandon in
another case for alleged falsification of public
document. Furthermore, at the courtroom
of MTC Daet before the start of hearing, Atty.
Ferrer, evidently drunk, threatened Atty.
Barandon saying, "Laban kung laban, patayan
kung patayan, kasama ang lahat ng pamilya.
Wala na palang magaling na abogado sa
Camarines Norte, ang abogado na rito ay mga
taga-Camarines Sur, umuwi na kayo sa
48
 I. LEGAL ETHICS
Camarines Sur, hindi kayo taga-rito." Is he guilty
of violation of the CPR?
A: YES. Canon 8 of the CPR commands all lawyers to
conduct themselves with courtesy, fairness, and
candor towards their fellow lawyers and avoid
harassing tactics against opposing counsel. Atty.
Ferrer’s actions do not measure up to this Canon.
Moreover, Atty. Ferrer could have aired his charge
of falsification in a proper forum and without using
offensive and abusive language against a fellow
lawyer. The Court has constantly reminded lawyers
to use dignified language in their pleadings despite
the adversarial nature of our legal system.
(Barandon v. Ferrer, Sr., A.C. No. 5768, 26 Mar. 2010)
Q: Atty. Y, in his motion for reconsideration of
the Decision rendered by the NLRC, alleged that
there was connivance of the NLRC
Commissioners with Atty. X for monetary
O
considerations in arriving at the questioned
decision. He insulted the Commissioner for their
E
ineptness in appreciating the fact as borne by
the evidence presented. Atty. X files an
administrative complaint against Atty. Y for
N
using abusive language. Atty. Y posits that as a
lawyer for the down-trodden laborers, he is
entitled to express his righteous anger against
E
the Commissioners for having cheated them;
that his allegations in the motion for
T
reconsideration are absolutely privileged; and
that proscription against the use of abusive
language does not cover pleadings filed with the
A
NLRC, as it is not a court, nor are any of its
Commissioners Justices or Judges. Is Atty. Y
administratively liable under the CPR? Explain.
(2010 BAR)
A: YES. Atty. Y has violated Canons 8 and 11 of the
CPR; hence, is administratively liable. A lawyer shall
not, in his professional dealings, use language which
is abusive, offensive or otherwise improper. The
argument that the NLRC is not a court, is unavailing.
The lawyer remains a member of the Bar, an “oath-
bound servant of the law, whose first duty is not to
his client but to the administration of justice and
whose conduct ought to be and must be
scrupulously observant of the law and ethics.”
49
Moreover, the argument that labor practitioners are
entitled to some latitude of righteous anger is
unavailing. It does not deter the Court from
exercising its supervisory authority over lawyers
who misbehave or fail to live up to that standard
expected of them as members of the Bar. (Johnny Ng
v. Atty. Alar, A.C. No. 7252, 22 Nov. 2006)
Instances of Lack of Candor
W
The following instances indicate lack of candor or
dishonesty:
A
1. Misquoting the contents of paper,
testimony of a witness, the language or the
L
argument of opposing counsel, or the
language of the decision or a textbook;
2. With knowledge of its invalidity, to cite as
authority a decision that has been
overruled or a statute that has been
repealed, or in the argument to assert as a
fact that which has not been proved, or in
those jurisdictions where the side has the
opening and closing arguments to mislead
his opponent by concealing or withholding
positions in his opening argument upon
which his side then intends to rely;
3. Offering evidence which he knows the
court should reject; or
4. Introducing into an argument, addressed to
the court, remarks or statements intended
to influence the bystanders. (Pineda, 2009)
Rule 8.01
A lawyer shall not, in his professional dealings,
use language which is abusive, offensive or
otherwise improper.
Instances of Disrespectful Language
1. Categorizes the Supreme Court decision as
false, erroneous and illegal; (Surigao
Mineral Reservation Board v. Cloribel, G.R.
No. L-27072, 09 Jan. 1970)
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
2. Describes a judge’s attitude as “unjust, Criticism vs. Insult
hostile, vindictive and dangerous”;(Cornejo
v. Judge Tan, G.R. No. L-2217, 23 Mar. 1950) CRITICISM INSULT
As to Extent and Limits
3. States that “justice is not only blind, but also Pass beyond that line
deaf and dumb”; (In Re: Almacen, G.R. No. L- and charge that
27654, 18 Feb. 1970) judicial conduct was
influenced by
4. Attributes to the Supreme Court acts of improper, corrupt, or
dismissing judges “without rhyme and selfish motives, or that

W
Confined to the facts
reason” and disbarring lawyers “without such conduct was
and is based on the
due process”; (Zaldivar v. Gonzales, G.R. Nos. affected by political
decisions of the court.
79690-707, 01 Feb. 1989) prejudice or interest,

A
the tendency is to
5. Calls an adverse counsel as “bobo” or using create distrust and

L
the word “ay que bobo” in reference to the destroy the confidence
manner of offering evidence (Castillo v. of the people in their
Padilla Jr., A.M. No. 2339, 24 Feb. 1984); courts.
As to the Effects
6. Calling an adverse counsel as “polpol”;

O
A criticism after a case
(Noble III v. Atty. Ailes, A.C. No. 10628, 01 has been disposed of An insult hurled to the
July 2015) can no longer influence court, even after a case

E
the court, and on that is decided, can under
7. Any other analogous cases. ground, it does not no circumstance be
constitute contempt. justified. (Bildner v.
NOTE: Although the Canon that the Rule

N
(Bildner v. Ilusorio, G.R. Ilusorio, G.R. No.
implements pertains to a lawyer’s dealings with his No. 157384, 05 June 157384, 05 June 2009)
fellow lawyers, the Rule is generally worded to 2009)

E
apply to anyone in the wider context of a lawyer’s
professional dealings, including his or her clients Q: A complaint was filed against Atty. Zaide for
and witnesses. (CPR Annotated, PhilJA)

T
use of intemperate, offensive and abusive
language. Atty. Zaide referred to the
Criticisms complainant as a “notorious extortionist” and to

A
Mere criticism or comment on the correctness or
wrongness, soundness or unsoundness of the
decision of the court in a pending case made in good
faith may be tolerated; but to hurl the false charge
that the Supreme Court has been committing
deliberately so many blunders and injustices would
tend necessarily to undermine the confidence of the
people in the honesty and integrity of its members,
and consequently to lower or degrade the
administration of justice, and it constitutes
contempt. (Bildner v. Ilusorio, G.R. No. 157384, 05
June 2009)
his opposing counsel as someone suffering from
"serious mental incompetence" in one of his
pleadings. Did the act of Atty. Zaide violate the
CPR?
A: YES. More specifically, he violated Canon 8.01 of
the CPR. The act shows Atty. Zaide's lack of restraint
in the use and choice of his words -a conduct
unbecoming of an officer of the court. While a
lawyer is entitled to present his case with vigor and
courage, such enthusiasm does not justify the use of
offensive and abusive language. Language abounds
with countless possibilities for one to be emphatic
but respectful, convincing but not derogatory, and
illuminating but not offensive. (Gimeno v. Zaide, A.C.
No. 10303, 22 Apr. 2015)

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2023 GOLDEN NOTES
 I. LEGAL ETHICS
Q: In the pleadings and motions filed by Atty.
Tiongco, he described Atty. Deguma as a love
crazed Apache, a horned spinster, man-hungry
virago and female bull of an Amazon who would
stop at nothing to injure defendant if only to
please and attract her client. Tiongco claims that
Atty. Deguma, as a lawyer in the PAO, is using the
PAO as a marriage bureau for her benefit. Is the
language employed by Tiongco improper and
unethical?
A: YES. Atty. Tiongco has achieved a remarkable feat
of character assassination, in violation of Canon 8 of
the CPR, to wit, “a lawyer shall conduct himself with
courtesy, fairness, and candor toward his
professional colleagues, and shall avoid harassing
tactics against opposing counsel." As a member of
the Bar, he shall not, in his professional dealings, use
language which is abusive, offensive or otherwise
improper. He shall also abstain from scandalous,
O
offensive or menacing language before the courts.
Thus, Tiongco is warned accordingly. (Tiongco
E
Yared v. Ilarde, G.R. No. 114732, 01 Aug. 2000)
NOTE: Lack of want of intention is no excuse for the
N
disrespectful language employed. Counsel cannot
escape responsibility by claiming that his words did
not mean what any reader must have understood
E
them as meaning. (Rheem of the Philippines v. Ferrer,
G.R. No. L-22979, 26 Jan. 1967)
T
Q: In 2009, Atty. Guevarra wrote a series of posts
on his Facebook account, referring to Belo as a
A
quack doctor, that she bribes lawyers in the
Department of Justice, and that plastic surgery
procedures were done by doctors without
license and training, alleging such practice
nearly killed his client Norcio. Guevarra also
threatened Belo that she will be convicted for
criminal negligence and estafa for Norcio’s
operation. Belo asserted that the said posts,
written in vulgar and obscene language, were
designed to inspire public hatred, destroy her
reputation, close Belo Medical Group, Inc.
(BMGI) and all its clinics, and extort the amount
of ₱200 Million from her, evidenced by his
demand letter. Atty. Guevarra, however, claimed
that the complaint was filed in violation of his
constitutionally-guaranteed right to privacy and
51
that he wrote the posts in the exercise of his
freedom of speech. Should Atty. Guevarra be
sanctioned for his acts?
A: YES. A punctilious scrutiny of the Facebook
remarks complained of disclosed that they were
ostensibly made with malice tending to insult and
tarnish the reputation of complainant and BMGI. By
posting the subject remarks on Facebook directed at
complainant and BMGI, respondent disregarded the
W
fact that, as a lawyer, he is bound to observe proper
decorum at all times, be it in his public or private
life. He overlooked the fact that he must behave in a
A
manner befitting an officer of the court, that is,
respectful, firm, and decent. Moreover, the
L
constitutional right of freedom of expression may
not be availed of to broadcast lies or half-truths,
insult others, destroy their name or reputation or
bring them into disrepute. (Belo-Henares v. Atty.
Guevarra, A.C. No. 11394, 01 Dec. 2016)
Q: Atty. A filed a Motion for Inhibition against
Judge B for the alleged abusive language of the
latter against the former inside the courtroom
and for corruption. In his Motion, Atty. A
included the words, “I never encouraged a Judge
who appears to be as corrupt as you are.” and
“…you are a disgrace to the Judicial system.”
Furthermore, a news article detailing the events
that precipitated the bribery charge against
Judge B was published with the participation of
Atty. A. Did Atty. A violate the Code of
Professional Responsibility and his oath to the
Bar?
A: YES. It is a sworn duty of a lawyer to maintain
towards the Court a respectful attitude, “not for the
sake of the temporary incumbent of the judicial
office, but for the maintenance of its supreme
importance.” It is therefore incumbent upon Atty. A
to observe and maintain respect towards the
judicial office. However, in this case, he was the first
to cast doubt on the impartiality and independence
of the Court.
Additionally, a lawyer is obliged to abstain from
scandalous, offensive or menacing language before
the courts. Even granting that the bribery charges
were true, a lawyer is obliged to abstain mentioning
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
derogatory words to anyone. Lastly, Atty. A had no
reason to divulge his grievances before the public.
His action was highly irresponsible and is contrary
to his duty to submit grievances against judges to
the proper authorities only. (Judge Gregorio D.
Pantanosas, Jr. v. Atty. Elly L. Pamatong, A.C. No.
7330, 14 June 2016)
Rule 8.02
A lawyer shall not, directly or indirectly, encroach
upon the professional employment of another
lawyer; however, it is the right of any lawyer,
without fear or favor, to give proper advice and
assistance to those seeking relief against
unfaithful or neglectful counsel.
(1995, 1997, 2001, 2005, 2006 BAR)
A person without a retained lawyer is a legitimate
prospective client for any lawyer whom he
approaches for legal services. But, as soon as he had
retained one and had not dismissed the retained
counsel, efforts on the part of another lawyer to take
him as client constitutes an act of encroaching upon
the employment of another lawyer.
N
A lawyer should not in any way communicate upon
the subject of controversy with a party represented
by counsel, much less should he undertake to
E
negotiate or compromise the matter with him but
should deal with his counsel.
T
Any act which is aimed to ease out a previous lawyer
with the intention to grab the case is highly
A
unethical and should be avoided. (Antiquiera, 1992)
Exceptions
1. A lawyer may properly interview any
witness or prospective witness for the
opposing side in any civil or criminal action
without the consent of opposing counsel or
party; (Canon 39, CPE) and
2. Any person who seeks relief against an
unfaithful or neglectful lawyer may
approach another lawyer for proper advice
and assistance. (Rule 8.02, Canon 8, CPR)
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Q: Myrna, in a case for custody of children
against her husband, sought advice from Atty.
Mendoza whom she met at a party. She informed
Atty. Mendoza that her lawyer, Atty. Khan, has
been charging her exorbitant appearance fees
when all he does is move for postponements
which have unduly delayed the proceedings;
and that recently, she learned that Atty. Khan
approached her husband asking for a huge
amount in exchange for the withdrawal of her
W
Motion for Issuance of Hold Departure Order so
that he and his children can leave for abroad. Is
it ethical for Atty. Mendoza to advise Myrna to
A
terminate the services of Atty. Khan and hire
him instead for a reasonable attorney’s fees?
L
(2006 BAR)
A: NO. Such advice would be unethical. A lawyer
shall conduct himself with courtesy, fairness and
candor towards his professional colleagues (Canon
O
8, CPR). Specifically, he should not directly or
indirectly encroach upon the professional
E
employment of another lawyer. (Canon 8, CPR)
Q: What should Atty. Mendoza do about the
information relayed to him by Myrna that Atty.
Khan approached her husband with an indecent
proposal? (2006 BAR)
A: He can advise her to terminate the services of
Atty. Khan and/or file an administrative case
against Atty. Khan. It is the right of any lawyer,
without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful
or neglectful counsel. (Rule 8.02, CPR)
Q: You are the counsel of K in his action for
specific performance against DEV, Inc., a
subdivision developer which is represented by
Atty. L. Your client believes that the president of
DEV Inc., would be willing to consider an
amicable settlement and your client urges you
to discuss the matter with DEV Inc., without the
presence of Atty. L whom he considers to be an
impediment to an early compromise. Would it
be alright for you to negotiate the terms of the
compromise as so suggested above by your
client? (1997 BAR)
52
 I. LEGAL ETHICS
A: NO. Rule 8.02, Canon 8 of the CPR provides that
“a lawyer shall not, directly or indirectly, encroach
upon the professional employment of another
lawyer.” Canon 9 of the CPE is more particular in
stating that “A lawyer should not in any way
communicate upon the subject of the controversy
with a party represented by counsel, much less
should he undertake to negotiate or compromise
the matter with him but should deal only with his
counsel.”
Q: Atty. Manuel is counsel for the defendant in a
civil case pending before the RTC. After
receiving the plaintiff's Pre-Trial Brief
containing the list of witnesses, Atty. Manuel
interviewed some of the witnesses for the
plaintiff without the consent of plaintiff's
counsel. Did Atty. Manuel violate any ethical
standard for lawyers? Explain. (2009 BAR)
O
A: NO. Canon 39 of the CPE provides that “a lawyer
may interview any witness or prospective witness
E
from the opposing side in any civil or criminal action
without the consent of opposing counsel or party.”
This is because a witness is supposed to be a neutral
N
person whose role is to tell the truth when called
upon to testify.
E
Q: Will your answer be the same if it was the
plaintiff who was interviewed by Atty. Manuel
T
without the consent of plaintiff's counsel?
Explain. (2009 BAR)
A
A: NO. Canon 9 of the CPE provides that “a lawyer
should not in any way communicate upon a subject
of controversy with a party represented by counsel,
much less should he undertake to negotiate or
compromise the matter with him, but should deal
only with his counsel.” If he communicates with the
adverse party directly, he will be encroaching into
the employment of the adverse party's lawyer.
53
CANON 9
A lawyer shall not, directly or indirectly, assist in
the unauthorized practice of law.
Unauthorized Practice of Law
It is committed when a person, not a lawyer,
performs acts which are exclusive to members of
the bar. (Pineda, 2009)
W
Rationale
To protect the public, the court, the client, and the
A
bar from the incompetence or dishonesty of those
unlicensed to practice law and not subject to the
L
disciplinary control of the court. (Cambaliza v.
Cristal-Tenorio, A.C. No. 6290, 14 July 2004)
There is no violation of this canon if a lawyer
employs a paralegal graduate to assist him in the
practice of law since the job of a paralegal is limited
to drafting of documents, case management, etc.
(Antiquiera, 1992)
Q: Will a lawyer violate the CPR if he forms a
partnership with professionals of other
disciplines like doctors, engineers, architects or
accountants? (2014 BAR)
A: YES. The CPR prohibits unauthorized practice of
law so that lawyers cannot directly or indirectly
assist said practice or delegate its practice to one
who is not qualified to do so. In partnership, the act
of a partner is the act of the partnership; hence, a
non-lawyer cannot perform an act that has a legal
effect and in the name of the partnership.
Q: Sanchez alleged that the complaint against
him and the supporting affidavits were
subscribed and sworn to before Tupas, the Clerk
of Court, who is not a member of the IBP and
therefore engaged in unauthorized practice of
law. Is Tupas as Clerk of Court authorized to
administer oath?
A: YES. The term “clerk of courts” in Sec. 41 of the
Administrative Code as amended is used as a
general term. The intention of the law is to authorize
all clerks of court regardless of whether they are
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
clerks of the MTCs, to administer oaths on matter
involving official business. As Clerk of Court of
MCTC, Tupas has the authority to administer oath of
affidavits of parties and witnesses which are to be
filed in court. (Sanchez v. Tupas, A.M. OCA IPI No. 03-
1687-P, 01 Mar. 2004)
Q: The Supreme Court suspended indefinitely
Atty. Fernandez from the practice of law for
gross immorality. He asked the MCTC Judge of
his town if he can be appointed counsel de officio
for Tony, a childhood friend who is accused of
theft. The judge refused because Atty.
Fernandez’s name appears in the Supreme
Court’s list of suspended lawyers. Atty.
Fernandez then inquired if he can appear as a
friend for Tony to defend him. Xxx Supposing
Tony is a defendant in a civil case for a collection
of sum of money before the same court, can Atty.
Fernandez appear for him to conduct his
litigation? (2006 BAR)
A: NO. Even if Tony is a defendant in a civil case,
Atty. Fernandez cannot be allowed to appear for
him to conduct his litigation; otherwise, the judge
will be violating Canon 9 of the CPR which provides
N
that a “lawyer shall not, directly or indirectly, assist
in the unauthorized practice of law.”
E
Rule 9.01
T
A lawyer shall not delegate to any unqualified
person the performance of any task which by law
may only be performed by a member of the bar in
A
good standing.
The qualifications to be a lawyer are personal and
the Bar is an exclusive group of professionals who
possess the requisite qualifications and for whom
defined functions are reserved. To delegate the
functions would violate the rationale behind
reserving defined functions exclusively for those
who are admitted to the bar. (Ulep v. The Legal Clinic,
Inc., B.M. No. 553, 17 June 1993)
Although the authority of a lawyer to represent a
client cannot be delegated to an unqualified person,
it does not follow however that the retained lawyer
is automatically authorized to make such delegation
to a qualified person because a client-lawyer
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
relationship is personal. (CPR Annotated, PhilJA)
Q: Lorenzo is a lawyer but was suspended from
the practice of law due to some unethical acts.
He worked for a law firm owned by one of his
friends. Since he has so many cases to handle,
Atty. Berenguer assigned a case to Lorenzo,
believing he can handle an easy case. Did Atty.
Berenguer violate any rule?
W
A: YES. He delegated the handling of a case to a
person suspended from the practice of law. Under
Rule 9.01 of CPR, a lawyer shall not delegate to any
A
unqualified person the performance of any task
which by law may only be performed by a member
L
of the bar in good standing. Therefore, Lorenzo shall
not be allowed to handle a case.
Q: Atty. Monica Santos-Cruz registered the firm
name "Santos-Cruz Law Office" with the DTI as a
O
single proprietorship. In her stationery, she
printed the names of her husband and a friend
E
who are both non-lawyers as her senior
partners in light of their investments in the firm.
She allowed her husband to give out calling
cards bearing his name as senior partner of the
firm and to appear in courts to move for
postponements, Did Atty. Santos-Cruz violate
the CPR? (2010 BAR)
A: YES. She violated Rule 9.01, Canon 9 of the CPR.
By allowing her husband to appear in courts to
move for the postponements of the cases of the firm,
she delegated her duty to appear, which a member
of the bar can only perform, to an unqualified
person.
The lawyer’s duty to prevent, or at the very least not
to assist in, the unauthorized practice of law is
founded on public interest and policy. Public policy
requires that the practice of law be limited to those
individuals found duly qualified in education and
character.
The permissive right conferred on the lawyer is an
individual and limited privilege subject to
withdrawal if he fails to maintain proper standards
of moral and professional conduct. (Cambaliza v.
Cristal-Tenorio, A.C. No. 6290, 14 July 2004)
54
 I. LEGAL ETHICS

Rule 9.02 exception is an implicit recognition of the

A lawyer shall not divide or stipulate to divide a incontestable fact that lawyers need to, and
fee for legal services with persons not licensed to in fact, depend on non-lawyers for the
practice law. administrative support functions
necessary to allow lawyers to discharge
their legal functions more efficiently. (CPR
The interest promoted by the prohibition is that the
Annotated, PhilJA)
independence of the professional judgment of a
lawyer, which the client is paying for, could be at
Q: Atty. A and B entered into an agreement to
risk if a non-lawyer has direct rights to share in the
form a law office wherein B would solicit clients

W
legal fees resulting from the exercise of such
and they would divide among themselves the
professional judgment. (CPR Annotated, PhilJA)
attorney’s fees. Pursuant to this, B filed a
complaint of disbarment against Atty. A for

A
Exceptions to Rule 9.02
unprofessional and immoral conduct. Will the
complaint prosper?
1. Where there is a pre-existing agreement

with a partner or associate that, upon the
latter’s death, money shall be paid over a
reasonable period of time to his estate to
persons specified in the agreement (Rule
L
A: YES. Rule 9.02 of the Code of Professional
Responsibility prohibits not only the actual division
of attorney’s fees by a lawyer with a non-lawyer but
also the mere stipulation of such an agreement. The

O
9.02(2), Canon 9, CPR);
mere execution of the agreement is in itself a
violation of Rule 9.02 of the CPR. (Marilyn Pabalan
NOTE: This exception is in the nature of a

E
v. Atty. Eliseo Magno C. Salva, A.C. No. 9298, 29 July
bequest. It is still, in substance, payment to
2019)
the deceased lawyer. His estate and/or
assignee could not claim entitlement to the

N
Q: You had just taken your oath as a lawyer. The
money in their own right but only by
secretary to the president of a big university
representation. (CPR Annotated, PhilJA)
offered to get you as the official notary public of

E
the school. She explained that a lot of students
2. Where a lawyer undertakes to complete
lose their identification cards and are required
unfinished legal business of a deceased

T
to secure an affidavit of loss before they can be
lawyer (Rule 9.02, third par., Canon 9, CPR);
issued a new one. She claimed that this would be
or,
lucrative for you, as more than 30 students lose

A
their identification cards every month.
NOTE: The estate or the heir cannot be
However, the secretary wants you to give her
made a member of the partnership with the
one-half of your earning therefrom. Will you
surviving partners. The legal fees in this
agree to the arrangement? Explain. (2005 BAR)
case, no longer represent past
compensation. The one who gets paid is
A: NO. I will not agree. Rule 9.02 of the CPR provides
also a lawyer.
that “a lawyer shall not divide or stipulate to divide
a fee for legal service with persons not licensed to
3. Where a lawyer or law firm includes a non-
practice law”. The secretary is not licensed to
lawyer employee in a retirement plan, even
practice law. He is not entitled to a share of the fees
if the plan is based in whole or in part, on a
profit-sharing agreement. (Rule 9.02, fourth for notarizing affidavits, which is a legal service.
par., Canon 9, CPR)

NOTE: This is not a division of legal fees but

a pension representing deferred wages for
the employees’ past services. This
55
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
2. TO THE COURTS
Canons 10 to 13:
10. Owes candor, fairness and good faith to the
court.
11. Observe and maintain the respect due to
the courts and judicial officers and should
insist on similar conduct by others.
12. Duty to assist in the speedy and efficient
administration of justice.
13. Rely upon the merits of his/her cause,
refrain from any impropriety which tends
to influence courts, or give the appearance
of influencing the courts.
CANON 10
A lawyer owes candor, fairness and good faith to
the court.
Candor, Fairness, and Good Faith to the Court
N
The burden cast on the judiciary would be
intolerable if it could not take at face value what is
asserted by counsel. (Muñoz v. People, G.R. No. L-
E
33672, 28 Sept. 1973)
T
As officers of the court, lawyers have the primary
obligation towards the administration of justice. To
mislead the court is contumacious and clearly a
A
ground for disciplinary action. (Antiquiera, 1992)
Requirements of Candor
1. A lawyer shall not suppress material and
vital facts which bear on the merit or lack of
merit of a complaint or petition;
2. A lawyer shall volunteer to the court any
development of the case which has
rendered the issue raised moot and
academic;
3. Disclosure to the court of any decision
adverse to his position of which opposing
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2023 GOLDEN NOTES
counsel is apparently ignorant and which
court should consider in deciding a case;
and
4. He shall not represent himself as a lawyer
for a client, appear in court and present
pleadings in the latter’s behalf only to claim
later that he was not authorized to do so.
Q: Atty. Florido demanded from his wife that the
W
custody of their children be surrendered to him.
He showed her a photocopy of an alleged
Resolution issued by the CA supposedly granting
A
his motion for temporary child custody. His wife
refused. Atty. Florido filed a verified petition for
L
the issuance of a writ of habeas corpus asserting
his right to custody of the children on the basis
of the alleged CA Resolution. His wife, however,
obtained a certification from the CA stating that
no such resolution had been issued. May Atty.
O
Florido be held administratively liable for his
reliance on and attempt to enforce a spurious
E
Resolution of the CA?
A: YES. Atty. Florido’s actions erode the public
perception of the legal profession. Candor and
fairness are demanded of every lawyer. The burden
cast on the judiciary would be intolerable if it could
not take at face value what is asserted by counsel.
The time that will have to be devoted just to the task
of verification of allegations submitted could easily
be imagined. (Hueysuwan-Florido v. Atty. Florido,
A.C. No. 5624, 20 Jan. 2004)
Rule 10.01
A lawyer shall not do any falsehood, nor consent
to the doing of any in court; nor shall he mislead,
or allow the court to be misled by any artifice.
A lawyer must be a disciple of truth. He should bear
in mind that as an officer of the court his high
vocation is to correctly inform the court upon the
law and the facts of the case and to aid it in doing
justice and arriving at a correct conclusion. The
courts on the other hand are entitled to expect only
complete honesty from lawyers appearing and
pleading before them. While a lawyer has the
solemn duty to defend his client’s cause, his conduct
must never be at the expense of truth. (Young v.
56
 I. LEGAL ETHICS
Batuegas, A.C. No. 5379, 09 May 2003)
NOTE: A lawyer owes fidelity to the cause of his
client but not at the expense of truth and the
administration of justice. (Garcia v. Francisco, A.C.
No. 3923, 30 Mar. 1993)
Presenting false evidence is not justifiable. It is a
clear violation of Rule 10.01, Canon 10 of the CPR.
Aside from violations of the CPR, the lawyer is also
guilty of a crime under Art. 184, Revised Penal Code,
which states:
“Any person who shall knowingly offer in evidence
a false witness or testimony in any judicial or official
proceeding, shall be punished as guilty of false
testimony and shall suffer the respective penalties
provided in this section.”
Examples of Falsehood
O
1. Lawyers falsely stating in a deed of sale that
E
property is free from all liens and
encumbrances when it is not; (Sevilla v.
Zoleta, A.C. No. 31, 28 Mar. 1955)
N
2. Lawyers making it appear that a person,
long dead, executed a deed of sale in his
E
favor; (Monterey v. Arayata, Per. Rec. Nos
3527, 3408, 23 Aug. 1935)
T
3. A lawyer encashing a check payable to a
deceased cousin by signing the latter’s
A
name on the check; (In re: Samaniego, A.C.
No. 74, 20 Nov. 1959)
4. A lawyer falsifying a power of attorney and
using it in collecting the money due to the
principal and appropriating the money for
his own benefit; (In re: Rusiana, A.C. No. 270,
29 Mar. 1974)
5. A lawyer alleging in one pleading that his
clients were merely lessees of the property
involved, and in a later pleading claiming
that the same clients were the owners of
the same property; (Chavez v. Viola, A.C. No.
2152, 19 Apr. 1991)
57
6. A lawyer uttering falsehoods in a Motion to
Dismiss (Martin v. Moreno, A.C. No. 1432, 21
May 1984);
7. A lawyer denying having received the
notice to file brief which is belied by the
return card; (Ragasajo v. IAC, G.R. No. L-
69129, 31 Aug. 1987)
8. A lawyer presenting documents in court
W
which he knows to be falsified; (Berenguer
v. Carranza, A.C. No. 716, 30 Jan. 1969;
Umaguing v. Atty. De Vera, A.C. No. 10451, 04
A
Feb. 2015)
L
9. A lawyer filing false charges or groundless
suits; (Retuya v. Gorduiz, A.C. No. 1388, 28
Mar. 1980) and
10. A lawyer making untruthful and false
statements before the court. (Molina v.
Magat, A.C. No. 1900, 13 June 2012)
Q: Dr. Maligaya, a doctor and retired colonel of
the Air Force, filed an action for damages against
several military officers for whom Atty.
Doronilla stood as a counsel. During the hearing,
Atty. Doronilla alleged that he and Dr. Maligaya
had an agreement that if the opposing party
withdraws the case against him, Dr. Maligaya
will also withdraw all the cases. However, Dr.
Maligaya swore that he never entered into any
such agreement. Atty. Doronilla then admitted
that there was no such agreement. He pointed
out that his main concern was to settle the case
amicably. Dr. Maligaya filed a case against Atty.
Doronilla charging him with unethical conduct
for having uttered falsehood in court. Is Atty.
Doronilla guilty as charged?
A: YES. Atty. Doronilla violated Rule 10.01, Canon
10 of the CPR. Not only that, he also violated the
lawyer’s oath to do no falsehood, nor consent to the
doing of any in court. His act infringed on every
lawyer’s duty to “never seek to mislead the judge or
any officer by an artifice or false statement of fact or
law.” (Maligaya v. Doronilla, A.C. No. 6198, 15 Sept.
2006)
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FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Q: De Jesus alleged that Atty. Sanchez-Malit
drafted and notarized a Real Estate Mortgage of
a public market stall that falsely named the
former as its absolute and registered owner
despite the latter being the consultant of the
local government unit, and was therefore aware
that the market stall was government-owned.
Prior thereto, Atty. Sanchez-Malit also notarized
two contracts that caused De Jesus legal and
financial problems. One contract was a lease
agreement that was notarized without the
signature of the lessees. The other contract was
a sale agreement which Atty. Sanchez-Malit also
drafted and notarized, but did not advise De
Jesus that the property was still covered by the
period within which it could not be alienated.
Did Atty. Sanchez-Malit violate Rule 10.01 of the
CPR?
A: YES. In this case, respondent fully knew that
complainant was not the owner of the mortgaged
market stall. That complainant comprehended the
provisions of the real estate mortgage contract does
not make respondent any less guilty. If at all, it only
heightens the latter’s liability for tolerating a
wrongful act. A notary public should not notarize a
N
document unless the persons who signed it are the
same ones who executed it and who personally
E
appeared before the said notary public to attest to
the contents and truth of what are stated therein.
T
Thus, in acknowledging that the parties personally
came and appeared before her, respondent also
A
violated Rule 10.01 of the CPR and her oath as a
lawyer that she shall do no falsehood. (De Jesus v.
Sanchez-Malit, A.C. No. 6470, 08 July 2014)
Rule 10.02
A lawyer shall not knowingly misquote or
misrepresent the contents of a paper, the
language or the argument of opposing counsel, or
the text of a decision or authority, or knowingly
cite as law a provision already rendered
inoperative by repeal or amendment, or assert as
a fact that which has not been proved.
If not faithfully and exactly quoted, the decisions
and rulings of the court may lose their proper and
correct meaning, to the detriment of other courts,
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
lawyers, and the public who may thereby be misled.
Q: In a pending labor case, Atty. A filed a Position
Paper on behalf of his client, citing a Supreme
Court case and quoting a portion of the decision
therein which he stated reflected the ratio
decidendi. However, what he quoted was not
actually the Supreme Court ruling but the
argument of one of the parties to the case. May
Atty. A be faulted administratively? Explain.
W
(2000 BAR)
A: YES. He may be faulted administratively. A
A
lawyer owes candor, fairness, and good faith to the
court. Rule 10.02 of the Code of Professional
L
Conduct expressly provides that a lawyer shall not
knowingly misquote or misrepresent the contents
of a paper, the language or the argument of
opposing counsel, or the text of a decision or
authority, or knowingly cite as law a provision
O
already rendered inoperative by repeal or
amendment or assert as a fact that which has not
E
been proved. To cite an argument of one of the
parties as a ratio decidendi of a Supreme Court
decision show, at least, lack of diligence on the part
of Atty. A. (Commission on Election v. Noynay, 292
SCRA 254)
Rule 10.03
A lawyer shall observe the rules of procedure and
shall not misuse them to defeat the ends of justice.
Filing multiple actions constitutes an abuse of the
Court’s processes. Those who filed multiple or
repetitive actions subject themselves to disciplinary
action for incompetence or willful violation of their
duties as attorneys to act with all good fidelity to the
courts, and to maintain only such actions that
appear to be just and consistent with truth and
honor. (Olivares etc. v. Atty. Villalon Jr., A.C. No. 6323,
13 Apr. 2007)
Instances when lawyers can be disciplined
based on the pleadings they filed (S-U-Fa)
1. They file an Unsigned pleading in violation of
the rules.
2. They allege Scandalous matters therein; or
3. They Fail to promptly report to the court a
58
 I. LEGAL ETHICS
change of his address. (Sec. 3, Rule 7, ROC, as
amended)
NOTE: A lawyer should not abuse his right of
recourse to the courts for the purpose of arguing a
cause that had been repeatedly rebuffed. Neither
should he use his knowledge of law as an instrument
to harass a party nor to misuse judicial processes, as
the same constitutes serious transgression of the
CPR. For while he owes fidelity to the cause of his
client, it should not be at the expense of truth and
the administration of justice. (Garcia v. Francisco,
A.C. No. 3923, 30 Mar. 1993)
CANON 11
A lawyer shall observe and maintain the respect
due to the courts and to judicial officers and
should insist on similar conduct by others.
Respect for Courts and Judicial Officers
O
Disrespect towards the court would necessarily
E
undermine the confidence of the people in the
honesty and integrity of the members of the court,
and consequently, to lower or degrade the
N
administration of justice by the court. (In re Sotto, 82
Phil. 595, 21 Jan. 1949)
E
All lawyers are expected to recognize the authority
of the Supreme Court and obey its lawful processes
T
and orders. Despite errors which one may impute
on the orders of the Court, these must be respected,
especially by the bar or the lawyers who are
A
themselves officers of the courts. (Yap-Paras v. Atty.
Paras, A.C. No. 4947, 07 June 2007)
NOTE: The fact that a person is a lawyer does not
deprive him of the right, as enjoyed by every citizen,
to comment on and criticize the actuations of a
judge but it is the cardinal condition of all criticisms
that it shall be bona fide and shall not spill over the
walls of decency and propriety. (Zaldivar v. Gonzales,
G.R. Nos. 79690-707, 01 Feb. 1989)
What a lawyer can ordinarily say against a
concluded litigation and the manner the judge
handed the decision therein may not generally be
said to a pending action. The court, in a pending
litigation, must be shielded from embarrassment
59
and influence in performing the important duty of
deciding it (In re Almacen, G.R. No. L-27654, 18 Feb.
1970).
On the other hand, once litigation is concluded, the
judge who decided on it is subject to the same
criticism as any other public official because then
his ruling becomes public property and is thrown
open to public consumption. (Strebel v. Figueras,
G.R. No. L-4722, 29 Dec. 1954; In re Almacen, G.R. No.
W
L-27654, 18 Feb. 1970)
Q: Atty. Paguia asserts that the inhibition of the
A
members of the Supreme Court from hearing the
petition is called for under the Code of Judicial
L
Conduct which prohibits justices or judges from
participating in any partisan political activity.
According to him, the justices violated the said
rule by attending the 'EDSA 2 Rally' and by
authorizing the assumption of Vice- President
Macapagal-Arroyo to the Presidency. The
subsequent decision of the Court in Estrada v.
Arroyo (G.R. Nos. 146710-15, 02 Mar. 2001 and
G.R. Nos. 146710-15, 03 Apr. 2001) is a patent
mockery of justice and due process. He went on
to state that the act of the public officer, if lawful,
is the act of the public office. But the act of the
public officer, if unlawful, is not the act of the
public office. Consequently, the act of the
justices, if lawful, is the act of the Supreme Court.
But the act of the justices, if unlawful, is not the
act of the Supreme Court.
Further, he asserted that the decision in Estrada
v. Arroyo being patently unlawful in view of the
Code of Judicial Conduct, is not the act of the
Supreme Court but is merely the wrong of those
individual Justices who falsely spoke and acted
in the name of the Supreme Court. Are Atty.
Paguia’s comments within the bounds of
“fair and well-founded criticisms” regarding
decisions of the Supreme Court?
A: NO. Criticism or comment made in good faith on
the correctness or wrongness, soundness or
unsoundness, of a decision of the Court would be
welcome for, if well-founded, and such reaction can
enlighten the court and contribute to the correction
of an error if committed. (In re: Sotto, 82 Phil. 595)
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Attorney Paguia has not limited his discussions to
the merits of his client's case within the judicial
forum; indeed, he has repeated his assault on the
Court in both broadcast and print media.
The Supreme Court does not claim infallibility; it
will not denounce criticism made by anyone against
the Court for, if well-founded, can truly have
constructive effects in the task of the Court, but it
will not countenance any wrongdoing nor allow the
erosion of our people’s faith in the judicial system,
let alone, by those who have been privileged by it to
practice law in the Philippines.
Canon 11 of the CPR mandates that the lawyer
should observe and maintain the respect due to the
courts and judicial officers and, indeed, should insist
on similar conduct by others. In liberally imputing
sinister and devious motives and questioning the
impartiality, integrity, and authority of the
members of the Court, Atty. Paguia has only
succeeded in seeking to impede, obstruct and
pervert the dispensation of justice. (Estrada v.
Sandiganbayan, G.R. Nos. 159486-88, 25 Nov. 2003)
Q: Members of the faculty of UP College of Law
N
published a statement on the allegations of
plagiarism and misrepresentation relative to
E
the Court’s decision in Vinuya v. Executive
Secretary. The authors directly accused the
Court of perpetrating extraordinary injustice by
T
dismissing the petition of the comfort women in
said case. The insult to the members of the Court
A
was aggravated by imputations of deliberately
delaying the resolution of the case, its dismissal
on the basis of “polluted sources,” the Court’s
alleged indifference to the cause of petitioners
and the supposed alarming lack of concern of
the members of the Court for even the most
basic values of decency and respect. Was the
criticism proper?
A: NO. While most agree that the right to criticize
the judiciary is critical to maintaining a free and
democratic society, there is also a general
consensus that the healthy criticism only goes so far.
Many types of criticism leveled at the judiciary cross
the line to become harmful and irresponsible
attacks. These potentially devastating attacks and
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
unjust criticism can threaten the independence of
the judiciary. The court must “insist on being
permitted to proceed to the disposition of its
business in an orderly manner, free from outside
interference obstructive of its functions and tending
to embarrass the administration of justice.”
This runs contrary to their obligation as law
professors and officers of the Court to be the first to
uphold the dignity and authority of this Court, to
W
which they owe fidelity according to the oath they
have taken as attorneys, and not to promote distrust
in the administration of justice. Their actions
A
likewise constitute violations of Canons 10, 11, and
13 and Rules 1.02 and 11.05 of the CPR. (Re: Letter
L
of the UP Law Faculty entitled “Restoring Integrity: A
Statement by the Faculty of the University of the
Philippines College of Law on the Allegations of
Plagiarism and Misrepresentation in the Supreme
Court”, A.M. No. 10-10-4-SC, 19 Oct. 2010)
O
Q: The Court En Banc issued a Resolution
E
directing respondent Atty. De Vera to explain
why he should not be cited for indirect contempt
of court for uttering allegedly contemptuous
statements in relation to the then pending case
involving the constitutionality of the Plunder
Law. Atty. De Vera admitted the report in the 06
Nov. 2002 issue of the Philippine Daily Inquirer
where he “suggested that the Court must take
steps to dispel once and for all these ugly rumors
and reports” that “the Court would vote in favor
of or against the validity of the Plunder Law to
protect the credibility of the Court”. Is the
statement of Atty. De Vera disrespectful to the
courts?
A: YES. Indeed, freedom of speech includes the right
to know and discuss judicial proceedings, but such
right does not cover statements aimed at
undermining the Court’s integrity and authority,
and interfering with the administration of justice.
Freedom of speech is not absolute and must
occasionally be balanced with the requirements of
equally important public interests, such as the
maintenance of the integrity of the courts and
orderly functioning of the administration of justice.
60
 I. LEGAL ETHICS
Thus, the making of contemptuous statements
directed against the Court is not an exercise of free
speech; rather, it is an abuse of such right.
Unwarranted attacks on the dignity of the courts
cannot be disguised as free speech, for the exercise
of said right cannot be used to impair the
independence and efficiency of courts or public
respect therefore and confidence therein. (In re:
Published Alleged Threats by Atty. Leonard de Vera,
A.M. No. 01-12-03-SC, 29 July 2002)
Q: Jimmy and his siblings filed a case for
disciplinary action against Atty. Cefra for
notarizing a falsified Deed of Absolute Sale over
a parcel of land, where their signatures were
forged. As early as 19 Sept. 2001, the Supreme
Court already required Atty. Cefra to comment
on the Complaint lodged against him, but he did
not comply until he was arrested by the NBI. The
disobedience to this court’s directive issued in
O
2001 was not explained even as he eventually
filed his Comment on 15 Jan. 2008, more than
E
seven years after this court’s order. Is Atty. Cefra
guilty of violating the CPR in ignoring the court’s
order directing him to comment on the
N
complaint against him?
A: YES. The act of disobeying a court order
E
constitutes violation of Canon 11 of the CPR, which
requires a lawyer to “observe and maintain the
T
respect due to the courts.”
Under Rule 138, Sec. 27(1) of the ROC, “willful
A
disobedience of any lawful order of a superior
court” constitutes a ground for disbarment or
suspension from the practice of law. He
contumaciously delayed compliance with this
court’s order to file a Comment. Clearly, his
disobedience was willful and inexcusable. Atty.
Cefra should be penalized for this infraction.
(Anudon v. Cefra, A.C. No. 5482, 10 Feb. 2015)
Q: A portion of the landholding owned by Polo
Coconut Plantation, Inc. was placed under the
coverage of the CARP. Polo Coconut's title was
canceled in favor of the Republic of the
Philippines and a collective Certificate of Land
Ownership Award (CLOA) was issued and
registered in favor of the POPARMUCO members
61
whom the DAR identified as agrarian reform
beneficiaries. The Supreme Court ruled with
finality on the qualification of the members of
POPARMUCO as beneficiaries in Polo Coconut’s
landholding. Subsequently, alleged regular
farmworkers of Polo Coconut filed a Petition for
Inclusion and Exclusion. They also filed a
Petition for Immediate Issuance of a Cease-and-
Desist Order and/or Injunction. Acting on the
Petition, respondent Regional Director Inson
W
issued a Cease-and-Desist Order and directed
the inclusion of the farmworkers as qualified
beneficiaries. Is the respondent’s cognizance of
A
the Petition for Inclusion or Exclusion
contemptuous for defying the 03 Sept. 2008
L
Decision of the Supreme Court?
A: NO. The crucial in contempt proceedings is the
intent of the alleged contemnor to disobey or defy
the court. In contempt, the intent goes to the
gravamen of the offense. Thus, the good faith, or lack
of it, of the alleged contemnor is considered. To
constitute contempt, the act must be done willfully
and for an illegitimate or improper purpose. Here,
respondent justified his cognizance of the Petition
for Inclusion/Exclusion based on the Department's
exclusive prerogative in the identification, selection,
and subsequent re-evaluation of agrarian reform
beneficiaries. (POPARMUCO v. Inson, G.R. No.
189162, 30 Jan. 2019)
Q: Atty. Mortel, handling the case for his client
Angelita De Jesus, moved out of his office and
requested to use the address of his friend’s law
firm, MFV Jose Law Office, as his address on
record. Consequently, all notices and court
orders received by MFV on behalf of Atty. Mortel
was communicated to the latter by the law firm's
messenger. Among the Resolutions received by
MFV are the CA directives for Atty. Mortel to
submit his client's conformity to the Motion to
Withdraw Appeal and to show cause why it
should not suspend him from legal practice for
repeatedly ignoring its issued Resolutions.
Despite having ignored 11 CA Resolutions, Atty.
Mortel did not show cause for him not to be
suspended. Is respondent Atty. Mortel guilty for
disobedience or defiance of lawful court orders,
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
amounting to gross misconduct and
insubordination or disrespect?
A: YES. Atty. Mortel disrespected the lawful orders
of the court by ignoring twelve Court of Appeals
Resolutions.
Here, Atty. Mortel failed to justify the long delay of
at least three (3) years in complying with the CA
Resolutions and show cause order. His acts clearly
constitute gross misconduct and insubordination or
disrespect of court. It also shows a glaring lack of the
competence and diligence required of every lawyer.
For his gross misconduct, insubordination, and
disrespect of the Court of Appeals directives, and for
his negligence of his client’s case, respondent must
be suspended from the practice of law for one (1)
year, with a stern warning that a repetition of the
same or similar act shall be dealt with more
severely. (In Re: Resolution dated 14 Aug. 2013 of the
Court of Appeals in CA-G.R. CV No. 94656 v. Atty.
Gideon D.V. Mortel, A.C. No. 10117, 25 July 2016)
Q: Atty. A sent a letter to Judge B wherein he
allegedly threatened to file an administrative
N
and a criminal complaint for “knowingly
rendering an unjust judgment” over a writ of
E
possession/writ of demolition which the latter
issued. In the letter, Atty. A likewise stated that
Judge B was “stubbornly puruing” the
T
demolition operations “because of his desire to
please and satisfy and gratify” the mayor of his
A
LGU. Is Atty. A guilty of improper misconduct?
A: YES. Rule 11.04 of Canon 11 states that a lawyer
shall not attribute to a Judge motives not supported
by the record or have no materiality in the case.
While lawyers have the right, both as officer of the
court and as citizens, to criticize in properly
respectful terms and through legitimate channels
the acts of courts and judges, such criticisms, no
matter how truthful, shall not spill over the walls of
decency and propriety. (Presiding Judge Aida
Estrella Macapagal v. Atty. Walter T. Young, A.C. No.
9298, 29 July 2019)
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Rule 11.01
A lawyer shall appear in court properly attired.
As an officer of the court and in order to maintain
the dignity and respectability of the legal profession,
a lawyer who appears in court must be properly
attired. Consequently, the court can hold a lawyer in
contempt of court if he does not appear in proper
attire. Any deviation from the commonly accepted
W
norm of dressing in court (barong or tie, not both) is
enough to warrant a citing for contempt. (Agpalo,
2009)
A
The traditional attires for male lawyers in the
Philippines are the long-sleeve Barong Tagalog or
L
coat and tie. Female lawyers appear in semi-formal
attires. Judges also appear in the same attire in
addition to black robes. (Pineda, 2009)
O
Q: Atty. Jesus Falcis appeared in a preliminary
conference before the Supreme Court wearing a
casual jacket, cropped jeans, and loafers without
E
socks. Did Atty. Falcis commit any ethical
impropriety?
A: YES. Atty. Falcis is reminded of the requirement
under Canon 11 of the CPR for lawyers to “observe
and maintain the respect due to the Courts and to
judicial officers and to insist on similar conduct by
others.” This duty encompasses appearances before
courts in proper attire. This Court does not insist on
sartorial pomposity. It does not prescribe
immutable minutiae for physical appearance. Still,
professional courtesy demands that persons,
especially lawyers, having business before courts,
act with discretion and manifest this discretion in
their choice of apparel. (Falcis III v. Civil Registrar
General, G.R. No. 217910, 03 July 2018)
Rule 11.02
A lawyer shall punctually appear at court
hearings.
Punctuality is demanded by the respect which a
lawyer owes to the court, the opposing counsel and
to all the parties to the case. (Funa, 2009)
62
 I. LEGAL ETHICS
It is the duty of the lawyer not only to his client, but
also to the courts and to the public to be punctual in
attendance and to be concise and direct in the trial
and disposition of cases (Canon 21, CPE; Pineda,
2009)
Rule 11.03
A lawyer shall abstain from scandalous,
offensive, or menacing language or behavior
before the Courts.
It is the duty of Atty. Depasucat et al. as members of
the Bar to abstain from all offensive personality and
to advance no fact prejudicial to the honor or
reputation of a party or witness, unless required by
the justice of the cause with which he is charged. (Uy
v. Depasucat, A.C. No. 5332, 29 July 2003)
NOTE: The language of a lawyer, both oral and
written, must be respectful and restrained in
keeping with the dignity of the legal profession and

W
with his behavioral attitude toward his brethren in
the profession. The use of abusive language by
Q: After the parties had filed their respective
counsel against the opposing counsel constitutes at

A
briefs with the CA and before the latter's
the same time disrespect to the dignity of the court
resolution submitting the case for decision was
justice. Moreover, the use of impassioned language
released, respondent lawyers including Atty.

Depasucat filed a pleading "Manifestation of
Usurpation of Authority of the Hon. Court of
Appeals from a Self-Confessed Briber of Judges",
which stated that plaintiff-appellant Uy had, in
L
in pleadings, more often than not, creates more heat
than light. (Buenaseda v. Flavier, G.R. No. 106719, 21
Sept. 1993)
The duty to observe and maintain respect is not a

O
fact, confessed to bribing two judges.
one-way duty from a lawyer to a judge. A judge
Respondents were not able to substantiate their
should also be courteous to counsel, especially
statement that Uy was involved in two bribing

E
those who are young and inexperienced and to all
incidents to be branded as “briber of judges”.
those appearing or concerned in the administration
Consequently, Uy filed a verified complaint
of justice. (The Officers and Members of the
against respondent lawyers for gross

N
Integrated Bar of the Philippines, Baguio-Benguet
misconduct. Should the respondent lawyers be
Chapter v. Pamintuan, A.M. No. RTJ-02-1691, 19 Nov.
disciplined for having authored and filed the
2004)
“Manifestation of Usurpation of Authority of the

E
Hon. Court of Appeals from a Self-Confessed
Q: An administrative case for disbarment was
Briber of Judges”?

T
filed against MDS, a Lady Senator, for uttering
offensive remarks in her privilege speech
A: YES. The lawyers went overboard by stating in
delivered in the Senate floor. She was quoted
the Manifestation that confessed to bribing judges,

A
as saying that she wanted “to spit on the face of
which statement they failed to substantiate. It belied
Chief Justice and his cohorts in the Supreme
their good intention and exceeded the bounds of
Court,” and calling the Court a “Supreme Court of
propriety, hence, not arguably protected; it is the
idiots.” She alleged that it was considered as
surfacing of a feeling of contempt towards a litigant;
part of her parliamentary immunity as such was
it offends the court before which it is made.
done during the session. Is she correct?
A lawyer shall abstain from scandalous, offensive or
A: YES. Her statements, being part of her privilege
menacing language or behavior before the courts. It
speech as a member of Congress, were covered by
must be remembered that the language vehicle does
the constitutional provision on parliamentary
not run short of expressions which are emphatic but
respectful, convincing but not derogatory, immunity. Her privilege speech is not actionable
criminally or in a disciplinary proceeding under the
illuminating but not offensive. It has been said that
a lawyer's language should be dignified in keeping Rules of Court.
with the dignity of the legal profession.
However, as a member of the Bar, the Court wishes
to express its deep concern about the language

63
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Senator MDS used in her speech and its effect on the
administration of justice. To the Court, the lady
senator has undoubtedly crossed the limits of
decency and good professional conduct.
No lawyer who has taken an oath to maintain the
respect due to the courts should be allowed to erode
the people’s faith in the judiciary. In this case, the
lady senator clearly violated Canon 8, Rule 8.01 and
Canon 11 of the CPR. (Pobre v. Senator Santiago, A.C.
No. 7399, 25 Aug. 2009)
Rule 11.04
A lawyer shall not attribute to a judge motives not
supported by the record or have no materiality to
the case.
Every citizen has the right to comment upon and
criticize the actuations of public officers. This right
is not dismissed by the fact that the criticism is
aimed at a judicial authority, or that it is articulated
by a lawyer. (In Re: Almacen, G.R. No. L-27654, 18
Feb. 1970)
Such right is especially recognized where the
N
criticism concerns a concluded litigation, because
the Court’s actuations are thrown open to public
consumption. Courts thus treat with forbearance
E
and restraint a lawyer who vigorously assails their
actuations for courageous and fearless advocates
T
are the strands that weave durability into the
tapestry of justice. (Id)
A
Post litigation utterances or publications made by
lawyers, critical of the courts and their judicial
actuations, whether amounting to a crime or not,
which transcend the permissible bounds of fair
comment and legitimate criticism and thereby tend
to bring them into dispute or to subvert public
confidence in their integrity and in the orderly
administration of justice, constitute grave
professional misconduct which may be visited with
disbarment or other lesser appropriate disciplinary
sanctions by the Supreme Court in the exercise of
the prerogatives inherent in it as the duly
constituted guardian of the morals and ethics of the
legal fraternity. (Id)
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Q: Atty. Romeo Roxas was charged with indirect
contempt. In a letter addressed to Associate
Justice Chico-Nazario, he wrote that Justice
Nazario decided the cases in favor of
Zuzuarregui, ordering Attys. Roxas and Pastor
to pay the former on considerations other than
the pure merits of the case and called the
Supreme Court a “dispenser of injustice." He
ended his letter by mocking her when he said
“sleep well if you still can” and that “her earthly
W
life will be judged by the Supreme Dispenser of
Justice where only the merits of your Honor’s
life will be relevant and material and where
A
technicalities can shield no one from his
or her wrongdoings."
L
In the written explanation of Atty. Roxas, he
extended apologies to Justice Nazario. He said he
was merely exercising his rights to express a
legitimate grievance or articulate fair criticisms
O
of the court’s ruling. Moreover, according to
him, instead of resorting to public criticisms, he
E
chose to ventilate his criticisms in a discreet and
private manner by writing a personal letter.
Should Atty. Roxas be punished for the contents
of his letter?
A: YES. Atty. Roxas’ letter contains defamatory
statements that impaired public confidence in the
integrity of the Judiciary. The making of
contemptuous statements directed against the
court is not an exercise of free speech; rather, it is an
abuse of such right. A letter furnished to all the
members of the Supreme Court, even if a copy was
not disseminated to the media, does not enjoy the
mantle of right to privacy. Letters addressed to the
individual justices in connection with the
performance of their judicial functions become part
of the judicial record and are matter of concern for
the entire court.
Atty. Roxas is guilty of indirect contempt of court for
an improper conduct tending, directly and
indirectly, to impede, obstruct or degrade the
administration of justice; and with his
contemptuous and defamatory statements, Atty.
Roxas likewise violated Canon 11 of the CPR
particularly Rules 11.03 and 11.04. (Roxas v.
Zuzuarregui, et al., G.R. No. 152072, 12 July 2007)
64
 I. LEGAL ETHICS
Q: When is public comment and criticism of a
court decision permissible and when would it be It shall be filed with the
If criminal and
improper? (1997 BAR) Office of the Ombudsman,
not purely
also with the Office of the
administrative
A: A lawyer, like every citizen, enjoys the right to City Prosecutor (OCP).
comment on and criticize the decision of a court. As
an officer of the court, a lawyer is expected not only If it involves a
to exercise that right but also to consider it his duty It must be coursed through
Justice of the
to expose the shortcomings and indiscretions of the House of
Supreme Court
courts and judges. But such right is subject to the Representative and the
based on

W
limitations that it shall be bona fide. It is proper to Senate in accordance with
impeachable
criticize the courts and judges, but it is improper to the rules on impeachment.
offenses
subject them to abuse and slander, degrade them or

A
destroy public confidence in them. Moreover, a (CPR Annotated, PhilJA)
lawyer shall not attribute to a judge motives not
NOTE: An administrative complaint is not an

supported by the record or have no materiality in
the case. (Rule 11.04, CPR)
NOTE: A lawyer should be reminded of his primary
duty to assist the court in the administration of
L
appropriate remedy where judicial recourse is still
available, such as a motion for reconsideration, an
appeal, or a petition for certiorari, unless the
assailed order or decision is tainted with fraud,

O
justice. The relations between counsel and judge malice, or dishonesty. (Santiago III v. Justice
should be based on mutual respect and on a deep Enriquez, Jr., A.M. No. CA-09-47-J, 13 Feb. 2009)

E
appreciation by one of the duties of the other. It is
upon their cordial relationship and mutual
cooperation that the hope of our people for speedy
If a judicial remedy is still available to the
complainant, the administrative complaint shall be
dismissed outright, without prejudice to re-filing

N
and efficient justice rests. (Abiera v. Maceda, A.C. No.
RTJ-91-660, 30 June 1994) should the complainant succeed in a judicial action
in proving that the public respondent's assailed act

E
If the court official or employee or a lawyer is to be or omission was indeed wrong and ill motivated
disciplined, the evidence against him should be (OCA Circular No. 264-2022)

T
substantial, competent and derived from direct
knowledge, not on mere allegations, conjectures,
suppositions or on the basis of hearsay. (Cervantes
CANON 12
A lawyer shall exert every effort and consider it
his duty to assist in the speedy and efficient

A
v. Atty. Sabio, A.C. No. 7828, 11 Aug. 2008)
administration of justice

Rule 11.05
Assistance in the Speedy and Efficient
A lawyer shall submit grievances against a Judge
Administration of Justice
to the proper authorities only.

A lawyer is bound by his oath to serve his client with

Proper Venue or Forum for the filing of the utmost zeal and dedication and shall conduct
following cases himself according to the best of his knowledge and
discretion. (Antiquiera, 1992)
NATURE OF THE
WHERE TO FILE
CASE The filing of another action concerning the same
It shall be filed with the subject matter, in violation of the doctrine of res
If administrative Office of the Court judicata, runs contrary to this Canon. (Lim v.
in nature Administrator of the Montano, A.C. No. 5653, 27 Feb. 2006)
Supreme Court.

65
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Q: Jardin engaged the services of Atty. Villar Jr.
to represent him in a collection case. Despite
several extensions of time given by the trial
court, Atty. Villar Jr. failed to file his formal offer
of exhibits and did not explain his inaction. The
case was dismissed, and this prompted Jardin to
file a complaint for disbarment against Atty.
Villar, Jr. Was Atty. Villar, Jr. remiss in his duties
as counsel when he failed to file his formal offer
of exhibits?
A: YES. The record clearly shows that Atty. Villar Jr.
has been languid in the performance of his duties as
counsel for the complainant. He was given by the
trial court several extensions of time.
Evidently, Atty. Villar Jr. has fallen short of the
competence and diligence required of every
member of the Bar. He committed a serious
transgression when he failed to exert his utmost
learning and ability and to give entire devotion to
his client's cause. His client had relied on him to file
the formal offer of exhibits among other things. But
he failed him. Resulting as it did in the dismissal of
the case, his failure constitutes inexcusable fault.
(Jardin v. Atty. Villar, Jr., A.C. No. 5474, 28 Aug. 2003)
N
Q: Judgment was rendered against Eternal
E
Gardens ordering it to reconvey the cemetery to
the rightful owners. Despite the final decision of
the Supreme Court, Eternal Gardens was able to
T
prevent the execution for 17 years, rendering
the judgment ineffectual.
A
They filed several petitions and motions for
reconsideration with the trial court and the CA
despite the fact that it would never prosper as
the trial court’s decision had long become final
before the said petitions were filed. Did the
lawyers violate Canon 12 of the CPR?
A: YES. While lawyers owe their entire devotion to
the interest of the client and zeal in the defense of
their client’s right, they are also officers of the court,
bound to exert every effort to assist in the speedy
and efficient administration of justice. They should
not misuse the rules of procedure to defeat the ends
of justice or unduly delay a case, impede the
execution of a judgment or misuse court processes.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
The facts and the law should advise them that a case
such as this should not be permitted to be filed to
merely clutter the already congested judicial
dockets. They do not advance the cause of law or
their clients by commencing litigations that for
sheer lack of merit do not deserve the attention of
the courts. (Eternal Gardens Memorial Park
Corporation v. CA, G.R. No. 123698, 05 Aug. 1998)
Rule 12.01
W
A lawyer shall not appear for trial unless he has
adequately prepared himself on the law and the
facts of his case, the evidence he will adduce and
A
the order of its proferrence. He should also be
ready with the original documents for
L
comparison with the copies.
A newly hired counsel who appears in a case in the
midstream is presumed and obliged to acquaint
O
himself with all the antecedent processes and
proceedings that have transpired in the record prior
to his takeover. (Villasis v. CA, G.R. Nos. L- 36874-76,
E
30 Sept. 1974)
A lawyer who is presenting documentary exhibits
must also be ready with the originals thereof for
purposes of comparison with copies thereof to
avoid objections which ordinarily delay the
proceedings. (Sec. 3, Rule 130, ROC)
NOTE: An "original" of a document is the document
itself or any counterpart intended to have the same
effect by a person executing or issuing it. An
"original" of a photograph includes the negative or
any print therefrom. If data is stored in a computer
or similar device, any printout or other output
readable by sight or other means, shown to reflect
the data accurately, is an "original." (Sec. 4(a), Rule
130, ROC)
66
 I. LEGAL ETHICS

Rule 12.02 Prevention of Forum Shopping

A lawyer shall not file multiple actions arising
from the same cause. The Supreme Court, in several Circulars it had
issued, required the attachment to all initiatory
(1991, 1997, 1998, 2002 BAR)
pleadings a sworn certification, that:
Forum Shopping
1. The initiating party has not therefore
commenced any action or filed any claim
The mere filing of several cases based on the same
involving the same issues in any court,
incident does not necessarily constitute forum
tribunal or quasi-judicial agency and, to the

W
shopping. The question is whether the several
best of his or her knowledge, no such other
actions filed involve the same transactions,
action or claim is pending therein;
essential facts and circumstances. If they involve

A
essentially different facts, circumstances and causes
2. If there is such other pending action or
of action, there is no forum shopping. (Paredes v.
claim, a complete statement of the present
Sandiganbayan, G.R. No. 108251, 31 Jan. 1996)

The essence of forum shopping is the filing of
multiple suits involving the same parties for the 3.
same cause of action, either simultaneously or
L
status thereof; and
If he or she should thereafter learn that the
same or similar action or claim has been
filed or is pending, he or she shall report

O
successively, to obtain a favorable judgment.
that fact within 5 calendar days therefrom
(Foronda v. Atty. Guerrero, A.C. No. 5469, 10 Aug.
to the court wherein his aforesaid
2004)

E
complaint or initiatory pleading has been
filed. (Sec. 5, Rule 7, ROC)
NOTE: If same evidence supports both actions,
there is also forum shopping.

N
Possible Consequences
It is an act of malpractice for it trifles with the
The following are the possible consequences of a
courts, abuses their processes, degrades the

E
forum shopping:
administration of justice and adds to the already
congested court dockets. What is critical is the

T
1. There may be a summary dismissal without
vexation brought upon the courts and the litigants
prejudice unless there is a willful or
by a party who asks different courts to rule on the
deliberate forum-shopping;
same or related causes and grant the same or

A
substantially the same relief, which creates the
2. A penalty for direct contempt of court may
possibility of conflicting decisions being rendered
be imposed on the party and his lawyer in
by different forums upon the same issues,
cases of willful and deliberate forum-
regardless of whether the court, in which one of the
shopping;
suits was brought, has no jurisdiction over the
action. (Top Rate Construction and General Services
3. A criminal action for a false certification of
v. Paxton Devt. Corp., G.R. No. 151081, 11 Sept. 2003)
non-forum shopping and indirect contempt
may be instituted; or

4. A disciplinary proceeding for the lawyer

concerned may be held. (Sec. 5, Rule 7, ROC)

67
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Compliance with the certification against forum
shopping is separate from the avoidance of
forum shopping itself
The requirement to file a certificate of non-forum
shopping is mandatory. Failure to comply cannot be
excused by the fact that plaintiff is not guilty of
forum shopping. (Melo v. CA, G.R. No. 123686, 16 Nov.
1999; Ong v. CA, G.R. No. 144581, 05 July 2022;
Crisostomo v. Atty. Nazareno, A.C. No. 6677, 10 June
Q: BPI and LSDC had a Joint Venture
Agreement. LSDC misrepresented to have
ownership over the lots sold and failed to
deliver the title to the buyers. BPI filed a
complaint against the LSDC for termination of
contract, recovery of property and damages,
with prayer for the issuance of a TRO and a
writ of preliminary mandatory injunction
before the RTC. With Atty. Deloria as counsel,
LSDC filed an answer with counterclaim and a

W
2014) prayer for the issuance of a writ of preliminary
mandatory injunction to direct BPI to execute
False Certification against Forum Shopping vs. the deeds of absolute sale and release the titles

A
Forum Shopping to the lot buyers. However, LSDC's application
for a writ of preliminary mandatory injunction

L
FALSE was denied. Representing Corazon Flores, a lot
CERTIFICATION FORUM SHOPPING buyer, Atty. Deloria filed a complaint for
AGAINST FORUM PROPER execution of deeds of absolute sale and
SHOPPING delivery of title against BPI before the HLURB.
Should Atty. Deloria be administratively

O
As to the Effects
liable?

Commission thereof

E
A: YES. Atty. Deloria violated Rule 12.02, Canon 12
warrants: of the CPR on forum shopping when he lodged a
complaint before the HLURB praying for BPI to
1. Summary

N
execute deeds of absolute sale and deliver the
Failure to comply dismissal without titles over the subdivided lots, which was the same
warrants: prejudice; subject matter in the preliminary mandatory

E
injunction earlier denied by the RTC while the
1. Criminal action XPN: When there main civil case was still pending (Buena Vista
for a false is a willful or Properties v. Atty. Deloria, A.C. No. 12160, 14 Aug.

T
certification of deliberate forum- 2018).
non-forum shopping
shopping;

A
Rule 12.03
2. Direct contempt
A lawyer shall not, after obtaining extensions of
2. Indirect of court on the
time to file pleadings, memoranda or briefs, let
contempt; and/or party and his
the period lapse without submitting the same or
lawyer in case of
offering an explanation for his failure to do so.
3. Disciplinary willful and
proceedings for deliberate forum- (2003 BAR)
the lawyer shopping; and/or
concerned. (Sec. The court censures the practice of counsels who
5, Rule 7, ROC) 3. Disciplinary secure repeated extensions of time to file their
proceedings for pleadings and thereafter simply let the period lapse
the lawyer without submitting the pleading or even an
concerned. (Sec. explanation or manifestation of their failure to do
5, Rule 7, ROC) so. (Achacoso v. CA, G.R. No. L-35867, 28 June 1973)

Asking for extension of time must be in good faith.

Otherwise, it is an obstruction of justice and the

U N IV E R S I T Y O F S A N T O T O M A S 68
2023 GOLDEN NOTES
 I. LEGAL ETHICS
lawyer is subject to discipline. (CPR Annotated,
PhilJA)
The same rule applies more forcefully to motion for
continuance. Postponement is not a matter of right
but of sound judicial discretion. (Edrial v. Quilat-
Quilat, G.R. No. 133625, 06 Sept. 2000)
Rule 12.04
A lawyer shall not unduly delay a case, impede the
execution of a judgment or misuse court
processes
It is understandable for a party to make full use of
every conceivable legal defense the law allows.
However, in case of attempts to evade liability to
which a party should respond, it must be kept in
mind that procedural rules are intended to aid
justice, not as means for its frustration. (Santiago v.
O
De Los Santos, G.R. No. L-20241, 22 Nov. 1974)
Once a judgment becomes final and executory, the
E
prevailing party should not be denied the fruits of
his victory by some subterfuge devised by the losing
party. Unjustified delay in the enforcement of a
N
judgment sets at naught the role of the courts in
disposing justiciable controversies with finality.
(Aguilar v. Manila Banking Corporation, G.R. No.
E
157911, 19 Sept. 2006)
T
Lawyers should not resort to nor abet the resort of
their clients to a series of actions and petitions to
thwart the execution of a judgment that has long
A
become final and executory. (Cobb-Perez v. Lantin,
G.R. No. L-22320, 22 May 1968)
Note: The writs of amparo and habeas data are
extraordinary remedies which cannot be used as
tools to stall the execution of a final and executory
decision in a property dispute. (Castillo v. Cruz, G.R.
No. 182165, 25 Nov. 2009)
69
Rule 12.05
A lawyer shall refrain from talking to his witness
during a break or recess in the trial, while the
witness is still under examination.
The rule is designed to uphold and maintain fair
play with the other party and to avoid any suspicion
that he is coaching the witness what to say during
the resumption of the examination. (Agpalo, 2009)
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Guidelines in interviewing witnesses (2001,
2005 BAR)
A
1. A lawyer may interview a witness in
advance of the trial to guide him in the
L
management of the litigation.
2. A lawyer may also interview a “prospective
witness” for the opposing side in any civil
and criminal action without the consent of
opposing counsel or party.
3. A lawyer must properly obtain statements
from witnesses whose names were
furnished by the opposing counsel or
interview the employees of the opposing
party even though they are under subpoena
to appear as witnesses for the opposite
side.
4. If after trial resulting in defendant’s
conviction, his counsel has been advised
that a prosecution witness has committed
perjury, it is not only proper but it is the
lawyer’s duty to endeavor honorable
means to obtain such witness’
reaction, even without advising the public
prosecutor of his purpose and even though
the case is pending appeal.
5. An adverse party, though he may be used as
a witness, is not however a witness within
the meaning of the rule permitting a lawyer
to interview the witness of the opposing
counsel.
Q: May an attorney talk to his witnesses before
and during the trial? (2014 BAR)
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
A: An attorney can talk with his witnesses before the
trial, but it is unethical to do so if the client is already
on the witness stand during the trial. (Agpalo, 2009)
NOTE: Although the law does not forbid an attorney
to be a witness and at the same time an attorney in
a case, the courts prefer that counsel should not
testify as a witness unless it is necessary and that
they should withdraw from the active management
of the case. (PNB v. Uy Teng Piao, G.R. No. L- 35252,
21 Oct. 1932)
GR: A lawyer is not disqualified from being a
witness. (Santiago v. Rafanan, A.C. No. 6252, 05 Oct.
2004)
XPN: In certain cases pertaining to privileged
communication arising from an attorney-client
relationship. (Santiago v. Rafanan, A.C. No. 6252, 05
Oct. 2004)
Rule 12.06
A lawyer shall not knowingly assist a witness to
misrepresent himself or to impersonate another.
N
Sanctions to a Lawyer who instructs a Witness to
perpetuate Misrepresentation
E
Art. 184 of the Revised Penal Code (RPC) provides
that “the lawyer who presented a witness knowing
T
him to be a false witness is criminally liable for
Offering False Testimony in Evidence.”
A
NOTE: The lawyer who is guilty of the above is both
criminally and administratively liable.
Criminal Liability of a Witness who commits
Misrepresentation
The witness who commits the misrepresentation is
criminally liable for “False Testimony” either under
Arts. 181, 182 or 183, Revised Penal Code (RPC),
depending upon the nature of the case.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Rule 12.07
A lawyer shall not abuse, browbeat, or harass a
witness nor needlessly inconvenience him.
Q: Nolito Boras was convicted of statutory rape.
The victim, a minor, testified with the manner of
examination being excessive. The lawyer of
Boras was asking questions like, “Did you have
any opportunity at the time you were raped to
W
hold the penis of Nolito Boras?”, “At the time,
when you were raped by Nolito Boras, is his penis
hard or soft?”, and “Did you see your uncle Cerilo
A
after the accused stop pushing and pulling his
penis to your vagina or while he was still in the
process of pushing and pulling his penis to your
L
vagina?” Did the lawyer of Nolito Boras violate
Rule 12.07?
A: YES. It must be stressed that in dealing with rape
O
cases of children, especially those below 12 years of
age, due care must be observed by the trial court in
handling the victim. By subjecting her into
E
explaining whether she was forced or intimidated is
excessive.
It is because proof of force and intimidation is
unnecessary in statutory rape. Considering that
there is a medical report substantiating the
allegations made by the victim, the manner of
examination of the victim must be tempered.
Especially in this case since the child is only six
years old who remains uncorrupted. (People v.
Boras, G.R. No. 127495, 22 Dec. 2000)
Rule 12.08
A lawyer shall avoid testifying in behalf of his
client
The function of a witness is to state the facts as he
recalls them in answer to questions. The function of
an advocate is that of a partisan. It is difficult to
distinguish between the zeal of an advocate and the
fairness and impartiality of a disinterested witness.
(Santiago v. Rafanan, A.C. No. 6252, 05 Oct. 2004)
70
 I. LEGAL ETHICS
Matters to which a Lawyer CANNOT testify on
(C-C-R-A-T)
1. When, as an attorney, he is to Testify on the
theory of the case;
2. When such would Adversely affect any
lawful interest of the client with respect to
which confidence has been reposed on him;
3. Having accepted a Retainer, he cannot be a
witness against his client;
4. He cannot serve Conflicting interests; and,
5. When he is to violate the Confidence of his
client.
Exceptions
The following are matters to which a lawyer CAN
O
testify on:
E
1. On formal matters, such as the mailing,
authentication or custody of instrument
and the like; and
N
2. On substantial matters in cases where his
testimony is essential to the ends of justice,
E
in which event he must, during his
testimony, entrust the trial of the case to
T
another counsel.
CANON 13
A
A lawyer shall rely upon the merits of his cause
and refrain from any impropriety which tends to
influence, or gives the appearance of influencing
the court.
Reliance on the Merits and Avoidance from Any
Impropriety
It is unethical for a lawyer to give an appearance as
if he is capable of influencing judges and court
personnel. Giving of gifts to the judges are
discouraged as it tends to give an appearance of
influencing the conduct of judicial function or
breeding familiarity with judges. (Antiquiera, 1992)
71
It is reprehensible for a lawyer to wrongfully use the
name of the law office for the purpose of “giving
more weight and credit to the pleading.” Motions
and pleadings filed in courts are acted upon in
accordance with their merits or lack of it, and not on
the reputation of the law firm or the lawyer filing
the same. (Rodica v. Atty. Lazaro, et al. A.C. No. 9259,
23 Aug. 2012)
Rule 13.01
W
A lawyer shall not extend extraordinary attention
or hospitality to, nor seek opportunity for
cultivating familiarity with judges.
A
The rule is designed to protect the good name and
L
reputation of the judge and the lawyer. (Pineda,
2009) Lawyers should not seek for opportunity to
cultivate familiarity with judges. A lawyer who
resorts to such practices of seeking familiarity with
judges dishonors his profession and a judge who
consents to them is unworthy of his high office.
A lawyer should not communicate or argue
privately with the judge as to the merits of a pending
case. He should be rebuked and denounced for any
device or attempt to gain from a judge special
personal consideration or favor. (Canon 3, CPE)
It is improper for a litigant or counsel to see a judge
in chambers and talk to him about a matter related
to the case pending in the court of said judge.
(Austria v. Masaquel, G.R. No. 22536, 31 Aug. 1967)
It is highly improper for a judge to meet privately
with an accused who has a pending case before him
without the presence of the other party. (Gallo v.
Cordero, A.M. No. MTJ-95-1035, 21 June 1995)
Q: Atty. J requested Judge K to be a principal
sponsor for the wedding of his son. Atty. J met
Judge K a month before during the IBP-
sponsored reception to welcome Judge K into
the community and having learned that Judge K
takes his breakfast at a coffee shop near his
(Judge K's) boarding house, Atty. J made it a
point to be at the coffee shop at about the time
that Judge K takes his breakfast. Comment on
Atty. J's acts. Do they violate the CPR? (2000
BAR)
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
A: YES. His actions violate Canon 13 of the CPR
which provides that a lawyer shall rely upon the
merits of his cause and refrain from any impropriety
which tends to influence or gives the appearance of
influencing the court.
Rule 13.01 of the same Code provides that a lawyer
shall not extend extraordinary attention or
hospitality to, nor seek opportunity for cultivating
familiarity with judges.
Atty. J obviously sought opportunity for cultivating
familiarity with Judge K by being at the coffee shop
where the latter takes his breakfast and is extending
extraordinary attention to the judge by inviting him
to be a principal sponsor at the wedding of his son.
Rule 13.02
A lawyer shall not make public statements in the
media regarding a pending case tending to
arouse public opinion for or against a party.
Prejudicial Publicity
There must be an allegation and proof that the
N
judges have been unduly influenced, not simply that
they might be, by the barrage of publicity. (CPR
Annotated, PhilJA)
E
NOTE: The restriction does not prohibit issuances
T
of statements by public officials charged with the
duty of prosecuting or defending actions in court.
(Lejano v. People, G.R. No. 176389, 14 Dec. 2010)
A
In a concluded litigation, a lawyer enjoys a wider
latitude of commenting on or criticizing the decision
of a judge of his actuation. Thus, it has been held that
a newspaper publication tending to impede,
obstruct, embarrass, or influence the courts in
administering justice in a pending case constitutes
criminal contempt, but the rule is otherwise after
the litigation is ended. (In re: Lozano, 54 Phil. 801, 24
July 1930)
Q: Dumbledore, a noted professor of commercial
law, wrote an article on the subject of letters of
credit, which was published in the IBP Journal.
Assume that he devoted a significant portion of
the article to a commentary on how the Supreme
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
Court should decide a pending case involving
the application of the law on letters of credit.
May he be sanctioned by the Supreme Court?
Explain. (2008 BAR)
A: YES. Professor Dumbledore may be sanctioned
by the Supreme Court. Rule 13.02 of the CPR
provides that “a lawyer shall not make public
statements in the media regarding a pending case
tending to arouse public opinion for or against a
W
party.” The Court in a pending litigation must be
shielded from embarrassment or influence in its
duty of deciding the case.
A
Q: Assume Dumbledore did not include any
L
commentary on the case. Assume further after
the Supreme Court decision on the case had
attained finality, he wrote another IBP Journal
article, dissecting the decision and explaining
why the Supreme Court erred in all its
O
conclusions. May he be sanctioned by the
Supreme Court? Explain. (2008 BAR)
E
A: He may not be sanctioned by the Supreme Court.
Once a case is concluded, the judge who decided it is
subject to the same criticism as any other public
official because his decision becomes public
property and is thrown open to public consumption.
The lawyer enjoys a wide latitude in commenting or
criticizing the judge’s decision, provided that such
comment or criticism shall be bona fide and not spill
over the bounds of decency and propriety.
Rule 13.03
A lawyer shall not brook or invite interference by
another branch or agency of the government in
the normal course of judicial proceedings.
When a case is already within the jurisdiction of a
court, the lawyer should not cause or seek the
interference of another agency of the Government in
the normal course of judicial proceedings. (Pineda,
2009)
The reason for this rule is that such action will be
contrary to the principle of separation of powers.
All lawyers must uphold, respect and support the
independence of the judiciary. This independence
72
 I. LEGAL ETHICS
from interference is made to apply against all consent is prohibited;
branches and agencies of the government. (Funa,
2009) 2. It is highly confidential. All
communications made in the course of
NOTE: In the case of De Bumanlag v. Bumanlag (A.M. lawyer’s professional employment is
No. 188, 29 Nov. 1976), the Supreme Court confidential in nature; and
reprimanded Atty. Bumanlag for gross ignorance of
law and of the Constitution in having asked the 3. It is fiduciary in nature. It means that
President to set aside by decree the Court’s decision
which suspended him for two years from the a. The lawyer holds in trust all

W
practice of law. moneys and properties of his client
that may come into his possession;
4. TO THE CLIENTS

A
b. When a lawyer enforces a charging
lien against his client, the
Canons 14 to 22:

L
relationship is terminated; and
14. Not to refuse services to the needy.
c. An attorney cannot represent
adverse interest unless the parties
15. Observe candor, fairness and loyalty in all
consent to the representation after

O
dealings and transactions with clients.
full disclosure of facts.

16. Hold in trust all the moneys and property of

E
Q: Lawyer A and client B were good friends while
his/her client that may come to his/her
maintaining an attorney-client relationship
possession.
imbued with trust and confidence, so much so

N
that A borrowed money from B. However, A was
17. Owes fidelity to client’s cause and be
remiss in his duties as a lawyer without
mindful of the trust and confidence reposed
informing the court and his client on the cause.
in him/her.

E
B confronted A and demanded payment of the
loaned money. The lawyer failed to pay the
18. Serve client with competence and diligence.

T
same. Did A violate the Code of Professional
Responsibility?
19. Represent client with zeal within the
bounds of law.

A
A: YES. The relationship between a lawyer and his
client is one imbued with trust and confidence
20. Charge only fair and reasonable fees.
which may be prone to abuse. The rule against
borrowing of money by a lawyer from his client is
21. Preserve the confidence and secrets of the
intended to prevent the lawyer from taking
client even after the attorney-client
advantage of his influence over his client.
relation is terminated.

The rule presumes that the client is disadvantaged

22. Withdraw services only for good cause and
by the lawyer’s ability to use all the legal
upon notice.
maneuverings to renege his obligation. (Frederick
Dalumay v. Atty. Ferdinand M. Agustin, A.C. No.
Characteristics of an Attorney-Client
12836, 17 Mar. 2021)
Relationship

1. It is strictly personal. It means that the

delegation of work without the client’s

73
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
The Absence of a Written Contract will not
preclude finding of an Attorney-Client
Relationship.
The absence of a written contract will not preclude
a finding that there is a professional relationship.
Documentary formalism is not an essential element
in the employment of an attorney; the contract may
be express or implied. (Toledo v. Callos, A.M. No. RTJ-
05-1900, 28 Jan. 2005)
It is sufficient to establish the professional relation,
that the advice and assistance of an attorney is
sought and received in any matter pertinent to his
profession. An acceptance of the relation is implied
on the part of the attorney from his acting on behalf
of his client in pursuance of a request from the
latter. (Hirach Bros. and Co. v. R. E. Kennington Co.,
88 A. L. R., 1. cited in Hilado v. David, G.R. No. L-961,
21 Sept. 1949)
Commencement of an Attorney-Client
Relationship
Case law instructs that a lawyer-client relationship
commences when a lawyer signifies his agreement
N
to handle a client's case and accepts money
representing legal fees from the latter. (Egger v.
E
Duran, A.C. No. 11323, 14 Sept. 2016; Samonte v. Atty.
Jumamil, A.C. No. 11668, 17 July 2017)
T
NOTE: If a person, in respect to his business affairs
or any troubles of any kind, consults with his
A
attorney in his professional capacity with the view
to obtaining professional advice or assistance and
the attorney voluntarily permits or acquiesce in
such consultation, as when he listens to his client’s
preliminary statement of his case or gives advice
thereon, then the professional employment is
regarded as established just as effective as when he
draws his client’s pleading or advocates his client’s
cause in court. (Dee v. CA, G.R. No. 77439, 24 Aug.
1989)
Formation of the Lawyer-Client Relationship
The lawyer-client relationship is formed through
the following:
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
1. Oral - It is when the counsel is employed
without a written agreement, but the
conditions and amount of attorney’s fees
are agreed upon;
2. Express - It is when the terms and
conditions including the amount of fees are
explicitly stated in a written document,
which may be a private or public document.
Written contract of attorney’s fees is the
W
law between the lawyer and the client; or
3. Implied - It is when there is no agreement,
A
whether oral or written, but the client
allowed the lawyer to render legal services
L
not intended to be gratuitous without
objection and client is benefited by reason
thereof.
Rules Protecting the Attorney-Client
O
Relationship (PAPA-B)
E
1. Best effort must be exerted by the
attorney to protect his client’s interest;
2. The attorney must promptly Account for
any fund or property entrusted by or
received for his client;
3. An attorney cannot Purchase his client’s
property or interest in litigation;
4. The Privacy of communications shall be
upheld; and
5. An attorney cannot represent a party
whose interest is Adverse to that of his
client even after the termination of the
relation.
Principal Types of Professional Activity of a
Lawyer (P-A-A)
1. Legal Advice and instructions to clients to
inform them of their rights and obligations;
2. Appearance for clients before public tribunals
which possess power and authority to
determine rights of life, liberty, and property
74
 I. LEGAL ETHICS
according to law, in order to assist in proper
interpretation and enforcement of law; and,
3. Preparation for clients of documents requiring
knowledge of legal principles not possessed by
ordinary layman. (CPR Annotated, PhilJA)
Q: Uy engaged the services of Atty. Gonzales to
prepare and file a petition for the issuance of a
new certificate of title. After confiding with the
Atty. Gonzales the circumstances surrounding
the lost title and discussing the fees and costs,
Atty. Gonzales prepared, finalized, and
submitted to Uy a petition to be filed with the
RTC of Tayug, Pangasinan. However, when the
petition was about to be filed, Atty. Gonzales
went to Uy’s office and demanded a certain
amount from him other than what they had
previously agreed upon. Uy found out later that
instead of filing the petition for the issuance of a
O
new certificate of title, Atty. Gonzales filed a
letter- complaint against him with the Office of
E
the Provincial Prosecutor for “falsification of
public documents.” The letter-complaint
contained facts and circumstances pertaining to
N
the transfer certificate of title that was the
subject matter of the petition which Atty.
Gonzales was supposed to have filed. Should
E
Atty. Gonzales be suspended for violating the
lawyer-client relationship when he filed a
T
complaint for “falsification of public documents”
against his client using facts connected with the
latter’s petition?
A
A: NO. Evidently, the facts alleged in the complaint
for “estafa through falsification of public
documents” filed by Atty. Gonzales against Uy were
obtained by Atty. Gonzales due to his personal
dealings with Uy. Whatever facts alleged by Atty.
Gonzales against Uy were not obtained by Atty.
Gonzales in his professional capacity but as a
redemptioner of a property originally owned by his
deceased son and therefore, when Atty. Gonzales
filed the complaint for estafa against Uy, which
necessarily involved alleging facts that would
constitute estafa, Atty. Gonzales was not, in any way,
violating Canon 21.
75
Clearly, there was no attorney-client relationship
between Atty. Gonzales and Uy. The preparation
and the proposed filing of the petition was only
incidental to their personal transaction. (Uy v. Atty.
Gonzales, A.C. No. 5280, 30 Mar. 2004)
Q: Atty. Marie consulted Atty. Hernandez
whether she can successfully prosecute her case
for declaration of nullity of marriage that she
intends to file against her husband. Atty.
W
Hernandez advised her in writing that the case
will not prosper for the reasons stated therein.
Is Atty. Hernandez's subsequent acquiescence to
A
be counsel of Atty. Marie’s husband, Noel,
ethical? (2006 BAR)
L
A: NO. Atty. Hernandez's acquiescence to be Noel's
counsel will not be ethical. It will constitute a
conflict of interests. When Atty. Marie consulted
Atty. Hernandez' for advice on whether she can
successfully prosecute her case for declaration of
nullity of her marriage to Noel, and he advised her
that it will not prosper, a lawyer-client relationship
was created between them, although his advice was
unfavorable to her.
From that moment, Atty. Hernandez is barred from
accepting employment from the adverse party
concerning the same matter about which she had
consulted him. (Hilado v. David, 84 Phil. 569, 1949)
Q: In the course of a drinking spree with Atty.
Holgado, who has always been his counsel in
business deals, Simon bragged about his recent
sexual adventures with socialites known for
their expensive tastes. When Atty. Holgado
asked Simon how he manages to finance his
escapades, the latter answered that he has been
using the bank deposits of rich clients of Banco
Filipino where he works as manager. Is Simon's
revelation to Atty. Holgado covered by the
attorney-client privilege? (2006 BAR)
A: NO. Simon's revelation to Atty. Holgado is not
covered by the lawyer-client privilege. In the first
place, it was not made on account of a lawyer-client
relationship, that is, it was not made for the purpose
of seeking legal advice. In the second place, it was
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not made in confidence. (Mercado v. Vitriolo, A.C. No.
5108, 26 May 2005).
In the third place, the attorney-client privilege does
not cover information concerning a crime or fraud
being committed or proposed to be committed.
CANON 14
A lawyer shall not refuse his services to the needy.
Availability of Service Without Discrimination
The poor and indigent should not be further
disadvantaged by lack of access to the Philippine
legal system.
Lawyer’s Right to decline Employment
GR: A lawyer is not obliged to act as legal counsel for
any person who may wish to become his client. He
has the right to decline employment. (Navarro v.
Meneses III, A.C. No. 313, 30 Jan. 1998)
XPNs:
1. A lawyer shall not refuse his services to the
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needy. (Canon 14)
E
2. He shall not decline to represent a person
solely on account of the latter’s race, sex,
creed or status in life or because of his own
T
opinion regarding the guilt of said person.
(Rule 14.01, CPR)
A
3. He shall not decline, except for serious and
efficient cause, like:
a. If he is not in a position to carry out
effectively or competently; and
b. If he labors under a conflict of
interest between him and the
prospective client. (Rule 14.03,
CPR)
Legal Aid Cases
Legal aid cases are those actions, disputes and
controversies that are criminal, civil and
administrative in nature in whatever stage, wherein
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
an indigent and pauper litigants need legal
representation. (Sec. 4(c), B.M. No. 2012)
Rationale for establishing Legal Aid Services
Legal aid is not a matter of charity. It is a means for
the correction of social imbalances that may and
often do lead to injustice, for which reason it is a
public responsibility of the Bar. The spirit of public
service should, therefore, underlie all legal aid
W
offices. The same should be so administered as to
give maximum possible assistance to the indigent
and deserving members of the community in all
A
cases, matters and situations in which legal aid may
be necessary to forestall an injustice. (Public Service,
L
Sec. 1, Art. 1, IBP Guidelines on Legal Aid)
Q: Are there instances where a lawyer has the
duty to decline employment? (1993 BAR)
O
A: A lawyer should decline no matter how attractive
the fee offered may be if its acceptance will involve:
E
(C-A-R-A-C-A)
1. A violation of any of the Rules of the legal
profession;
2. Advocacy in any manner in which he had
intervened while in the government
service;
3. Nullification of a Contract which he
prepared;
4. Employment with a Collection agency
which solicits business to collect claims;
5. Employment, the nature of which might
easily be used as a means of Advertising his
professional services of his skill; or
6. Any matter in which he knows or has
reason to believe that he or his partner will
be an essential witness for the prospective
client.
76
 I. LEGAL ETHICS
Reasons why a Lawyer may not accept a “Losing
Case”
1. The attorney’s signature in every pleading
constitutes a certificate by him that there is
good cause to support it and that it is not
interposed for delay, and willful violation of
such rule shall subject him to disciplinary
action; (Sec. 7, Rule 7, ROC)
2. It is the attorney’s duty to “counsel or
maintain such actions or proceedings only
as appears to him to be just and only such
defenses as he believes to be honestly
debatable under the law”;
3. A lawyer is not to encourage either the
commencement or the continuance of an
action or proceeding, or delay any man’s
cause, for any corrupt motive or interest;
O
and
E
4. A lawyer must decline to conduct a civil
cause or to make a defense when convinced
that it is intended merely to harass or injure
N
the opposing party or to work oppression
or wrong.
E
Q: Is there an instance when a lawyer may accept
a losing case? (1996, 2001, 2002, 2005 BAR)
T
a. In a criminal case?
A
A: A lawyer may accept a “losing” criminal case since
an accused is presumed to be innocent until his guilt
is proven beyond reasonable doubt. Furthermore,
CPR provides that a lawyer shall not decline to
represent a person because of his opinion regarding
the guilt of said person. Otherwise, innocent
persons might be denied proper defense. (Rule
14.01, CPR)
b. In a civil case?
A: A lawyer may also accept a losing civil case,
provided that, in so doing, he must not engage in
dilatory tactics and must advise his client about the
prospects and advantage of settling the case
through a compromise to the extent of representing
77
indigents, defenseless and the oppressed.
Rule 14.01
A lawyer shall not decline to represent a person
solely on account of the latter’s race, sex, creed or
status of life, or because of his own opinion
regarding the guilt of said person.
Rendering of Service Regardless of the Status of
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a Person
Q: Atty. DD’s services were engaged by Mr. BB as
A
defense counsel in a lawsuit. In the course of the
proceedings, Atty. DD discovered that Mr. BB
was an agnostic and a homosexual. By reason
L
thereof, Atty. DD filed a motion to withdraw as
counsel without Mr. BB’s express consent. Is
Atty. DD’s motion legally tenable? Reason briefly
(2004 BAR)
A: NO. Atty. DD’s motion is not legally tenable as he
has no valid cause to terminate his services. His
client, Mr. BB, being an agnostic and homosexual,
should not be deprived of his counsel’s
representation solely for that reason.
Q: A is accused of robbery in a complaint filed by
B. A sought free legal assistance from the Public
Attorney’s Office (PAO) and Atty. C was assigned
to handle his case. After reviewing the facts as
stated in the complaint and as narrated by A,
Atty. C is convinced that A is guilty. May Atty. C
refuse to handle the defense of A and ask to be
relieved? Explain fully. (2014 BAR)
A: NO. Rule 14.01 of the CPR provides that a lawyer
shall not decline to represent a person solely on
account of his own opinion regarding the guilt of the
said person. It is not the duty of the lawyer to
determine whether the accused is guilty or not, but
the judge’s. Besides, in a criminal case, the accused
is presumed innocent, and he is entitled to an
acquittal unless his guilt is proven beyond
reasonable doubt. The role of the lawyer is to see to
it that his constitutional right to due process is
observed.
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES

Rule 14.02 was deprived of due process. Is he correct?

A lawyer shall not decline, except for serious and
sufficient cause, an appointment as counsel de
officio or as amicus curiae, or a request from the
Integrated Bar of the Philippines or any of its
chapters for rendition of free legal aid.
A court may assign an attorney to render
professional aid free of charge to any party in a case,
A: YES. The right to counsel must be more than just
the presence of a lawyer in the courtroom or the
mere propounding of standard questions and
objections. The right to counsel means that the
accused is amply accorded legal assistance
extended by a counsel who commits himself to the
cause for the defense and acts accordingly. The right
assumes an active involvement by the lawyer in the

W
if upon investigation it appears that the party is
proceedings, particularly at the trial of the case, his
destitute and unable to employ an attorney and that
bearing constantly in mind of the basic rights of the
the services of counsel are necessary to secure the
accused, his being well-versed on the case, and his

A
ends of justice and to protect the rights of the party.
knowing the fundamental procedures, essential
It shall be the duty of the attorney so assigned to
laws and existing jurisprudence.
render the required service, unless he is excused

L
therefrom by the court for sufficient cause shown.
(Sec. 31, Rule 138, ROC) It is never enough that accused be simply informed
of his right to counsel; he should also be asked
Counsel de Officio whether he wants to avail himself of one and should
be told that he can hire a counsel of his own choice

O
if he so desires or that one can be provided to him at
A counsel de officio must be (a) a member of the bar
his request.
in good standing; and, (b) any person, resident of

E
the province and of good repute for probity and
A counsel de officio must take the case not as a
ability, in localities without lawyers. (Sec. 7, Rule
burden but as an opportunity to assist in the proper
116, Rules of Court)

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dispensation of justice. No lawyer is to be excused
from this responsibility except only for the most
Considerations in appointing a Counsel de
compelling and cogent reasons.
Officio

E
Obviously, in the instant case, the aforenamed
The following matters should be considered in the
defense lawyers did not protect, much less uphold,

T
appointment of a counsel de officio:
the fundamental rights of the accused. Instead, they
1. gravity of offense; haphazardly performed their function as counsel de

A
2. difficulty of questions that may arise; and,
3. experience and ability of appointee. (Sec. 7,
Rule 116, ROC)
Q: A criminal complaint was filed against
Bermas for rape. The Prosecutor issued a
certification that the accused has waived his
right to preliminary investigation. On
arraignment, the accused was brought before
the trial court without counsel. The Court
assigned a different counsel de officio to the case
for four times. Each counsel failed to appear
before the court. Despite the said events, the
lower court convicted the accused of death
penalty for the violation of the crime of rape.
The defense counsel claimed that the accused
officio to the detriment and prejudice of the accused
Sevilleno, however guilty he might have been found
to be after trial. (People v. Bermas, G.R. No. 120420,
21 Apr. 1999)
Rule 14.03
A lawyer may not refuse to accept representation
of an indigent client.
Exceptions
1. He is in no position to carry out the work
effectively or competently;
2. He labors under a conflict of interest
between him and the prospective client or

U N IV E R S I T Y O F S A N T O T O M A S 78
2023 GOLDEN NOTES
 I. LEGAL ETHICS
between a present client and a prospective
client.
Grounds for Refusal of Appointment to be a
Counsel de Officio
A lawyer may refuse to accept the appointment of
being a counsel de officio on the following grounds:
1. There are too many de officio cases
assigned to the lawyer; (People v. Daeng,
G.R. No. L-34091, 30 Jan. 1973)
2. There exists a conflict of interest; (Rule
14.03, CPR)
3. The lawyer is not in a position to carry out
the work effectively or competently;
4. The lawyer is prohibited from practicing
law by reason of his public office which
O
prohibits appearances in court;
E
5. The lawyer is preoccupied with too many
cases which will spell prejudice to the new
clients;
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6. The lawyer provides health-related
reasons;
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7. There is an extensive travel abroad.
T
NOTE: A lawyer may refuse to handle cases due to
these valid reasons. However, Rule 2.02 requires
A
him to give advice on preliminary steps if he is asked
until the client secures the services of counsel. He
shall refrain from giving this preliminary advice if
there is conflict of interest between a present client
and a prospective one for extending such legal
advice will create and establish an attorney-client
relationship between them and may involve a
violation of the rule prohibiting a lawyer from
representing conflicting interest.
Q: Judge Climaco issued an order denying Atty.
Ledesma’s motion to withdraw as counsel de
officio. One of the grounds for such a motion was
his allegation that with his appointment as
Election Registrar by the COMELEC, he was not
in a position to devote full time to the defense of
79
the two accused. The denial by the Judge of such
plea, notwithstanding the conformity of the
defendants, was due to “its principal effect of
delaying the case." Is the denial of Judge Climaco
correct?
A: YES. The reluctance of Ledesma to comply with
his responsibilities as counsel de officio is not an
adequate ground for the motion of withdrawal.
Membership in the bar is a privilege burdened with
W
a condition. For some lawyers especially the
neophytes in the profession being appointed as a
lawyer is an irksome chore.
A
Law is a profession dedicated to the ideal of service
L
and not a mere trade. Thus, is made manifest the
indispensable role of a member of the Bar in the
defense of an accused.
Such a consideration could have sufficed for
Ledesma not being allowed to withdraw as counsel
de officio. For he did betray by his moves his lack of
enthusiasm for the task entrusted to him, to put
matters mildly. He did point though to his
responsibility as an election registrar. Assuming his
good faith, no such excuse could be availed. There is
not likely at present, and in the immediate future, an
exorbitant demand on his time. (Ledesma v. Climaco,
G.R. No. L-23815, 28 June 1974)
Q: May a lawyer decline a request for free legal
aid to an indigent accused made by a chapter of
the IBP? Explain. (2002 BAR)
A: NO. Rule 14.02 of the CPR provides that “a lawyer
shall not decline, except for serious and sufficient
cause, an appointment as counsel de officio or as
amicus curiae or a request from the IBP or any of its
chapter for rendition of free legal aid.” He may,
decline such appointment only for “serious and
sufficient cause.”
Q: Will your answer be different if the legal aid
is requested in a civil case? (2002 BAR)
A: The answer will not be exactly the same, because
in a civil case, the lawyer can also decline if he
believes the action or defense to be unmeritorious.
He is ethically bound to maintain only actions and
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
proceedings which appear to him to be just and only
such defenses which he believes to be honestly
debatable under the law.
Rule 14.04
A lawyer who accepts the cause of a person
unable to pay his professional fees shall observe
the same standard of conduct governing his
relations with paying clients.
diminution in his zeal. (Ledesma v. Climaco, G.R. No.
L-23815, 28 June 1974)
CANON 15
A lawyer shall observe candor, fairness and
loyalty in all his dealings and transactions with
his clients
Candor, Fairness, and Loyalty to Clients

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(2008 BAR)
A lawyer owes absolute fidelity to the cause of his
client. He owes his client full devotion to his interest,
Q: Atty. Mariano Dajoyag, Jr. is Ernesto Ramos’
warm zeal in the maintenance and defense of his

A
counsel. He failed to perfect their appeal before
rights.
the Supreme Court. He filed the petition for
certiorari within the 20-day period of extension

that he sought in his 2nd motion for extension.
He learned that the period of extension granted
in his 1st motion for extension was inextendible
only after the expiration of the two (2) periods
L
It demands of an attorney an undivided allegiance, a
conspicuous and high degree of good faith,
disinterestedness, candor, fairness, loyalty, fidelity
and absolute integrity in all his dealings and
transactions with his clients and an utter

O
of extension that he prayed for.
renunciation of every personal advantage
conflicting in any way, directly or indirectly, with
A complaint for negligence and malpractice was

E
the interest of his client. (Oparel Sr. v. Abaria, A.C. No.
filed against him, to which he pleaded good faith
959, 30 July 1971)
and excusable neglect of duty. Is Atty. Dajoyag Jr.
guilty of neglect of duty?

N
If they find that their client’s cause is defenseless,
then it is their bounden duty to advise the latter to
A: YES. Motions for extension are not granted as a
acquiesce and submit rather than to traverse the
matter of right but in the sound discretion of the

E
court, and lawyers should never presume that their incontrovertible. (Rollon v. Atty. Naraval, A.C. No.
6424, 04 Mar. 2005)
motions for extension or postponement will be

T
granted or that they will be granted the length of
Q: Baens engaged the services of Atty. Sempio to
time they prayed for.
file a case for Declaration of Nullity of Marriage

A
against his wife. Despite receipt of ₱250,000 for
Further, regardless of the agreement Atty. Dajoyag,
legal expenses, Atty. Sempio failed to file the
Jr. had with Ramos with respect to the payment of
petition, and it was Baens’ wife who filed the
his fees, Atty. Dajoyag, Jr. owed it to Ramos to do his
same. Atty. Sempio filed an Answer only after
utmost to ensure that every remedy allowed by law
the 15-day period stated in the Summons. Atty.
is availed of.
Sempio also failed to make an objection on the
petition on the ground of improper venue as
Rule 14.04 of the CPR enjoins every lawyer to
neither Baens nor his wife were and are
devote his full attention, diligence, skills, and
residents of Dasmariñas, Cavite. He never
competence to every case that he accepts. Pressure
bothered to check the status of the case and thus
and large volume of legal work do not excuse Atty.
failed to discover and attend all the hearings set
Dajoyag, Jr. for filing the petition for certiorari out of
for the case.
time. (Ramos v. Dajoyag, Jr., A.C. No. 5174, 28 Feb.
2002)
As a result, the civil case was decided without
Baens being able to present his evidence. Did
NOTE: The fact that his services are rendered
Atty. Sempio violate the CPR?
without remuneration should not occasion a

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2023 GOLDEN NOTES
 I. LEGAL ETHICS
A: YES. In the first place, securing a copy of such
notices, orders and case records was within his
control and is a task that a lawyer undertakes. The
preparation and the filing of the answer is a matter
of procedure that fell fully within the exclusive
control and responsibility of the lawyer. It was
incumbent upon him to execute all acts and
procedures necessary and incidental to the
advancement of his client’s cause of action.
Records further disclose that he omitted to update
himself of the progress of his client’s case with the
trial court, and neither did he resort to available
legal remedies that might have protected his client’s
interest. Although a lawyer has complete discretion
on what legal strategy to employ in a case entrusted
to him, he must present every remedy or defense
within the authority of law to support his client’s
interest. When a lawyer agrees to take up a client’s
cause, he covenants that he will exercise due
O
diligence in protecting the latter’s rights.
E
Evidently, the acts of the Atty. Sempio plainly
demonstrated his lack of candor, fairness, and
loyalty to his client as embodied in Canon 15 of the
N
Code. A lawyer who performs his duty with
diligence and candor not only protects the interest
of his client; he also serves the ends of justice, does
E
honor to the bar, and maintains the respect of the
community to the legal profession. (Baens v. Sempio,
T
A.C. No. 10378, 09 June 2014)
Confidentiality Rule
A
It means the relation between lawyer and client or
guardian and ward, or between spouses, with
regard to the trust that is placed in the one by the
other. (Black’s Law Dictionary 7th Edition 1990,
2004)
A lawyer shall preserve the confidences and secrets
of his client even after the attorney-client relation is
terminated. (Canon 21, CPR)
It is one of the duties of a lawyer, as provided for in
the Rules of Court, to maintain inviolate the
confidence, and at every peril to himself, to preserve
the secrets of his client. (Sec. 20(e), Rule 138, Rules
of Court, as amended)
81
Privileged Communication
A privileged communication is one that refers to
information transmitted by voluntary act of
disclosure between attorney and client in
confidence and by means of which, in so far as the
client is aware, discloses the information to no third
person other than one reasonably necessary for the
transmission of the information or the
accomplishment of the purpose for which it was
W
given. (Mercado v. Vitriolo, A.C. No. 5108, 26 May
2005)
A
Rule 15.01
A lawyer, in conferring with a prospective client,
L
shall ascertain as soon as practicable whether
the matter would involve a conflict with another
client or his own interest, and if so, shall forthwith
inform the prospective client.
Purpose of “Conflict Search”
By conducting a conflict search, the lawyer will be
able to determine, in the first instance, if he is barred
from accepting the representation through conflicts
with his present clients or the lawyer’s own interest.
(CPR Annotated, PhilJA)
Tests to Determine Existence of Conflict of
Interest
1. Conflicting Duties - When, on behalf of one
client, it is the attorney’s duty to contest for
that which his duty to another client
requires him to oppose or when possibility
of such situation will develop.
2. Invitation of Suspicion - Whether the
acceptance of the new relation will prevent
a lawyer from the full discharge of his duty
of undivided fidelity and loyalty to his client
or will invite suspicion of unfaithfulness or
double-dealing in the performance thereof;
and
3. Use of Prior Knowledge - Whether a
lawyer will be called upon in his new
relation to use against the first client any
knowledge acquired in the previous
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employment.
Types of Conflict of Interest
1. Concurrent or multiple representations -
It generally occurs when a lawyer
represents clients whose objectives are
adverse to each other, no matter how slight
or remote such adverse interest may be;
and
The tests for concurrent or multiple
representations are:
a. Whether a lawyer is duty-bound to
fight for an issue or claim in behalf
of one client and, at the same time,
to oppose that claim for the other
client;
b. Whether the acceptance of a new
relation would prevent the full
discharge of the lawyer’s duty of
undivided fidelity or loyalty to the
client;
N
c. Whether the acceptance of new
relation would invite suspicion of
E
unfaithfulness or double-dealing
in the performance of the lawyer’s
duty of undivided fidelity and
T
loyalty; or
A
d. Whether, in the acceptance of a
new relation, the lawyer would be
called upon to use against a client
confidential information acquired
through their connection.
2. Sequential or successive representation -
It usually involves representation by a law
firm of a present client who may have an
interest adverse to a prior or former client
of the firm. (CPR Annotated, PhilJA)
NOTE: What is material in determining whether
there is a conflict of interest in the representation is
probability, not certainty of conflict.
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
There is no conflict of interest in a situation where a
lawyer represents his present client against his
former client, so long as no confidential information
acquired during the previous employment was used
against the former client by the lawyer. The
prohibition does not cover a situation where the
subject matter of the present engagement is totally
unrelated to the previous engagement of the
attorney. Moreover, a mere allegation of the
professional misconduct would not suffice to
W
establish the charge, because accusation is not
synonymous with guilt. (Seares, Jr. v. Atty. Gonzales-
Alzate, A.C. No. 9058, 14 Nov. 2012)
A
Illustration (Existence of Conflict of Interest):
L
1. A v. B
A and B are present clients.
2. C v. D; E v. D
O
C is the present client and D is not a present
client in the same case but is a present
E
client in another case.
3. F v. G; H v. G
F is the present client and G was a former
client and the cases are related.
4. I v. J; K v. J
I is the present client and J was a former
client in a case that is unrelated.
5. L, M, N v. O, P, Q
L, M, N are present clients but L and M joins
O, P, Q. (People v. Davis)
Other Instances of Conflict of Interest
1. A corporate lawyer cannot join a labor
union of employees in that corporation;
2. A lawyer of an insurance corporation who
investigated an accident cannot represent
the complainant/injured person;
3. As a receiver of a corporation, he cannot
represent the creditor;
82
 I. LEGAL ETHICS
4. As a representative of the obligor, he
cannot represent the obligee;
5. As a lawyer representing a party in a
compromise agreement, he cannot,
subsequently, be a lawyer representing
another client who seeks to nullify the
agreement; or
6. A lawyer of a law firm cannot represent an
opposing party of a former client of another
lawyer of the same lawfirm. (Anglo v. Atty.
Valencia et. al, A.C. No. 10567, 25 Feb. 2015,)
Law Firms must Organize and Implement a
System to Keep Track of all cases assigned to its
Handling Lawyers.
It ensures that every engagement it accepts stands
clear of any potential conflict of interest. As an
O
organization of individual lawyers which, engaged
collectively, assigns legal work to a corresponding
E
handling lawyer, it behooves the law firm to value
coordination in deference to the conflict-of-interest
rule.
N
Lack of coordination would render its clients’
secrets vulnerable to undue and even adverse
E
exposure, eroding in the balance the lawyer-client
relationship’s primordial ideal of unimpaired trust
T
and confidence. (Anglo v. Atty. Valencia et. al, A.C. No.
10567, 25 Feb. 2015)
A
Being a counsel-of-record of the other party is
not a requisite to be guilty of representing
conflicting interests.
To be guilty of representing conflicting interests, a
counsel-of-record of one party need not also be
counsel-of-record of the adverse party. He does not
have to publicly hold himself as the counsel of the
adverse party, nor make his efforts to advance the
adverse party's conflicting interests of record—
although these circumstances are the most obvious
and satisfactory proof of the charge. It is enough that
the counsel of one party had a hand in the
preparation of the pleading of the other party,
claiming adverse and conflicting interests with that
of his original client. To require that he also be
83
counsel-of-record of the adverse party would
punish only the most obvious form of deceit and
reward, with impunity, the highest form of
disloyalty. (Artueza v. Atty. Maderazo, A.C. No. 4354,
22 Apr. 22, 2002)
Q: BPI and LSDC had a Joint Venture Agreement.
LSDC misrepresented itself to have ownership
over the lots sold and failed to deliver the title to
the buyers. Atty. Deloria represented Menguito,
W
the President of LSDC, in a criminal case for
estafa filed by Spouses Corazon and Roberto
Flores. Correspondingly, he filed a complaint for
A
delivery of title against BPI on behalf of Corazon
Flores before the HLURB. Should Atty. Deloria be
L
administratively liable?
A: YES. Atty. Deloria violated Rules 15.01 and 15.03
of Canon 15 when he simultaneously represented
Menguito and Corazon despite their conflicting
interests, considering that Corazon's estafa case
against Menguito was premised on the latter's and
LSDC's alleged misrepresentation of ownership
over the lots sold and LSDC's eventual failure to
deliver the title.
Thus, Atty. Deloria's simultaneous representation of
Menguito and Corazon sans their written consent
after a full disclosure of the facts, violated the rules
on conflict of interest. (Buena Vista Properties v.
Atty. Deloria, A.C. No. 12160, 14 Aug. 2018)
Q: Mr. X engaged the services of Atty. Y regarding
his brother’s indebtedness to Caesar’s Palace, a
casino in Las Vegas. His services were
reportedly contracted for ₱100,000. It appeared
that the debt was incurred by Ramon Sy, with
Mr. X's brother merely signing for the chits. Atty.
Y was able to free Mr. X's brother from his
indebtedness. Having thus settled the account of
Mr. X's brother, Atty. Y sent several demand
letters to Mr. X demanding the balance of
₱50,000.00 as attorney's fees. Mr. X refused to
pay and claimed, that at the time Atty. Y was
rendering his services to Mr. X, he was actually
working "in the interest" and "to the advantage"
of Caesar's Palace of which he was an agent and
a consultant. This being the case, Atty. Y is not
justified in claiming that he rendered legal
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
services to Mr. X in view of the conflicting
interests involved. Did Atty. Y violate the
conflict-of-interest rule?
A: NO. Generally, an attorney is prohibited from
representing parties with contending positions.
However, at a certain stage of the controversy
before it reaches the court, a lawyer may represent
conflicting interests with the consent of the parties.
A common representation may work to the
advantage of said parties since a mutual lawyer,
with honest motivations and impartially cognizant
of the parties' disparate positions, may be better
situated to work out an acceptable settlement of
their differences, being free of partisan inclinations
and acting with the cooperation and confidence of
said parties.
A lawyer is entitled to have and receive the just and
reasonable compensation for services rendered at
the special instance and request of his client and as
long as he is honestly and in good faith trying to
serve and represent the interests of his client, the
latter is bound to pay his just fees. (Dee v. Court of
Appeals, G.R. No. 77439, 24 Aug. 1989)
N
Rule when the Lawyer of the Corporation and
the Board of Directors of such Corporation is the
E
same
The interest of the corporate client is paramount
T
and should not be influenced by any interest of the
individual corporate officials. A lawyer engaged as
A
counsel for a corporation cannot represent
members of the same corporation's Board of
Directors in a derivative suit brought against them.
To do so would be tantamount to representing
conflicting interests which is prohibited by the CPR.
(Hornilla v. Atty. Salunat, A.C. No. 5804, 01 July 2003)
Q: Six months ago, Atty. Z was consulted by A
about a four-door apartment in Manila left by
her deceased parents. A complained that her
two siblings, B and C, who were occupying two
units of the apartment, were collecting the
rentals from the other two units and refuses to
give her any part thereof. Atty. Z advised A to
first seek the intervention of her relatives and
told her that if this failed, he would take legal
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action as A asked him to do. B asks Atty. Z to
defend him in a suit brought by A against him (B)
and C through another counsel. Should Atty. Z
accept the case? (2002 BAR)
A: NO. When A consulted him about her complaint
against B and C, a lawyer-client relationship was
created between A and Atty. Z. Atty. Z cannot
subsequently represent B against A in a matter he
was priorly consulted about. This constitutes
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conflict of interest. It does not matter if Atty. Z is not
handling the case for A.
A
Q: Should Atty. Z tell B that A consulted him
earlier about the same case? Why? (2002 BAR)
L
A: YES. Rule 21.07 of the CPR provides that "a
lawyer shall not reveal that he has been consulted
about a particular case except to avoid possible
conflict of interest.” In this case, owing to the
O
conflict of interest that might arise, Atty. Z has to
inform B that he had been consulted by A regarding
E
the very same issue that B was offering to retain his
services for. Atty. Z should not accept to represent B
in the said case.
Rule 15.02
A lawyer shall be bound by the rule on privileged
communication in respect of matters disclosed to
him by a prospective client.
(2008 BAR)
Two-fold Purpose of the Rule
1. To encourage a client to make a full disclosure
of the facts of the case to his counsel without
fear, and,
2. To allow the lawyer freedom to obtain full
information from his client. (Pineda, 2009)
Disclosure of a Prospective Client
The foregoing disqualification rule applies to
prospective clients of a lawyer. Matters disclosed by
a prospective client to a lawyer are protected by the
rule on privileged communication even if the
prospective client does not thereafter retain the
lawyer or the latter declines the employment. It
84
 I. LEGAL ETHICS
covers crimes and offenses already committed by Characteristics of Privileged Communication
the client. (Mercado v. Vitriolo, A.C. No. 5108, 26 May
2005) 1. Attorney-client privilege where legal
advice is professionally sought from an
REASON: To make the prospective client free to attorney;
discuss whatever he wishes with the lawyer without
fear that what he tells the lawyer will be divulged or 2. The client must intend the above
used against him, and for the lawyer to be equally communication to be confidential;
free to obtain information from the prospective
client. (Mercado v. Vitriolo, A.C. No. 5108, 26 May 3. Attorney-client privilege embraces all

W
2005) forms of communication and action;

Requisites of Privileged Communication 4. As a general rule, attorney-client privilege

A
also extends to the attorney’s secretary,
For the privileged communication to be stenographer, clerk or agent with reference

L
appreciated, the following requisites must be to any fact acquired in such capacity;
present:
5. The above duty is perpetual and
1. There is attorney-client relationship or a kind of communication is absolutely privileged
consultancy requirement with a prospective from disclosure; and

O
client;
6. Persons entitled to the rule on privileged

E
2. The communication was made by the client to communication.
the lawyer in the course of the lawyer’s
professional employment; and Coverage of the Attorney-Client Privilege

N
3. The communication must be intended to be 1. Lawyer or persons reasonably believed to
confidential. be licensed to practice law;

E
NOTE: The party who avers that the communication 2. Client; and

T
is privileged has the burden of proof to establish the
existence of the privilege unless from the face of the 3. Third persons who by reason of their work
document itself, it clearly appears that it is have acquired information about the case

A
privileged. The mere allegation that the matter is being handled such as:
privileged is not sufficient. (Lapeña Jr., 2009; People
v. Sleeper, G.R. No. 22783, 03 Dec. 1924) a. Attorney’s secretary,
stenographer, and clerk;
Client Identity
b. Interpreter, messengers and
Client identity is privileged where a strong agents transmitting
probability exists that revealing the client’s name communication, or others
would implicate that client in the very activity for assisting the attorney; and
which he sought the lawyer’s advice. (Regala v.
Sandiganbayan, G.R. No. 105938, 20 Sept. 1996) c. An accountant, scientist, physician,
engineer who has been hired for
effective consultation. (Sec. 24(b),
Rule 130, ROC, in relation to the
Amendments to Rules of Evidence,
A.M. 19-08-15-SC)

85
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Duration of Privileged Communication
The privilege continues to exist even after the
termination of the attorney-client relationship.
(Mercado v. Vitriolo, A.C. No. 5108, 26 May 2005)
NOTE: The privilege character of the
communication ceases only when waived by the
client himself or, after his death, by his heir or legal
representative. (Lapeña Jr., 2009)
Instances when Communication is not
Privileged
A communication made by a client to a lawyer is not
privileged in the following instances:
1. Contents of a pleading after it has been filed
because such becomes part of public
records;
2. When communication was intended by the
client to be sent to a third person through
his counsel;
3. When the communication sought by client
N
is intended to aid future crime or
perpetration of fraud;
E
4. When communication between attorney
and client is heard by a third party;
T
5. When there is consent or waiver of the
A
client;
6. When the law requires disclosure; and
7. When disclosure is made to protect the
lawyer’s rights.
NOTE: Even if the communication is unprivileged,
the rule of ethics prohibits lawyers from voluntarily
revealing or using to his benefit or to that of a third
person, to the disadvantage of the client, the said
communication unless the client consents thereto.
(Sec. 3, Rule 138-A, Rules of Court, as amended)
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Q: Atty. Vitriolo represented Rose Mercado in an
annulment case filed by her husband.
Thereafter, a criminal action against her was
filed by the former for falsification of public
document. According to Atty. Vitriolo, she
indicated in the Certificates of Live Birth of her
children that she is married to a certain
Ferdinand Fernandez, and that their marriage
was solemnized on April 11, 1979, when in
truth, she is legally married to Ruben Mercado
W
and their marriage took place on April 11, 1978.
Mercado claims that the criminal complaint
disclosed confidential facts and information
A
relating to the civil case for annulment handled
by Vitriolo as her counsel. Did Atty. Julito
L
Vitriolo violate the rule on privileged
communication between attorney and client?
A: NO. The evidence on record fails to substantiate
Mercado’s allegations. She did not specify the
O
alleged communication in confidence disclosed by
Atty. Vitriolo. All of Mercado’s claims were couched
E
in general terms and lacked specificity. Without any
testimony from Mercado as to the specific
confidential information allegedly divulged by Atty.
Vitriolo without her consent, it is difficult, if not
impossible to determine if there was any violation
of the rule on privileged communication. It is not
enough to merely assert the attorney-client
privilege. The burden of proving that the privilege
applies is placed upon the party asserting the
privilege. (Mercado v. Vitrilio, A.C. No. 5108, 26 May
2005)
Q: Atty. Serafin Roto is the Corporate Secretary
of a construction corporation that has secured a
multi-million infrastructure project from the
government. In the course of his duties as
corporate secretary, he learned from the
company president that the corporation had
resorted to bribery to secure the project and had
falsified records to cut implementing costs after
the award of the project. The government filed a
civil action to annul the infrastructure contract
and has subpoenaed Atty. Roto to testify against
the company president and the corporation
regarding the bribery. Atty. Roto moved to
quash the subpoena, asserting that lawyer-
client privilege prevents him from testifying
86
 I. LEGAL ETHICS
against the president and the corporation.
Resolve the motion to quash. (2013 BAR)
A: The motion to quash should be granted. While it
is true that being a corporate secretary does not
necessarily constitute a lawyer-client relation, Atty.
Roto may nevertheless be considered in the practice
of law if part of his duties as a corporate secretary is
to give legal advice to or prepare legal documents
for the corporation. Thus, it is his duty as an
attorney “to maintain inviolate the confidence, and
at every peril to himself, to preserve the secrets of
his client. (Rule 138, Sec. 20(e), Rules of Court, as
amended)
Privileged Communication Rule, as to the client’s
identity
GR: A lawyer may not invoke privileged
communication to refuse revealing a client’s
O
identity. (Regala v. Sandiganbayan, G.R. No. 105938,
20 Sept. 1996)
E
XPNs: A lawyer, however, may invoke privileged
communication even if such would reveal his
N
client’s identity under the following circumstances:
1. When there is a strong possibility that
E
revealing the client’s name would implicate
the client in the activity for which he sought
T
the lawyer’s advice;
2. When disclosure would open the client to
A
civil liability; or,
3. When the government’s lawyers have no
case against an attorney’s client and
revealing the client’s name would furnish
the only link that would come from the
chain of testimony necessary to convict
him. (Regala v. Sandiganbayan, G.R. No.
105938, 20 Sept. 1996)
87
Reasons why a Lawyer may not invoke
Privileged Communication to refuse revealing a
Client’s Identity
1. Due process considerations require that
the opposing party should know their
adversary;
2. The privilege pertains to the subject matter
of the relationship;
W
3. The privilege begins to exist only after
attorney-client relationship has been
A
established hence, it does not attach until
there is a client; and
L
4. The court has a right to know that the client
whose privileged information is sought to
be protected is flesh and blood. (Regala v.
Sandiganbayan, G.R. No. 105938, 20 Sept.
1996)
Rule 15.03
A lawyer shall not represent conflicting interests
except by written consent of all concerned given
after a full disclosure of the facts.
GR: An attorney cannot represent diverse interests.
It is highly improper to represent both sides of an
issue. The proscription against representation of
conflicting interest finds application where the
conflicting interest arise with respect to the same
general matter and is applicable however slight
such adverse interest may be. It applies although the
attorney’s intention and motives were honest, and
he acted in good faith.
XPN: Representation of conflicting interest may be
allowed where the parties consent to the
representation after full disclosure of facts. (Nakpil
v. Valdez, A.C. No. 2040, 04 Mar. 1998; Orola v. Atty.
Ramos, A.C. No. 9860; 11 Sept. 2013)
NOTE: A lawyer may, at a certain stage of the
controversy and before it reaches the court,
represent conflicting interests with the express
written consent of all parties concerned given after
disclosure of the facts (Rule 15.03, CPR). The
disclosure should include an explanation of the
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
effects of the dual representation, such as the
possible revelation or use of confidential
information. (Nakpil v. Valdez, A.C. No. 2040, 04 Mar.,
1998; Orola v. Atty. Ramos, A.C. No. 9860; 11 Sept.
2013)
An attorney owes loyalty to his client not only in
cases in which he has represented him but also even
after the attorney-client relationship has been
terminated. (Sumangil v. Romana, G.R. No. 25, 25 Oct.
1949)
The termination of attorney-client relationship
provides no justification for a lawyer to represent
an interest adverse to or in conflict with that of the
former client. The client's confidence once reposed
should not be divested by mere expiration of
professional employment. (Anglo v. Atty. Valencia et.
al, A.C. No. 10567, 25 Feb. 2015)
Instances when Lawyers cannot represent
Conflicting Interest even if the Consent of both
Clients were secured
Lawyers cannot represent conflicting interest
despite securing the consent of both clients in cases
N
where the conflict is:
E
1. Between the attorney’s interest and that of
a client; or,
2. Between a private client’s interests and
T
that of the government or any of its
instrumentalities.
A
Effects of representing Adverse Interests
(Ju-F-AC-Dis)
Representing adverse interests would produce the
following effects:
1. Disqualification as counsel of new client on
petition of former client;
2. where such is unknown to, and becomes
prejudicial to the interests of the new client, a
Judgment against such may, on that ground, be
set aside;
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
3. the attorney’s right to Fees may be defeated if
found to be related to such conflict and such
was objected to by the former client, or if there
was a concealment and prejudice by reason of
the attorney’s previous professional
relationship with the opposite party; and,
4. a lawyer can be held Administratively liable
through disciplinary action and may be held
Criminally liable for betrayal of trust.
W
Q: Huey Company and Dewey Corporation are
both retained clients of Atty. Anama. He is the
A
corporate secretary of Huey Company.
Subsequently, he represents Dewey Corporation
L
in three pending litigation cases. Dewey
Corporation wants to file a civil case against
Huey Company and has requested Atty. Anama
to handle the case. What are the options
available to Atty. Anama? Explain your answer.
O
A: The options available to Atty. Anama are:
E
1. to decline the case because to do so will
constitute representing conflicting
interests. It is unethical for a lawyer to
represent a client in a case against another
client in the same case; or,
2. to accept to file the case against Huey
Company, after full disclosure to both
retained clients and upon their express and
written consent. The written consent may
free him from the charge of representing
conflicting interests because written
consent amounts to a release by the clients
of the lawyer’s obligation not to represent
conflicting interests.
Q: If you were Atty. Anama, which option would
you take? Explain.
If I were Atty. Anama, I will choose the first option
and inhibit myself in accepting the case as both
entities are my clients. The conflict of interest
between the contending clients may reach such a
point that, notwithstanding their consent to the
common representation, the lawyer may be
suspected of disloyalty by one of the clients. His
88
 I. LEGAL ETHICS
continuing to act in a double capacity strikes deeply
at the foundation of the attorney-client relationship.
Q: Hocorma Foundation filed a complaint for
disbarment against Atty. Funk who used to work
as corporate secretary, counsel, chief executive
officer, and trustee of the foundation. He also
served as its counsel in several criminal and civil
cases. Complainant alleged that Atty. Funk filed
an action for quieting of title and damages
against Hocorma on behalf of Mabalacat
Institute using information he acquired while
working with the foundation. As a defense, Atty.
Funk contended that he was hired by Don Santos
to serve as director and legal counsel. He
emphasized that, in all these, the attorney-client
relationship was always between Santos and
him. He was more of Santos’ personal lawyer
than that as lawyer of Hocorma Foundation. Did
Atty. Funk betray the trust and confidence of a
O
former client?
E
A: YES. An attorney owes his client undivided
allegiance. An attorney may not, without being
guilty of professional misconduct, act as counsel for
N
a person whose interest conflicts with that of his
present or former client.
E
This rule is so absolute that good faith and honest
intention on the erring lawyer’s part does not make
T
it inoperative. The primordial reason for this is that
a lawyer acquires knowledge of his former client’s
doings, whether documented or not, that he would
A
ordinarily not have acquired were it not for the trust
and confidence that his client placed on him in the
light of their relationship. It would simply be
impossible for the lawyer to identify and erase such
entrusted knowledge with faultless precision or
lock the same into an iron box when suing the
former client on behalf of a new one. (Santos
Ventura Hocorma Foundation, Inc. v. Atty. Funk. A.C.
No. 9094, 15 Aug. 2012)
Q: R is a retained counsel of ABC Bank-Ermita
Branch. One day, his Balikbayan compadre B,
consulted him about his unclaimed deposits
with the said branch of ABC Bank, which the
bank had refused to give to him claiming that the
account had become dormant. R agreed to file a
89
case against the bank with the Regional Trial
Court (RTC) of Manila. B lost the case, but upon
the advice of R, he no longer appealed the
decision. B later discovered that R was the
retained counsel of ABC Bank-Ermita Branch.
Does B have any remedy? Discuss the legal and
ethical implications of the problem. (2014 BAR)
A: Atty. R clearly violated the rule against
representing conflicting interests (Rule 15.03, CPR).
W
B may file an action to set aside the judgment on the
theory that if a lawyer is disqualified from
appearing as counsel for a party on account of
A
conflict of interests, he is presumed to have
improperly and prejudicially advised and
L
represented the party in the conduct of the litigation
from beginning to end. He may also file an action for
damages against Atty. R, aside from an
administrative complaint due to his misconduct.
Q: Mabini Colleges, Inc. (complainant), had a
Board of Trustees which was divided into two
opposing factions (Adeva Group and Lukban
Group). The Adeva Group issued an
unnumbered Board Resolution which
authorized its members to apply for a loan with
the Rural Bank of Paracale (RBP) in favor of the
complainant. The Lukban Group opposed this.
However, Atty. Pajarillo (respondent), acting as
complainant’s corporate secretary, sent a letter
to RBP to assure them of complainant's financial
capacity to pay the loan. RBP eventually granted
the loan application which was secured by a Real
Estate Mortgage over the properties of the
complainant.
Three (3) years after, RBP moved to foreclose
the Real Estate Mortgage. Complainant filed a
complaint for Annulment of Mortgage with a
Prayer for Preliminary Injunction against RBP.
Respondent entered his appearance as counsel
for RBP. Is Atty. Pajarillo guilty of representing
conflicting interests when he entered his
appearance as counsel for RBP?
A: YES. Indeed, respondent represented conflicting
interests in violation of Canon 15, Rule 15.03 of the
CPR which provides that “a lawyer shall not
represent conflicting interests except by written
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
consent of all concerned given after a full disclosure
of the facts.”
Clearly, complainant was respondent's former
client. However, respondent now appears as
counsel of RBP in a case filed by his former client
against the latter. This makes respondent guilty of
representing conflicting interests since respondent
failed to show any written consent of all concerned
(particularly the complainant) given after a full
disclosure of the facts representing conflicting
interests. (Mabini Colleges, Inc. v. Atty. Pajarillo, A.C.
No. 10687, 22 July 2015)
Rule 15.04
A lawyer may, with the written consent of all
concerned, act as mediator, conciliator or
arbitrator in setting the disputes.
Q: Atty. Ramos was a collaborating counsel for
Heirs of Antonio Orola in seeking the removal of
Emilio as administrator. Subsequently, he
entered his appearance as collaborating counsel
for Emilio to seek his reinstatement as
administrator. In this case, he was able to secure
N
consent of some of the Heirs of Antonio.
However, the other Heirs of Antonio filed a
E
disbarment complaint against him. Atty. Ramos
contended that he had no knowledge of the fact
T
that the late Antonio had other heirs and
asserted that no information was disclosed to
him by Maricar, one of the heirs. He clarified that
A
his representation for Emilio in the subject case
was more of a mediator, rather than a litigator.
Is the contention of Atty. Ramos valid?
A: NO. There is an absolute prohibition from
representation with respect to opposing parties in
the same case. His previous appearances for and in
behalf of the Heirs of Antonio would constitute
representing conflicting interest even if was only a
friendly accommodation.
His contention cannot be given any credence since
the rule holds that even if the inconsistency is
remote or merely probable or even if the lawyer has
acted in good faith and with no intention to
represent conflicting interests, he shall be held
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2023 GOLDEN NOTES
liable. Neither can his asseveration that his
engagement by Emilio was more of a mediator than
a litigator and for the purpose of forging a
settlement among the family members render the
rule inoperative.
In fact, Rule 15.04, Canon 15 of the Code similarly
requires the lawyer to obtain the written consent of
all concerned before he may act as mediator,
conciliator or arbitrator in settling disputes. Atty.
W
Ramos was remiss in his duty to make a full
disclosure of his impending engagement as Emilio’s
counsel to all the Heirs of Antonio and equally
A
secure their express written consent before
consummating the same. Besides, it must be pointed
L
out that a lawyer who acts as such in settling a
dispute cannot represent any of the parties to it.
(Orola v. Atty. Ramos, A.C. No. 9860; 11 Sept. 2013)
O
Rule 15.05
A lawyer when advising his client, shall give a
candid and honest opinion on the merits and
E
probable results of the client’s case, neither
overstating nor understating the prospects of the
case.
Q: Consorcia Rollon engaged the services of Atty.
Naraval in a case for collection of sum of money
filed against her. After going over the documents
she brought with her, Atty. Naraval agreed to be
her lawyer and she was required to pay
₱8,000.00 for the filing and as a partial service
fee. Atty. Naraval did not inform her that the said
civil suit has been decided against her and which
judgment has long become final and executory.
Atty. Naraval was not able to act on the case.
Because of this, Rollon wanted to withdraw the
amount she has paid and to retrieve the
documents pertaining to said case.
Unfortunately, despite several follow-ups, Atty.
Naraval always said that he cannot return the
documents because they were in their house,
and that he could not give her back the
₱8,000.00 because he has no money. Did Atty.
Naraval fail to fulfill his undertakings?
90
 I. LEGAL ETHICS
A: YES. Despite his full knowledge of the finality of
judgment on the case, based on the documents
furnished to him, Atty. Naraval withheld such vital
information and did not properly apprise Rollon. He
should have given her a candid and honest opinion
on the merits and the status of the case, but he
withheld such vital information. He did not inform
her about the finality of the adverse judgment.
Instead, he demanded an amout of
₱8,000.00 as “filing and service fee” and thereby
gave her hope that her case would be acted upon.
Rule 15.05 of the CPR requires that lawyers give
their candid and best opinion to their clients on the
merit or lack of merit of the case, neither overstating
nor understating their evaluation thereof. Knowing
whether a case would have some prospect of
success is not only a function, but also an obligation
on the part of lawyers. If they find that their client's
cause is defenseless, then it is their bounden duty to
O
advise the latter to acquiesce and submit, rather
than to traverse the incontrovertible. (Rollon v.
E
Naraval, A.C. No. 6424, 04 Mar. 2005)
Rule 15.06
N
A lawyer shall not state or imply that he is able to
influence any public official, tribunal or
legislative body.
E
Influence-Peddling
T
It is improper for a lawyer to show in any way that
he has connections and can influence any tribunal
A
or public official, judges, prosecutors, congressmen
and others, especially so if the purpose is to enhance
his legal standing and to entrench the confidence of
the client that his case or cases are assured of
victory. (Agpalo, 2009)
Q: In a case for inhibition filed against Judge
Paas, it was found that her husband, Atty.
Renerio Paas, was using his wife's office as his
office address in his law practice. Judge Paas
admitted that Atty. Paas did use her office as his
return address for notices and orders in two
criminal cases, lodged at the Pasay City RTC, but
only to ensure and facilitate delivery of those
notices. According to him, upon the termination
of the two abovementioned criminal cases, all
91
notices were thereafter sent to his office address
in Escolta. Was Atty. Paas’ act of using his wife’s
office as his office address unprofessional and
dishonorable?
A: YES. By allowing Atty. Paas to use the address of
her court in pleadings before other courts, Judge
Paas had indeed allowed her husband to ride on her
prestige for the purpose of advancing his private
interest.
W
Atty. Paas is guilty of simple misconduct for using a
fraudulent, misleading, and deceptive address that
A
had no purpose other than to try to impress either
the court in which his cases are lodged, or his client,
L
that he has close ties to a member of the judiciary,
thereby violating the CPR. The need for relying on
the merits of a lawyer's case, instead of banking on
his relationship with a member of the bench which
tends to influence or gives the appearance of
influencing the court, cannot be overemphasized. It
is unprofessional and dishonorable, to say the least,
to misuse a public office to enhance a lawyer's
prestige. Public confidence in law and lawyers may
be eroded by such reprehensible and improper
conduct. (Paas v. Almarvez, A.M. No. P-03-1690, 04
Apr. 2003)
Rule 15.07
A lawyer shall impress upon his client compliance
with the laws and the principles of fairness.
Q: Maria Cielo Suzuki entered into contracts of
sale and real estate mortgage with several
persons. The sale and mortgage transactions
were facilitated by Atty. Erwin Tiamson, counsel
of the sellers. Suzuki paid ₱80,000 as her share
in the expenses for registration. Atty. Tiamson
retained in his possession the subject deeds of
absolute sale and mortgage and the owner's
copy of the title. However, he never registered
the said documents and did not cause the
transfer of the title over the subject property in
the name of Suzuki. Atty. Tiamson said that he
did not register the deed of sale to protect the
interest of his client and if the same has been
registered, he cannot give him the owner's
duplicate copy until purchase price for the
subject property has been fully paid and the real
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estate mortgage cancelled. Is Atty. Tiamson
justified in not registering the transaction?
A: NO. Rule 15.07 obliges lawyers to impress upon
their client’s compliance with the laws and the
principle of fairness. To permit lawyers to resort to
unscrupulous practices for the protection of the
supposed rights of their clients is to defeat one of
the purposes of the State, the administration of
justice. While lawyers owe their entire devotion to
the interest of their clients and zeal in the defense of
their client's right, they should not forget that they
are, first and foremost, officers of the court, bound
to exert every effort to assist in the speedy and
efficient administration of justice. The client's
interest is amply protected by the real estate
mortgage executed by complainant. Thus, Atty.
Tiamson failed to live up to this expectation. (Suzuki
v. Tiamson, A.C. No. 6542, 30 Sept. 2005)
Q: Areola alleged that during Prisoners’ Week,
Atty. Mendoza visited the Antipolo City Jail and
called all detainees with pending cases before
the RTC where she was assigned, to attend her
speech/lecture. Areola claimed that Atty.
Mendoza stated the following during her
N
speech: “Kayong mga detenidong mga babae na
no bail ang kaso sa drugs, iyak-iyakan lang ninyo
E
si Judge Martin at palalayain na kayo. Malambot
ang puso noon.” Did Atty. Mendoza commit any
unethical act?
T
A: YES. Atty. Mendoza made it appear that the judge
A
is easily moved if a party resorts to dramatic antics
such as begging and crying in order for their cases
to be dismissed. Atty. Mendoza made irresponsible
advices to her clients in violation of Rules 1.02 and
15.07 of the CPR. It is the mandate of Rule 1.02 that
“a lawyer shall not counsel or abet activities aimed
at defiance of the law or at lessening confidence in
the legal system.” Rule 15.07, on the other hand,
states that “a lawyer shall impress upon his client
compliance with the laws and the principles of
fairness.”
Atty. Mendoza’s improper advice only lessens the
confidence of the public in our legal system. Judges
must be free to judge, without pressure or influence
from external forces or factors according to the
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merits of a case. Atty. Mendoza’s careless remark is
uncalled for. (Areola v. Atty. Mendoza, A.C. No. 10135,
15 Jan. 2014)
Rule 15.08
A lawyer who is engaged in another profession or
occupation concurrently with the practice of law
shall make clear to his client whether he is acting
as a lawyer or in another capacity.
W
Concurrent Practice of Another Profession
A
This rule is intended to avoid confusion; it is for the
benefit of both the client and the lawyer. (Funa,
2009)
L
The lawyer should inform the client when he is
acting as a lawyer and when he is not, as certain
ethical considerations governing the client-lawyer
O
relationship may be operative in one case and not in
the other. (IBP Committee Report)
E
A party’s engagement of his counsel in another
capacity concurrent with the practice of law is not
prohibited, so long as the roles being assumed by
such counsel is made clear to the client. (New
Sampaguita Builder Construction, Inc. v. Philippine
National Bank, G.R. No. 148753, 30 July 2004)
CANON 16
A lawyer shall hold in trust all moneys and
properties of his client that may come into his
possession.
Client’s Money and Properties
Money collected by the lawyer on a judgment
favorable to his client constitutes trust funds and
should be immediately paid over to the client.
(Palencia v. Linsangan, A.C. No. 10557, 10 July 2018)
While Sec. 37, Rule 138 of the ROC grants the lawyer
a lien upon the funds, documents and papers of his
client, which have lawfully come into his possession,
such that he may retain the same until his lawful
fees and disbursements have been paid, and apply
such funds to the satisfaction thereof, the lawyer
still has the responsibility to promptly account to
his client for such moneys received. Failure to do so
constitutes professional misconduct. (Tanhueco v.
92
 I. LEGAL ETHICS
De Dumo, A.M. No. 1437, 25 Apr. 1989)
The lawyer’s failure to turn over such funds,
moneys, or properties to the client despite the
latter’s demands would give rise to the presumption
that the lawyer had converted the money for his
personal use and benefit. This failure also renders
the lawyer vulnerable to judicial contempt under
Sec. 25, Rule 138 of the ROC. (CPR Annotated, PhilJA)
Q: An adverse judgment was rendered in a civil
case against Luis de Guzman. His counsel was
Atty. Emmanuel Basa and he wanted to
challenge the decision through a Petition for
Certiorari before the Court of Appeals. It was
agreed that Luis will pay ₱15,000 for said legal
service. Atty. Basa collected a down payment of
₱5,000. However, he did not seasonably file with
the CA the required appellant’s brief resulting in
the dismissal of the appeal. Despite several
O
extensions to file the appellant’s brief, Atty. Basa
failed to do so. Instead, he filed two more
E
motions for extension. When he filed the
appellant’s brief, it was beyond the last
extension granted by the appellate court. Was
N
Atty. Emmanuel Basa negligent in the
performance of his professional duty to Luis de
Guzman?
E
A: YES. He is guilty of gross misconduct. Where a
T
client gives money to his lawyer for a specific
purpose, such as to file an action or appeal an
adverse judgment, the lawyer should, upon failure
A
to take such step and spend the money for it,
immediately return the money to his client. His
unjustified withholding of Luis’ money is a gross
violation of the general morality and professional
ethics. (De Guzman v. Atty. Emmanuel Basa, A.C. No.
5554, 29 June 2004)
Q: Complainants engaged the services of
respondent to facilitate the transfer of title in
the name of Isabel Azcarraga Marcaida, to
complainants. Complainants then gave
respondent a check for ₱68,250.00 for the
payment of transfer taxes. They also gave
respondent a check for ₱13,800.00 for
respondent’s professional fee. Respondent
failed to produce the title despite complainants’
93
repeated follow-ups. Several letters were sent
by respondent explaining the delay in the
transfer of title. However, respondent still failed
to produce the title. Is the respondent guilty of
violating Canon 16 of the CPR for failing to hold
in trust the money of his clients?
A: YES. It has been said that the practice of law is a
privilege bestowed on lawyers who meet the high
standards of legal proficiency and morality. Any
W
conduct that shows a violation of the norms and
values of the legal profession exposes the lawyer to
administrative liability. Respondent’s assertion of a
A
valid lawyer’s lien is also untenable. Respondent did
not satisfy all the elements of a valid retaining lien.
L
He did not present evidence as to an unsatisfied
claim for attorney’s fees. The enumeration of cases
he worked on for complainants remains
unsubstantiated. When there is no unsatisfied claim
for attorney’s fees, lawyers cannot validly retain
their client’s funds or properties. Furthermore,
assuming that respondent had proven all the
requisites for a valid retaining lien, he cannot
appropriate for himself his client’s funds without
the proper accounting and notice to the client. The
rule is that when there is “a disagreement, or when
the client disputes the amount claimed by the
lawyer, the lawyer should not arbitrarily apply the
funds in his possession to the payment of his fees.”
(Sps. San Pedro v. Atty. Mendoza, A.C. No. 5440, 10
Dec. 2014)
Prohibition against the acquisition of a Lawyer
of a client’s property under the Civil Code
Art. 1491(5) of the New Civil Code (NCC) provides
that a lawyer cannot acquire or purchase, even at
public or judicial auction, either in person or
through the mediation of another, property and
rights which may be the object of any litigation in
which they take part by virtue of their profession
NOTE: This prohibition is entirely independent of
fraud and such need not be alleged or proven. Art.
1491(5) of the NCC applies only if the sale or
assignment of the property takes place during the
pendency of the litigation involving the client’s
property. (Ramos v. Ngaseo, A.C. No. 6210, 09 Dec.
2004)
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Q: In an action to prevent the condominium
developer from building beyond 10 floors, Judge
Cerdo rendered judgment in favor of the
defendant developer. The judgment became
final after the plaintiffs failed to appeal on time.
Judge Cerdo and Atty. Cocodrilo, counsel for the
developer, thereafter separately purchased a
condominium unit each from the developer. Did
Judge Cerdo and Atty. Cocodrilo commit any act
of impropriety or violate any law for which they
should be held liable or sanctioned? (2013 BAR)
A: NO. The prohibition imposed by Art. 1491(3) of
the NCC which prohibits judges and attorneys, and
that contained in the Canon 10 of the CPE, with
regard to purchase of any interest in the subject
matter of litigation both, refer only to instances
where the property is still the subject of the
litigation. The prohibition does not apply to
instances, such as in the problem, where the
conveyance takes place after the judgment because
the property can no longer be said to be the “subject
of litigation.” (Director of Lands v. Ababa, G.R. No. L-
26096, 27 Feb. 1979)
N
Rule 16.01
A lawyer shall account for all money or property
collected or received for or from the client.
E
Fiduciary Relationship
T
A lawyer must be careful in handling money
entrusted to him in his professional capacity,
A
because of the high degree of fidelity and good faith
expected on his part. (Medina v. Bautista, A.C. No.
190, 26 Sept. 1964)
Lawyer’s inexcusable act of withholding the
property of client and imposing unwarranted fees in
exchange for release of documents deserve the
imposition of disciplinary action. (Miranda v. Carpio,
A.C. No. 6281, 26 Sept. 2011)
Q: Sorongon, Jr. engaged the legal services of
Atty. Gargantos, Sr. Under their agreement,
Sorongon was to pay the latter ₱200,000.00,
covering all fees until the resolution of the cases.
They further argued that if there would be court
hearings outside of Quezon City, the
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2023 GOLDEN NOTES
complainant would provide the respondent’s
plane tickets, meals, and hotel accommodation,
but, should the hearing be at the Sandiganbayan,
they would just meet in the court. They
eventually had scheduled hearings at
Sandiganbayan.
Despite their prior agreement, Atty. Gargantos,
Sr. demanded pocket money from Sorongon
otherwise, he would resign. Failing to deliver
W
the said pocket money, Atty. Gargantos, Sr.
abandoned Sorongon right before the scheduled
hearing. Further, he failed to return the
A
documents relative to Sorongon’s case despite
repeated demands. Now, Atty. Gargantos, Sr.
L
alleges that should he be found guilty, he is
already of old-age, being 82 years old; hence, his
penalty should be mitigated. Will his contention
prosper?
O
A: YES. Atty. Gargantos, Sr. failed to return, despite
demand, the documents relative to the case after he
E
withdrew as his counsel. This is in violation of Rule
16.01, Canon 16 of the CPR. Moreover, despite his
legal services having been allegedly paid in the
amount of ₱200,000, which was agreed to cover all
fees until the resolution of the case, he abandoned
his client when the latter did not give him “pocket
money” he had demanded.
Nevertheless, the Court in several cases, in
determining or tempering the penalty to be
imposed, has considered mitigating factors, such as
Atty. Gargantos’ advanced age, health, humanitarian
and equitable considerations, as well as whether the
act complained of was his first infraction. In this
case, in view of the advanced age of Atty. Gargantos,
and the fact that this is his first offense, he is
suspended from the practice of law for 6 months.
(Pelagio Sorongan, Jr. v. Atty. Ramon Gargantos, Sr.,
A.C. No. 11326, 27 June 2018)
Q: X sought assistance to the President of the IBP
to enable him to talk to Atty. U who had allegedly
been avoiding him for more than a year. Atty. U
failed to turn–over to his client the amount given
to him by X as settlement for a civil case. Is Atty.
U guilty for violating Canon 16 of the CPR?
94
 I. LEGAL ETHICS
A: YES. The CPR mandates every lawyer to hold in
trust all money and properties of his client that may
come into his possession. A lawyer’s failure to
return upon demand the funds or property held by
him on behalf of his client gives rise to the
presumption that he has appropriated the same for
his own use to the prejudice of and in violation of
the trust reposed in him by his client. The relation
between attorney and client is highly fiduciary in
nature. Being such, it requires utmost good faith,
loyalty, fidelity, and disinterestedness on the part of
the attorney. Its fiduciary nature is intended for the
protection of the client. (Espiritu v. Atty. Ulep, A.C.
No. 5808, 04 May 2005)
NOTE: The principle that “an attorney derives no
undue advantage that may operate to the prejudice
or cause an occasion for loss of a client” refers to
fiduciary duty. The relationship between the lawyer
and the client is one of mutual trust and confidence
O
of the highest degree. (Maturan v. Gonzales, A.C. No.
2597, 12 Mar. 1998)
E
Q: Gabriel engaged the services of Atty. Reyes in
handling his case. Atty. Reyes required the
N
payment of an acceptance fee of ₱10,000,
appearance fee of ₱2,500 per hearing, and 15%
of whatever amount collected from the case as
E
success fee. After paying the acceptance fee,
Gabriel requested for updates regarding the
T
case from Atty. Reyes but was advised that he
would first file a Notice of Entry of Appearance.
Upon discovering that Atty. Reyes had not filed
A
such in relation to his case, he again asked for
updates from him but did not receive any
response to his calls and text messages. Gabriel
then wrote another letter to Atty. Reyes
demanding him to return the acceptance fee and
all the documents he sent pertaining to his case.
Because of Atty. Reyes’ continued failure to
update Gabriel about the case and failure to
render any service, Gabriel filed a complaint
before the Commission on Bar Discipline of the
Integrated Bar of the Philippines (CBD-IBP),
praying that Atty. Reyes be disciplined and
disbarred from the practice of law. Did Atty.
Reyes violate the Code of Professional
Responsibility?
95
A: YES. Atty. Reyes’ refusal to return Gabriel’s
money upon demand and his failure to respond to
Gabriel’s calls, text messages, and letters asking for
a status update on the case filed before the DOJ
reveal Atty. Reyes’ failure to live up to his duties as
a lawyer in consonance with the structures of his
Oath and the CPR.
The acts committed by Atty. Reyes fall squarely
within the prohibition of Rule 16.01 of Canon 16 of
W
the CPR. Under this rule, a lawyer is required to
account for all money or property collected or
received for or from his client. After receiving the
A
amount of ₱10,000 as acceptance fee, Atty. Reyes
failed to render any legal service in relation to the
L
case. Despite Gabriel’s repeated follow-ups, Atty.
Reyes unjustifiably failed to update his client of the
status of the case and to return to him the
documents the latter gave him in connection with
the case pending before the DOJ. (Martin J. Sioson v.
Atty. Dionisio B. Apoya, Jr., A.C. No. 12044, 23 July
2018)
Instances when Civil Liability of Lawyers arises
The civil liability of lawyers arises when:
1. The client is prejudiced by lawyer's
negligence or misconduct;
2. There is breach of fiduciary obligation;
3. There is civil liability to third persons;
4. There are libelous words in pleadings;
5. There is a violation of communication
privilege; or
6. There is liability for costs of suit (Treble
Costs), where a lawyer is made liable for
insisting on client's patently unmeritorious
case or interposing appeal merely to delay
litigation.
Remedy of the Client
Recover property from lawyer, together with its
fruits, subject to client’s returning to his lawyer the
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purchase price thereof and the legal interests
thereon. (Sotto v. Samson, G.R. No. 16917, 31 July
1962)
Exemption from Liability
A lawyer is exempted from liability for slander, libel
or for words otherwise defamatory, published in the
course of judicial proceedings, provided the
statements are connected with, relevant, pertinent,
and material to the cause in hand or subject of
inquiry. (Tolentino v. Baylosis, G.R. No. L-15742, 31
Jan. 1961)
NOTE: Under the Test of Relevancy, the matter to
which the privilege does not extend must be
palpably wanting in relation to the subject of
controversy, that no reasonable man can doubt its
relevancy or propriety. (Uy v. Depasucat, A.C. No.
5332, 29 July 2003)
Criminal Liability of Lawyers
A lawyer may be held criminally liable if he commits
any of the following:
N
1. He causes prejudice to the client through
malicious breach of professional duty or
E
through inexcusable negligence or
ignorance;
T
2. He reveals his client’s secrets learned in his
professional capacity through malicious
A
breach of professional duty or inexcusable
negligence or ignorance;
3. A lawyer who has undertaken the defense
of a client or has received confidential
information from said client in a case may
be criminally liable for undertaking defense
of opposing party in same cause without
consent of first client; (Art. 209, RPC)
4. A lawyer who shall knowingly introduce in
evidence in any judicial proceeding or to
the damage of another or who, with intent
to cause such damage, shall use any false
document may be held criminally liable
therefore; (Art. 172, RPC) or
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5. A lawyer who appropriates his client’s
funds may be held liable for estafa.
NOTE: When a lawyer collects or receives
money from his client for a particular
purpose, he should promptly account to the
client how the money was spent. His failure
either to render an accounting or to return
the money (if the intended purpose of the
money does not materialize) constitutes a
W
blatant disregard of Rule 16.01 of the CPR.
(Belleza v. Malaca, A.C. No. 7815, 23 July
2009)
A
Costs of Suit
L
GR: The losing client, and not the lawyer, is liable for
costs of suit in favor of prevailing party, the lawyer
not being a party-litigant. (Agpalo, 2009)
O
XPN: Where the lawyer insisted on a client’s
patently unmeritorious case or interposed an
E
appeal to delay litigation or thwart prompt
satisfaction of prevailing party’s just and valid
claim, the court may adjudge lawyer to pay treble
costs of suit. (Agpalo, 2009)
Rule 16.02
A lawyer shall keep the funds of each client
separate and apart from his own and those of
others kept by him.
Co-mingling of Funds
Failure of the lawyer to account all the funds and
property of his client which may come into his
possession would amount to misappropriation
which may subject him to disbarment on the ground
of grave misconduct or a criminal prosecution for
estafa under Art. 315(1)(b) of the RPC
Q: BPI filed two complaints for replevin and
damages against Esphar Medical Center Inc. and
its President Cesar Espiritu. Espiritu engaged
the services of Atty. Juan Cabredo IV. While these
cases were pending, the latter advised Esphar to
remit money and update payments to the bank
through the trial court. Accordingly, Esphar's
representative delivered a total of ₱51,161.00 to
96
 I. LEGAL ETHICS
Atty. Cabredo's office. However, the
management of Esphar found out that he did not
deliver the said money to the court or to the
bank. Did Atty. Cabredo commit a breach of
trust?
A: YES. His act amounted to deceit in violation of his
oath. The relationship between a lawyer and a client
is highly fiduciary; it requires a high degree of
fidelity and good faith. Hence, in dealing with trust
property, a lawyer should be very scrupulous.
Money or other trust property of the client coming
into the possession of the lawyer should be reported
by the latter and account any circumstances and
should not be commingled with his own or be used
by him. (Espiritu v. Cabredo IV, A.C. No. 5831, 13 Jan.
2003)
Q: A engaged the services of Atty. B for a case of
collection of sum of money. A advanced the filing
O
fees and part of the attorney’s fees. However,
Atty. B failed to file the case. Upon discovery of
E
A, she demanded the return of the advanced fees
from Atty. B, but the latter refused to do so.
Additionally, Atty. B frequently borrowed
N
money from A. Atty. B issued postdated checks
as security for the borrowed money. However,
these were subsequently dishonored. Is Atty. A
E
liable for violating the Code of Professional
Responsibility?
T
A: YES. Respondent violated Canon 16 when she
obtained loans from a client. In this instant case,
A
there is no dispute that the respondent obtained
several loans from the complainant after they
established a lawyer-client relationship, and before
they terminated the same. (Aurora Aguilar-
Dyquiangco v. Atty. Diana Lynn M. Arellano, A.C. No.
10541, 12 July 2016)
97
Rule 16.03
A lawyer shall deliver the funds and property of
his client when due or upon demand. However, he
shall have a lien over the funds and may apply so
much thereof as may be necessary to satisfy his
lawful fees and disbursements, giving notice
promptly thereafter to his client. He shall also
have a lien to the same extent on all judgments
and executions he has secured for his client as
provided for in the Rules of Court.
W
Counsel cannot Unilaterally Retain as a Lawyer’s
A
lien the Property of his Client.
A counsel has no right to retain or appropriate
L
unilaterally as lawyer’s lien any amount belonging
to his client which may come into his possession.
(Cabigao v. Rodrigo, 57 Phil. 20)
NOTE: While this rule provides that the lawyer has
the right to retain the funds of his client as may be
necessary to satisfy his lawful fees and
disbursements known as attorney’s lien as well as
his lien to the same extent on all judgments and
executions he has secured for his client called
charging lien, he is still duty bound to render an
accounting of his client’s funds and property which
may come into his possession in the course of his
professional employment. In the application of the
attorney’s lien, a lawyer shall give notice to his
client, otherwise, the same might be construed as
misappropriation which may subject him to
disciplinary action. (Antiquiera, 2007)
Q: Fernandez engaged the services of Atty.
Cabrera II to handle the cases of her associates
in Baguio City. After taking hold of the records of
the cases that Fernandez entrusted to him and
after getting initially paid for the services he
would render, Atty. Cabrera II suddenly
disappeared and could no longer be located in
his given address or in the addresses that
Fernandez gathered. Did Atty. Cabrera II violate
the CPR when he accepted the records and
money of the complainant and thereafter failed
to render his services?
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A: YES. Acceptance of money from a client
establishes an attorney-client relationship and gives
rise to the duty of fidelity to the client's cause. The
Canons of Professional Responsibility require that
once an attorney agrees to handle a case, he should
undertake the task with zeal, care, and utmost
devotion.
Atty. Cabrera’s action projects his appalling
indifference to his client's cause and a brazen
disregard of his duties as a lawyer. Not only did he
fail to render service of any kind, he also absconded
with the records of the cases with which he was
entrusted. Then to top it all, he kept the money
complainant paid to him. Such conduct is
unbecoming of a member of the bar, for a lawyer's
professional and personal conduct must at all times
be kept beyond reproach and above suspicion.
(Fernandez v. Atty. Cabrera II, A.C. No. 5623, 11 Dec.
2003)
Q: Campos engaged the services of Atty. Estebal
in securing tourist visas to the United States.
Campos paid a total of ₱345,000; however, Atty.
Estebal failed to apply or secure for him the U.S.
tourist visa that he promised. Thus, he
N
demanded for the return of his money. For
failure to return his money, Campos instituted
E
an administrative case against Atty. Estebal. Will
the case prosper?
T
A: YES it will prosper. There is hardly any doubt that
Atty. Estebal’s act of receiving such substantial sum
A
of money from complainants without in the least
intending to honor his word to secure the U.S.
tourist visas that he promised to get for them
constitutes a breach of his professional
responsibility. Rule 16.03 of the CPR provides that a
lawyer shall deliver the funds and property of his
client when due or upon demand. By mismanaging
the fund of his client and failure to return the money
intended for securing U.S. visas, Atty. Estebal failed
to observe honesty and good faith in his dealings
with them. (Campos, Jr., Atty. Estebal, A.C. No. 10443,
08 Aug. 2016)
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Q: Soliman engaged the services of Atty. Amboy
in connection with a partition case. No case was
filed as the other co-owners were amenable to
the partition. Instead, Atty. Amboy just
facilitated the issuance of the titles to the said
property. Atty. Amboy then told Soliman that
someone from the Register of Deeds can help
expedite the issuance of the titles for a fee of
₱50,000.00. The said amount was deposited by
Soliman to Atty. Amboy’s bank account as
W
payment for the latter’s contact. However, Atty.
Amboy failed to deliver the respective
certificates of title. Soliman claimed that Atty.
A
Amboy thereafter refused to release the
pertinent documents she gave to her for the
L
processing of the titles to the property as well as
to give back the ₱50,000.00 that was already
paid to her. Did Atty. Amboy violate the CPR?
A: YES, Atty. Amboy violated the CPR. Upon inquiry,
O
the supposed contact denied having received any
amount from Atty. Amboy. In not returning the
E
money to Soliman after a demand therefor was
made following her failure to procure the issuance
of the certificates of title, Atty. Amboy violated
Canon 16, particularly Rule 16.03 thereof, which
requires that a lawyer shall deliver the funds and
property of his client upon demand. A lawyer’s
failure to return upon demand the funds held by him
on behalf of his client gives rise to the presumption
that he has appropriated the same for his own use
in violation of the trust reposed in him by his client.
(Soliman v. Amboy, A.C. No. 10568, 13 Jan. 2015)
Rule 16.04
A lawyer shall not borrow money from his client
unless the client's interest are fully protected by
the nature of the case or by independent advice.
Neither shall a lawyer lend money to a client
except, when in the interest of justice, he has to
advance necessary expenses in a legal matter he
is handling for the client.
A lawyer who takes advantage of his client’s
financial plight to acquire the latter’s properties for
his own benefit is destructive of the confidence of
the public in the fidelity, honesty and integrity of the
legal profession. (Hernandez, Jr. v. Go A.C. No. 1526,
31 Jan. 2005)
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 I. LEGAL ETHICS
Prohibition Against Borrowing Money from a
Client
GR: A lawyer is not allowed to borrow money from
his client.
XPN: The client’s interests are fully protected by the
nature of the case or by independent advice.
Prohibition Against Lending of Money to a Client
GR: A lawyer is not allowed to lend money to his
client.
XPN: When in the interest of justice, he has to
advance necessary expenses in a legal matter he is
handling for the client. (Rule 16.04, CPR)
NOTE: The prohibition of lending money to client is
intended to assure the lawyer’s independent
O
professional judgment, for if the lawyer acquires a
financial interest in the outcome of the case, the free
E
exercise of his judgment may be adversely affected.
(Linsangan v. Tolentino, A.C. No. 6672, 04 Sept. 2009)
N
Q: Atty. Lozada was the retained counsel and
legal adviser of Frias. Atty. Lozada persuaded
Frias to sell her house, the former acting as
E
broker since she was in need of money. The
prospective buyer paid ₱3,000,000.00 where
T
Atty. Lozada took ₱1,000,000.00 as her
commission without Frias’ consent. The buyer
backed out from the sale and filed a case against
A
Frias for the return of the purchase price. Frias
claimed that her failure to return the money was
because of Atty. Lozada’s refusal to give back
the ₱1,000,000.00 she took as commission. A
case was filed by Frias against Atty. Lozada but
despite the favorable decision, Atty. Lozada
refused to return the money.
Atty. Lozada claimed that since she did not have
enough money, Frias requested her to sell or
mortgage the property and offered her a loan,
commission and attorney’s fees on the basis of
the selling price. Did Atty. Lozada commit a
violation of the CPR in asking for a loan from her
client?
99
A: YES. Her act of borrowing money from a client
was a violation of Canon 16.04 of the CPR.
A lawyer’s act of asking a client for a loan, similar to
what respondent did in this case, is unethical. It
comes within those acts considered as abuse of
client’s confidence. The canon presumes that the
client is disadvantaged by the lawyer’s ability to use
all the legal maneuverings to renege on her
obligation. (Frias v. Lozada, A.C. NO. 6656, 13 Dec.
W
2005)
NOTE: The principle behind Rule 16.04 is to prevent
A
the lawyer from taking advantage of his influence
over the client or to avoid acquiring a financial
L
interest in the outcome of the case. (Agpalo, 2009;
Junio v. Grupo, A.C. No. 5020, 18 Dec. 2001)
Return of Money in an Administrative Case
1. If the money is received in a transaction
separate and distinct from, and not
intrinsically linked to his professional
engagement, the Court cannot order the
return of the money. The clients must
institute a separate civil action to recover
it; and
e.g., Money from a loan
2. If the money is received in a transaction
intrinsically linked to his professional
engagement, the Court can order the return
of the money.
e.g., Filing fees, acceptance fees, attorney’s
fees
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
CANON 17
A lawyer owes fidelity to the cause of his client
and he shall be mindful of the trust and
confidence reposed in him.
Fidelity to Client’s Cause
Q: Matias Lagramada residing with his uncle,
Apolonio Lagramada, was invited by the latter to
accompany him to the police station, supposedly
to pick up a refrigerator they were to repair.
Upon their arrival there, Matias was
immediately taken in and locked behind bars.
Two sets of information were filed against him
only 10 months after the first day of his
incarceration. With the assistance of counsel,
Matias pleaded not guilty when arraigned,
without raising the invalidity of the arrest. Was
the case properly handled?
A: NO. Lawyers owe fidelity to the cause of their
clients and must be mindful of the trust and
confidence reposed in them. Matias’ counsel, in the
spirit of safeguarding his client’s rights, should have
taken the necessary steps to correct the situation.
However, he allowed his client to enter a plea during
N
the latter’s arraignment without raising the
invalidity of arrest. Thus, the former effectively
E
waived his client’s right to question its validity.
Defense counsels are expected to spare no effort to
save the accused from unrighteous incarcerations.
T
Matias’ counsel should have not only perfunctorily
A
represented his client during the pendency of the
case but should have kept in mind his duty to render
effective legal assistance and true service by
protecting the latter’s rights at all times. (People v.
Lagramada, G.R. Nos. 146357 & 148170, 29 Aug.
2002)
Q: Complainants engaged the services of Atty.
Guaren for the titling of a residential lot they
acquired in Bonbon, Nueva Caseres. They
alleged that Atty. Guaren took all the pertinent
documents relative to the titling of their lot; that
they always reminded Atty. Guaren about the
case and each time he would say that the titling
was in progress; that they became bothered by
the slow progress of the case so they demanded
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the return of the money they paid. Despite the
acceptance of ₱7,000, Atty. Guaren failed to
perform his obligation and allowing 5 years to
elapse without any progress in the titling of
complainants’ lot. Did Atty. Guaren violate the
CPR?
A: YES. The Supreme Court reiterated that the
profession in which duty to public service, not
money, is the primary consideration. Lawyering is
W
not primarily meant to be a money-making venture,
and law advocacy is not a capital that necessarily
yields profits. The gaining of a livelihood should be
A
a secondary consideration.
L
The duty to public service and to the administration
of justice should be the primary consideration of
lawyers, who must subordinate their personal
interests or what they owe to themselves. Atty.
Guaren breached his duty to serve his client with
O
competence and diligence when he neglected a legal
matter entrusted to him. Thus, Atty. Guaren violated
E
Canons 17 and 18 of the CPR and was suspended
from the practice of law for six months. (Brunet v.
Guaren, A.C. No. 10164, 10 Mar. 2014)
CANON 18
A lawyer shall serve his client with competence
and diligence.
Competence and Diligence
Diligence is the attention and care required of a
person in a given situation and is the opposite of
negligence. It is axiomatic in the practice of law that
the price of success is eternal diligence to the cause
of the client. (Edquibal v. Ferrer, A.C. No. 5687, 03
Feb. 2005)
Degree of Diligence required in the Profession
The legal profession demands of a lawyer that
degree of vigilance and attention of a good father of
a family (Lapeña Jr., 2009) or ordinary pater familias
(Pineda, 2009). He is not required to exercise
extraordinary diligence. (Edquibal v. Ferrer, Jr., A.C.
No. 5687, 03 Feb. 2005)
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 I. LEGAL ETHICS
Q: Atty. A failed to submit a position paper as
required by the RTC for his client B, prompting
the latter to file an administrative complaint for
disbarment. Atty. A alleged that he did not
proceed to prepare and file the said position
paper on account of the continued refusal of B to
pay her accumulated legal fees. Is the argument
of Atty. A tenable?
A: NO. Canon 18 clearly mandates that a lawyer is
duty-bound to competently and diligently serve his
client once the former takes up the latter’s cause.
The lawyer owes fidelity to such cause and must
always be mindful of the trust and confidence
reposed upon him. Hence, his neglect of a legal
matter entrusted to him amounts to inexcusable
negligence for which he must be administratively
liable. (Carlos V. Lopez v. Atty. Milagros Isabel A.
Cristobal, A.C. No. 12146, 10 Oct. 2018)
O
Q: In a criminal case for rape with homicide, the
accused pleaded guilty. However, the three PAO
E
lawyers assigned as counsel de oficio did not
advise their client of the consequences of
pleading guilty; one PAO lawyer left the
N
courtroom during trial and thus was not able to
cross-examine the prosecution witnesses. The
other postponed the presentation of evidence
E
for the defense, and when he appeared, he said
he would rely solely on the plea of guilty,
T
believing that it would lower the penalty to
reclusion perpetua. Should the three PAO
lawyers be disciplined?
A
A: YES. All three of them manifest disinterest on the
plight of their client. They lacked vigor and
dedication to their work. Canon 18 of the CPR
requires every lawyer to serve his client with
utmost dedication, competence and diligence. He
must not neglect a legal matter entrusted to him,
and his negligence in this regard renders him
administratively liable. Obviously, in the instant
case, the defense lawyers did not protect, much less
uphold, the fundamental rights of the accused.
Instead, they haphazardly performed their function
as counsel de officio to the detriment and prejudice
of the accused Sevilleno, however guilty he might
have been found to be after trial. (People v. Sevilleno,
G.R. No. 129058, 29 Mar. 1999)
101
Q: Sanchez charged Atty. Aguilos with
misconduct for the latter’s refusal to return the
amount she had paid for his professional
services. She avers that Atty. Aguilos demanded
the full payment of his fee before working on the
case; that the lawyer contemplated to file a
petition for legal separation instead of petition
for annulment, of which the latter is the main
consideration for his professional employment
yet Atty. Aguilos further asked for a higher
W
acceptance fee for the latter. Sanchez
subsequently withdrew the case and demanded
the refund of the amounts paid less the amounts
A
corresponded to the services he already
performed but Atty. Aguilos refused. Is Atty.
L
Aguilos liable for misconduct?
A: YES. Aguilos was liable for misconduct, and he
should be ordered to return the entire amount
received from the client. As the foregoing findings
reveal, he did not know the distinction between the
grounds for legal separation and for annulment of
marriage. Such knowledge would have been basic
and expected of him as a lawyer accepting a
professional engagement for either cause of action.
The case unquestionably contemplated by the
parties and for which his services was engaged, was
no other than an action for annulment of the
complainant's marriage with her husband with the
intention of marrying her British fiancée. They did
not contemplate legal separation at all, for legal
separation would still render her incapacitated to
re-marry. That the respondent was insisting in his
answer that he had prepared a petition for legal
separation, and that she had to pay more as
attorney's fees if she desired to have the action for
annulment was, therefore, beyond comprehension
other than to serve as a hallow afterthought to
justify his claim for services rendered. Aguilos failed
to live up to the standards imposed on him as an
attorney. He thus transgressed Canon 18, and Rules
18.01, 18.02 and 18.03 of the CPR (Sanchez v.
Aguilos, A.C. No. 10543, 16 Mar. 2016).
Q: Ferrer was accused of raping his 11-year-old
stepdaughter. Ferrer’s counsel of record was
PAO's Atty. Macabanding. During the pre-trial,
both of them failed to appear. Ferrer was
considered by the court as having jumped bail.
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Trial in absentia followed where Ferrer was
assisted by another PAO lawyer, Atty. Alonto.
Atty. Macabanding did not appear in all the
subsequent hearings of the case. He did not
inform the court of his whereabouts. Ferrer was
found guilty beyond reasonable doubt of the
crime charged and imposed upon him the death
penalty. Did Atty. Macabanding live up to the
demands expected from a counsel de officio?
A: NO. Canon 18 of the CPR requires every lawyer to
serve his client with utmost dedication,
competence, and diligence. He must not neglect a
legal matter entrusted to him. For all intents,
purposes and appearances, Atty. Macabanding
abandoned his client, an accused who stands to face
the death penalty. Ferrer was not properly and
effectively accorded the right to counsel.
While he faced the daunting task of defending an
accused that had jumped bail, this unfortunate
development is not a justification to excuse him
from giving his heart and soul to the latter's defense.
The exercise of their duties as counsel de officio
meant rendering full meaning and reality to the
constitutional precepts protecting the rights of the
N
accused. (People v. Ferrer, G.R. No. 148821, 18 July
2003)
E
Instances of Lawyer’s Lack of Diligence and their
Resulting Consequences
T
1. Lawyer failed to file his client’s position
A
paper which caused the client to be in
default in an ejectment case. The
complainant’s appeal was also denied since
the lawyer failed to file an appeal
memorandum. The lawyer was disbarred;
(Enriquez v. Atty. Lavadia, A.C. No. 5686, 16
June 2015)
2. Lawyer failed to file his client’s position
paper and he did not inform the
complainant that his case was dismissed by
the court. The lawyer was suspended from
practice of law for three years; (Olvida v.
Atty. Gonzales, A.C. No. 5732, 16 June 2015)
and
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3. Lawyer failed to file a motion for
reconsideration on behalf of his client and
further neglected to regularly update his
clients on the status of the case. The lawyer
was suspended for two years. (Ramiscal v.
Atty. Orro, A.C. No. 10945, 23 Feb. 2016)
Rule 18.01
A lawyer shall not undertake a legal service
which he knows or should know that he is not
W
qualified to render. However, he may render such
service if, with the consent of his client, he can
obtain as collaborating counsel a lawyer who is
A
competent on the matter.
L
The lawyer’s acceptance, whether for a fee or not, is
an implied representation that he possesses the
requisite degree of academic learning, skill and
ability to handle the case.
O
A lawyer who accepts professional employment
should be in a position to render efficient and
E
effective legal assistance. (Agpalo, 2009)
He is therefore directed not to take legal services
which he knows or should know he is not qualified
or competent to render except if his client consents,
the lawyer can take as collaborating counsel
another lawyer who is competent on the matter.
(Agpalo, 2009)
Collaborating Counsel
A collaborating counsel is one who is subsequently
engaged to assist a lawyer already handling a
particular case for a client. (Pineda, 2009)
Q: When is professional incompetence a ground
for disbarment under the Rules of Court?
Explain. (2010 BAR)
A: Professional incompetence of a lawyer may be a
special ground for disbarment if his incompetence
is so total, gross and serious that he cannot be
entrusted with the duty to protect the rights of his
clients. “A lawyer shall not undertake a legal service
where he knows or should know that he is not
qualified to render” (Rule 18.01, CPR). If he does so,
it would constitute malpractice or gross misconduct
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 I. LEGAL ETHICS
in office which are grounds for suspension or his client. (Vda. De Enriquez v. San Jose, A.C. No. 3569,
disbarment under Sec. 27, Rule 138 of the ROC. 23 Feb. 2007)

NOTE: The handling lawyer cannot just take Diligence Required

another counsel without the consent of the client.
The new lawyer on the other hand cannot just enter
his appearance as collaborating counsel without the
conformity of the first counsel.
Rule 18.02
Prone to err like any other human being, he is not
answerable for every error or mistake, and will be
protected as long as he acts honestly and in good
faith to the best of skill and knowledge. An attorney
is not expected to know all the laws. He is not liable

W
A lawyer shall not handle any legal matter for disbarment for an honest mistake or error. He is
without adequate preparation. not an insurer of the result in a case where he is
engaged in as counsel. Only ordinary care and

A
diligence are required of him. (Pineda, 2009)
Adequate Preparation

A lawyer should prepare his pleadings with great
care and circumspection. He should refrain from
using abrasive and offensive language, for it merely
weakens rather than strengthens the force of legal
L
NOTE: What amounts to carelessness or negligence
in a lawyer’s discharge of his duty to client is
incapable of exact formulation. It will depend upon
the circumstances of the case.

O
reasoning and detracts from its persuasiveness.
Instances of Negligence by Attorneys
In preparing a complaint for damages, counsel for

E
A lawyer is deemed to be negligent under the
plaintiff should allege and state the specific amounts
following circumstances:
claimed not only in the body of the complaint but
also in the prayer, so that the proper docket fees can

N
1. He fails to appeal to CA despite instructions
be assessed and paid. (Fernandez v. Atty. Novero, Jr.,
by the client to do so constitutes inexcusable
A.C. No. 5394, 02 Dec. 2002)
negligence on the part of the counsel; (Abiero

E
v. Juanino, A.C. No. 5302, 18 Feb. 2005) and
The counsel must constantly keep in mind that his
actions or omissions, even malfeasance and

T
2. Even if a lawyer was "honestly and sincerely"
nonfeasance, would be binding to his client. Verily,
protecting the interests of his client, the
a lawyer owes to the client the exercise of utmost
former still had no right to waive the appeal
prudence and responsibility in representation.

A
without the latter's knowledge and consent.
(Fernandez v. Atty. Novero Jr., A.C. No. 5394, 02 Dec.
(Abay v. Atty. Montesino, A.C. No. 5718, 04 Dec.
2002)
2003)

Rule 18.03
Q: Are the mistakes or negligence of a lawyer
A lawyer shall not neglect a legal matter
binding upon the client? (1998, 2000, 2002 BAR)
entrusted to him and his negligence in connection
therewith shall render him liable.
GR: Client is bound by attorney’s conduct,
(1998, 2002 BAR) negligence, and mistake in handling a case or in the
management of litigation and in procedural
A lawyer is enjoined not to neglect a legal matter technique, and he cannot complain that the result
entrusted to him, and his negligence in connection might have been different had his lawyer proceeded
therewith shall render him liable. It is the duty of the differently.
lawyer to serve his client with competence and
diligence and he should exert his best efforts to
protect, within the bounds of the law, the interest of

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XPNs: (P-I-G-I-L)
1. Lack of acquaintance with technical aspect
of procedure;
2. When adherence thereto results in
outright deprivation of a client’s liberty or
property or where Interest of justice so
requires;
3. Where error by counsel is Purely technical
which does not substantially affect client’s
cause;
4. Ignorance, incompetence, or inexperience
of lawyer is so great and error so serious
that the client, who has a good cause, is
prejudiced and denied a day in court; and,
5. Gross negligence of lawyer.
NOTE: If by reason of the lawyer’s
negligence, actual loss has been caused to
his client, the latter has a cause of action
against him for damages. However, for the
lawyer to be held liable, his failure to
N
exercise reasonable care, skill and diligence
must be the proximate cause of the loss.
E
Q: Atty. Macalalad was introduced to Atty.
Solidon by a mutual acquaintance. Atty. Solidon
T
asked Atty. Macalalad to handle the judicial
titling of a parcel of land located in Samar and
A
owned by Atty. Solidon’s relatives. For a
consideration of ₱80,000.00, Atty. Macalalad
accepted the task to be completed within a
period of eight months. Atty. Macalalad received
₱50,000.00 as initial payment; the remaining
balance of ₱30,000.00 was to be paid when Atty.
Solidon received the certificate of title to the
property. Atty. Macalalad has not filed any
petition for registration over the property
sought to be titled up to the present time. Is he
guilty of violating the CPR?
A: YES. He is guilty of violating Rule 18.03, Canon 18
of the CPR. The mere failure of the lawyer to
perform the obligations due to the client is
considered per se a violation. A lawyer so engaged
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to represent a client bears the responsibility of
protecting the latter’s interest with utmost
diligence. Accordingly, competence, not only in the
knowledge of law, but also in the management of the
cases by giving these cases appropriate attention
and due preparation, is expected from a lawyer.
Atty. Macalalad failed to act as he committed when
he failed to file the required petition. (Solidon v.
Macalalad, A.C. No. 8158, 24 Feb. 2010)
W
Q: Spouses Santander filed a civil suit for
damages against Congressional Village
Homeowner’s Association and Ely Mabanag.
A
Atty. Jimenez was the counsel of record and
handling lawyer for the association. The RTC
L
rendered a decision in favor of the Sps.
Santander. The CA dismissed the appeal on the
ground that the original period to file the
appellant’s brief had expired 95 days before the
first motion for extension of time to file said
O
brief was filed. Some members of the association
filed a Complaint for Disbarment against Atty.
E
Jimenez. In his defense, Atty. Jimenez alleged
that the members have no personality to file the
disbarment complaint as they were not his
clients. Is Atty. Jimenez liable for violating Rule
18.03 and Canon 18 of the CPR?
A: YES, Atty. Jimenez is liable. His failure to file the
appellant’s brief within the period provided by law
violates Canon 18 of the CPR. Atty. Jimenez had filed
with the CA an Urgent Motion for Extension stating
that a previous motion had been filed but “due to the
health condition of the undersigned counsel…he
was not able to finish said Appellant’s Brief within
the fifteen-day period earlier requested by him.” It
is clear that Atty. Jimenez was indeed in charge of
the case. A lawyer representing a client bears the
responsibility of protecting the client’s interest with
utmost diligence. (Figueras v. Jimenez, A.C. No. 9116,
12 Mar. 2014)
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 I. LEGAL ETHICS

Rule 18.04 invectives at them when they visited him for an

A lawyer shall keep the client informed of the
status of his case and shall respond within a
reasonable time to the client’s request for
information.
Duty to Apprise Client
A lawyer should notify his client of the adverse
update on the case. (Spouses Garcia v. Bala, A.C. No.
5039, 25 Nov. 2005)
Q: Sps. Ramiscals engaged the legal services of
Atty. Edgar S. Orro to handle a case in which they
were the defendants seeking the declaration of
the nullity of title to a parcel of land. Upon
receiving the ₱10,000.00 acceptance fee from
them, Orro handled the trial of the case until

W
decision while within the period to appeal to enable
RTC decided it in their favor. When the case
the client to decide whether to seek an appellate
reached CA, Orro requested from the spouses an
review. He should communicate with him
additional amount of ₱30,000.00 for the

A
concerning the withdrawal of appeal with all its
preparation and submission of their appellees’
adverse consequences. The client is entitled to the
brief.
fullest disclosure of the mode or manner by which

L
his interest is defended or why certain steps are
Later on, the CA reversed the decision of the
taken or omitted.
RTC. Orro did not inform the Ramiscals of the
adverse decision of the CA which they only
As an essential part of their highly fiduciary
learned about from their neighbors. They

O
relationship, the client is entitled to the periodic and
endeavored to communicate with Orro but their
full updates from the lawyer on the developments of
efforts were initially in vain. When they finally
the case. (Ramiscal v. Orro, A.C. No. 10945, 23 Feb.

E
reached him, he asked an additional ₱7,000.00
2016)
from them as his fee in filing a motion for
reconsideration in their behalf, albeit telling
Q: Spouses Garcia engaged the services of Atty.

N
them that such motion would already be
Rolando Bala to appeal to the CA the adverse
belated. They later discovered that he did not
decision of the Department of Agrarian
file the motion for reconsideration; hence, the
Relations Adjudication Board (DARAB). Instead,

E
decision attained finality, eventually resulting
he erroneously filed a Notice of Appeal. During
in the loss of their property. Did Atty. Orro
one instance when the spouses had called on

T
competently and diligently discharge his duties
him to ask for a copy of the supposed appeal,
as a lawyer?
Atty. Bala uttered unsavory words against them.
Because of his error, the prescribed period for

A
A: NO. Every lawyer, upon becoming a member of
filing the petition lapsed, to the prejudice of his
the Philippine Bar, solemnly takes the Lawyer’s
clients. Did Atty. Bala violate any ethical rules?
Oath, by which he vows, among others, that: “I will
delay no man for money or malice, and will conduct
A: YES. Rule 18.04 states that a “lawyer shall keep
myself as a lawyer according to the best of my
the client informed of the status of his case and shall
knowledge and discretion, with all good fidelity as
respond within a reasonable time to the client's
well to the courts as to my clients.” If he should
request for information.”
violate the vow, he contravenes the CPR,
particularly its Canon 17, and Rules 18.03 and 18.04
Accordingly, the spouses had the right to be updated
of Canon 18. As an essential part of their highly
on the developments and status of the case for
which they had engaged the services of Atty. Bala. fiduciary relationship, the client is entitled to the
periodic and full updates from the lawyer on the
But he apparently denied them that right. Having
become aware of the wrong remedy he had developments of the case. Updating the clients could
have prevented their substantial prejudice by
erroneously taken, he purposely evaded his clients,
enabling them to engage another competent lawyer
refused to update them on the appeal, and misled
to handle their case. As it happened, his neglect in
them as to his whereabouts. Moreover, he uttered
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that respect lost for them whatever legal remedies
were then available. His various omissions
manifested his utter lack of professionalism
towards them. (Ramiscal v. Orro, A.C. No. 10945, 23
Feb. 2016)
NOTE: The lawyer is obliged to respond within a
reasonable time to a client's request for
information. A client is entitled to the fullest
disclosure of the mode or manner by which that
client's interest is defended or why certain steps are
taken or omitted.
A lawyer who repeatedly fails to answer the
inquiries or communications of a client violates the
rules of professional courtesy and neglects the
client's interests. (Villariasa-Reisenbeck v.
Abarrientos, A.C. No. 6238, 04 Nov. 2004)
Doctrine of Imputed Knowledge
The knowledge acquired by an attorney during the
time that he is acting within the scope of his
authority is imputed to the client. It is based on the
assumption that an attorney, who has notice of
matter affecting his client, has communicated the
N
same to his principal in the course of professional
dealings. (Agpalo, 2009)
E
NOTE: The doctrine applies regardless of whether
or not the lawyer actually communicated to the
T
client what he learned in his professional capacity,
the attorney and his client being one judicial person.
A
(Agpalo, 2009)
Notice to counsel is notice to client, but not vice
versa if the latter appeared by attorney.
GR: The law requires that service of any notice upon
a party who has appeared by attorney shall be made
upon his attorney. Notice sent to a party who has
appeared by counsel is not notice in law (Chainani v.
Tnacinco, G.R. No. L-4782, 29 Feb. 1952), it being
immaterial that the client actually received the
notice or volunteered to get a copy thereof.
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XPNs:
1. Strict application might foster dangerous
collusion to the detriment of justice;
2. Service of notice upon party instead of
upon his attorney is ordered by the court;
3. Notice of pre-trial is required to be served
upon parties and their respective lawyers;
and
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4. In appeal from the lower court to the RTC,
upon docketing of appeal.
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CANON 19
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A lawyer shall represent his client with zeal
within the bounds of the law.
When a lawyer accepts a case, whether for a fee
or not, his acceptance is an implied
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representation that he will: (C-A-S-E)
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1. exercise reasonable and ordinary Care and
diligence in the pursuit or defense of the
case;
2. possess the requisite degree of Academic
learning, skill and ability in the practice of
his profession;
3. take steps as will adequately Safeguard his
client’s interests; and
4. Exert his best judgment in the prosecution
or defense of the litigation entrusted to
him. (Islas v. Platon, G.R. No. L-23183, 29
Dec. 1924)
Authority to Appear in Court is Presumed
GR: A lawyer is presumed to be properly authorized
to represent any cause in which he appears.
XPN: On motion of either party and on reasonable
grounds, the presiding judge may require an
attorney to prove the authority under which he
appears. (Sec. 21, Rule 138, Rules of Court, as
amended)
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 I. LEGAL ETHICS
Voluntary Appearance of Lawyer without
Authority
An attorney may not appear for a person until he is
in fact employed by, or retained for such person. An
attorney willfully appearing in court for a person
without being employed, unless by leave of court,
may be punished for contempt as an officer of the
court, who has misbehaved in his official
transactions. (Sec. 21, Rule 138)
Effects of Unauthorized Appearance
1. The party represented is not bound by
attorney’s appearance in the case neither
by the judgment rendered therein;
2. Court does not acquire jurisdiction over the
person of the party represented;
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3. The adverse party who has been forced to
litigate as a defendant by the unauthorized
E
action on the part of the attorney for the
plaintiff may, on that ground, move for the
dismissal of the complaint; and
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4. If unauthorized appearance is willful,
attorney may be cited for contempt as an
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officer of the court who has misbehaved in
his official transactions, and he may be
T
disciplined for professional misconduct.
A
Ratification of Unauthorized Appearance
1. Express - It refers to the categorized assertion
by client that he has authorized a lawyer or that
he confirms his authorization to represent him
in the case.
2. Implied - It is where a party, with knowledge of
fact that a lawyer has been representing him in
a case, accepts benefits of representation or
fails to promptly repudiate the assumed
authority.
107
Forms of Implied Ratification
Implied ratification may take various forms, such as
by silence or acquiescence, or by acceptance and
retention of benefits flowing therefrom. (Chong v.
Court of Appeals, G.R. No. 148280, 10 July 2007)
Requisites of Implied Ratification by Silence
1. The party represented by the attorney is of
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age or competent or if he suffers from any
disability, he has a duly appointed guardian
or legal representative.
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2. The party or his guardian, as the case may
L
be, is aware of the attorney’s
representation.
3. He fails to promptly repudiate assumed
authority.
NOTE: Ratification retroacts to the date of the
lawyer’s first appearance and validates the action
taken by him. (Land Bank of the Philippines v.
Pamintuan Development Co., G.R. No. 167886, 25 Oct.
2005)
Extent of Lawyer’s Authority in Litigation
A lawyer has authority to bind the client in all
matters of ordinary judicial procedure. The cause of
action, the claim or demand sued upon and the
subject matter of the litigation are within the
exclusive control of the client. A client may waive,
surrender, dismiss, or compromise any of his rights
involved in litigation in favor of the other party even
without or against the consent of his attorney.
(Agpalo, 2009; Bejarasco v. People, G.R. No. 159781,
02 Feb. 2011)
Q: May a lawyer be held liable for damages by his
clients for the lawyer’s failure to file the
necessary pleadings to prosecute the client’s
case and as a result of which the client suffered
damages? (2014 BAR)
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A: YES, a lawyer may be held liable for damages by
his client for failure to represent his client with zeal
(Canon 19, CPR) and for not serving his client with
competence and diligence. (Canon 18, CPR)
Rule 19.01
A lawyer shall employ only fair and honest means
to attain the lawful objectives of his client and
shall not present, participate in presenting or
threaten to present, participate in presenting or
threaten to present unfounded criminal charges
to obtain an improper advantage in any case or
proceeding.
(1997 BAR)
Use of Fair and Honest Means
Rule 19.01 of the CPR obligates a lawyer, in
defending his client, to employ only such means as
are consistent with truth and honor. He should not
prosecute patently frivolous and meritless appeals
or institute clearly groundless actions. The act of a
lawyer in preventing the execution of the judgment
against his clients shows that he actually committed
what the above rule expressly prohibits. (Que v.
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Revilla, A.C. No. 7054, 04 Dec. 2009)
Under this rule, a lawyer should not file or threaten
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to file any unfounded or baseless criminal case or
cases against the adversaries of his client designed
T
to secure a leverage to compel the adversaries to
yield or withdraw their own cases against the
lawyer’s client. (Malvar v. Feir, A.C. No. 11871, 05
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Mar. 2018)
Rule 19.02
A lawyer who has received information that his
client has, in the course of the representation,
perpetrated a fraud upon a person or tribunal,
shall promptly call upon the client to rectify the
same, and failing which he shall terminate the
relationship with such client in accordance with
the Rules of Court.
Client’s Fraud
The lawyer’s duty to his client does not mean
freedom to set up false or fraudulent claims
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especially with respect to provisions of law or
administrative rules and that while lawyers are
bound to exert utmost legal skill in prosecuting their
client’s cause or defending it, their duty, first and
foremost, is to the administration of justice. (CPR
Annotated, PhilJA)
NOTE: It is an unethical tactic for a lawyer to offer
monetary rewards to anyone who could give him
information against a party so that he could have
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leverage against all actions involving such party.
(CPR Annotated, PhilJA)
A
Q: Atty. Bravo represents Carlos Negar (an
insurance agent for Dormir Insurance Co.) in a
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suit filed by insurance claimant Andy Limot who
also sued Dormir Insurance. Limot testified
during the trial that he had mailed the notice of
the loss to the insurance agent, but admitted
that he lost the registry receipt so that he did not
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have any documentary evidence of the fact of
mailing and of its timeliness. Dormir Insurance
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denied liability contending that the timely
notice had not been given either to the company
or its agent.
A few days after Negar testified, he admitted to
Atty. Bravo that he had lied when he denied
receipt of Limot's notice; he did receive the
notice by mail but immediately shredded it to
defeat Limot's claim. If you were Atty. Bravo,
what would you do in light of your client's
disclosure that he perjured himself when he
testified? (2013 BAR)
A: I shall promptly call upon Carlos Negar, my client,
to rectify his perjured testimony by recanting the
same before the court. Should he refuse or fail to do
so I shall then terminate my relationship with him
(Canon, 19, Rule 19.02) stating that with his having
committed perjury he persuaded an illegal conduct
in connection with the case. (Ibid., Canon 22, Rule
22.01)
Q: In a prosecution for a murder against a
ranking army officer, the latter engaged the
services of RS, a well-known trial lawyer, to
whom the officer in one of their conferences
disclosed a plan to eliminate or salvage—i.e., kill
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 I. LEGAL ETHICS
or otherwise cause to disappear—the only
witness, a fellow military officer, through a
contrived traffic or highway vehicular accident.
a. What are the legal and moral obligations of
Atty. RS to his client and to the authorities,
under the given circumstances?
A: Atty. RS has the obligation to disclose such facts
to authorities. The announced intention of a client
to commit a crime is not included within the
confidences which his attorney is bound to respect.
The attorney cannot reveal to anybody the facts
stated by the client as regards the case proceedings.
However, this is not an absolute rule. The privilege
is limited or has reference only to communications
which are within the ambit of lawful employment
and does not extend to those transmitted in
contemplation of future crimes or fraud.
O
b. Should the planned accident take place, and
the witness to the prosecution be killed, as a
E
result, is Atty. RS under any obligation to
disclose to the authorities the plan that his
client had mentioned to him, as above
N
mentioned?
A: YES. Atty. RS has the obligation to disclose such
E
information to the authorities. As provided for by
Rule 19.02 of Canon 19, a lawyer shall not allow his
T
client to perpetrate fraud. He shall promptly advise
the client to rectify the same, and if the client refuses
to heed the lawyer's advice for rectification, the
A
lawyer must withdraw from the case. (People v.
Sandiganbayan, G.R. Nos. 115439-41, 16 July 1997)
Rule 19.02
A lawyer shall not allow his client to dictate the
procedure in handling the case.
Who has control over the case?
1. As to matters of procedure, it is the client who
yields to the lawyer and not the lawyer yielding
to the client. (Lapeña Jr., 2009)
NOTE: The basis of this rule is that the lawyer
is better trained and skilled in law.
109
2. As to subject matter, the client is in control.
NOTE: Cause of action, claim or demand, and
subject of litigation are within client’s control.
Proceedings to enforce the remedy are within
the exclusive control of the attorney.
Authority of counsel to compromise
GR: The attorney has no authority to compromise
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his client’s case because the client, even if
represented by counsel, retains exclusive control
over the subject matter of the litigation. The client
A
can, of course, authorize his lawyer to compromise
his case, and the settlement made by the lawyer will
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bind his client.
XPNs:
1. When the lawyer is confronted with an
emergency where prompt and urgent
action is necessary to protect the interest of
his client and there is no opportunity for
consultation with the latter; and
2. Settlement of monetary obligation to client
is full payment in cash.
NOTE: The ROC requires lawyers to secure special
authority from their clients when entering into a
compromise agreement that dispenses with
litigation (Luna v. Galarrita, A.C. No.10662, 07 July
2015)
Duty of the Lawyer in gathering Information
regarding the Case
The lawyer cannot entirely depend on the
information his client gave or the time his client
wished to give. The lawyer should take more control
over handling the case. Where the client is based
overseas, the lawyer should with more reason, have
moved to secure all the legal means available to him
either to continue representing his client effectively
or to make the necessary manifestation in court,
with the client’s conformity, that he was
withdrawing as counsel of record. (CPR Annotated,
PhilJA)
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Appearance for the suit? Explain. (2016 BAR)

It is the coming into court as a party either as a
plaintiff or as a defendant and asking relief
therefrom. (Agpalo, 2009)
Kinds of Appearance
1. General Appearance -. It is as such when a
party comes to court either as plaintiff or
A: I will base my action on Canon 19, particularly
Rule 19.03 of the CPR which provides that “a lawyer
shall not allow the client to dictate the procedure in
handling the case.” The other side of the coin of this
rule is that the substantive aspects of the case are
within the sole authority of the client to decide. The
lawyer’s authority is limited only to the procedural
aspects of the case. Certainly, whether or not to

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defendant and seeks general reliefs from appeal an adverse decision is a substantive mater
the court for satisfaction of his claims or which is exclusively for the client to decide. Having
counterclaims respectively; and filed an appeal against the decision of his client, the

A
lawyer should be held liable for its negative result.
2. Special Appearance - Here, in this case, a

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defendant appears in court solely for the CANON 20
purpose of objecting to the jurisdiction of A lawyer shall charge only fair and reasonable
the court over his person. (Agpalo, 2009) fees.

Entry of Appearance vs. Appearance of Counsel Attorney’s Fees

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ENTRY OF APPEARANCE OF GR: Only lawyers are entitled to attorney’s fees. The

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APPEARANCE COUNSEL same cannot be shared with a non-lawyer. It is
It is the written unethical.
manifestation It is the verbal

N
submitted by the manifestation of the XPNs: A lawyer may divide a fee for legal services
counsel of record to counsel in order for the with another under the following instances: (C-P-R)
inform the court that court to recognize his

E
he will act as the presence during the 1. A lawyer undertakes to Complete the
counsel of a party hearing of the case. unfinished legal business of a deceased
lawyer;

T
made before the date of (Sec. 21, Rule 138, ROC)
the hearing

A
Q: Pedro was accused of the crime of murder
before the RTC and was found guilty of
homicide. His counsel, Atty. Nestor, told him that
he will file an appeal before the Court of Appeals
(CA) because he believes that the claim of self-
defense of Pedro will be given merit by the
appellate court and that he will be acquitted.
Pedro explains that he is amenable to the
penalty imposed upon him. Notwithstanding the
opposition of the accused, Atty. Nestor went on
with the appeal. The CA decided that the
conviction should be for murder in view of the
qualifying circumstance. A petition with the
High Court proved futile. Pedro hires you to file
a disbarment suit against Atty. Nestor. What
cannon or rule of the CPR will you use as ground
2. There is a Pre-existing agreement with a
partner or associate that, upon the latter’s
death, money shall be paid over a
reasonable period of time to his estate or to
persons specified in the agreement;
3. A lawyer or law firm includes non-lawyer
employees in Retirement plan, even if the
plan is based, in whole or in part, on a
profit-sharing agreement. (Rule 9.02, CPR)
NOTE: Entitlement to lawyer’s fees is presumed.
(Funa, 2009) Unless otherwise expressly stipulated,
rendition of professional services by a lawyer is for
a fee or compensation and is not gratuitous.
(Research and Services Realty, Inc. v. CA, G.R. No.

U N IV E R S I T Y O F S A N T O T O M A S 110
2023 GOLDEN NOTES
 I. LEGAL ETHICS
124074, 27 Jan. 1997) Kinds of Payment

Rule 20.01 1. Fixed or Absolute Fee - It refers to that

A lawyer shall be guided by the following factors which remains payable regardless of the
in determining his fees: result of the case;
a. A fixed fee payable per appearance
(a) the time spent and the extent of the service b. A fixed fee computed upon the
rendered or required; number of hours spent
c. A fixed fee based on piece work
(b) the novelty and difficulty of the questions d. Combination of any of the above;

W
involved; and

(c) The importance of the subject matter; 2. Contingent Fee - It refers to that which is

A
conditioned on the securing of a favorable
(d) The skill demanded; judgment and recovery of money or

L
property and the amount of which may be
(e) The probability of losing other employment as on a percentage basis.
a result of acceptance of the proffered case;
Requisites for the Accrual of Attorney’s Fees

O
(f) The customary charges for similar services
and the schedule of fees of the IBP chapter to For the accrual of attorney’s fees to take place, the
which he belongs; following requisites must be present:

E
(g) The amount involved in the controversy and 1. the existence of the attorney-client
the benefits resulting to the client from the relationship; and,

N
service; 2. the rendition by the lawyer of services to
the client.
(h) The contingency or certainty of

E
compensation; NOTE: A pauper, while exempted from payment of
legal fees is not exempted from payment of

T
(i) The character of the employment, whether attorney’s fees. (Cristobal v. Employees’
occasional or established; and Compensation Commission, G.R. No. L-49280, 26 Feb.
1981)

A
(j) The professional standing of the lawyer.
Factors in determining the Attorney’s Fees
(1994, 2015 BAR)
Generally, the amount of attorney’s fees due is that
stipulated in the retainer agreement which is
In determining what is fair and reasonable, a lawyer
conclusive as to the amount of lawyer’s
shall be guided by the following factors: (SPIT-
compensation (Funa, 2009), unless the stipulated
SNACCC)
amount in the written contract is found by the court
to be unconscionable or unreasonable. (Sec. 24, Rule
1. Skill demanded;
138, ROC)
2. Time spent and the extent of the services
In the absence thereof, the amount of attorney’s fees rendered or required;
3. Importance of the subject matter;
is fixed on the basis of quantum meruit. (Sesbreno v.
Court of Appeals, G.R. No. 117438, 08 June 1995; 4. Probability of losing other employment as
a result of acceptance of the proffered case;
Funa, 2009)
5. Professional Standing of the lawyer;
6. Novelty and difficulty of the questions

111
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
involved; 3. Novelty and difficulty of questions
involved - When the questions in a case are
7. Amount involved in the controversy and novel and difficult, greater effort, deeper
the benefits resulting to the client from the study and research are bound to burn the
services; lawyer’s time and stamina considering
that there are no local precedents to rely
8. Customary Charges for similar services and upon.
the schedule of fees of the IBP chapter to
which he belongs; 4. Skill demanded of a lawyer - The totality
of the lawyer’s experience provides him

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9. Contingency or certainty of compensation; skill and competence admired in lawyers.
and
Retainer

A
10. Character of the employment, whether
occasional or established. (Rule 20.01) 1. This is the act of the client by which he

L
employs a lawyer to manage for him a cause
NOTE: Imposition of interest in the payment of to which he is a party, or otherwise to
attorney’s fees is not justified. (Funa, 2009) advise him as counsel; and

Contracts for attorney’s services in this jurisdiction 2. It also refers to a fee which the client pays

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stands upon an entirely different footing from other his attorney whom he retains. (Pineda,
contract for the payment of compensation for any 2009)

E
other services. (Mambulao Lumber Co. v. Philippine
National Bank, G.R. No. L-22973, 30 Jan. 1968) Retaining Fee

No court shall be bound by the opinion of attorneys

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A retaining fee is a preliminary fee given to an
as expert witnesses as to the proper compensation, attorney or counsel to insure and secure his future
and may disregard such testimony and base its services, and induce him to act for the client.

E
conclusion on its professional knowledge. A written (Pineda, 2009)
contract for services shall control the amount to be
paid therefor, unless found by the court to be Different Types of Fee Arrangements

T
unconscionable or unreasonable. (Sec. 24, Rule 138,
ROC, as amended) 1. Retainer’s fee where the lawyer is paid for

A
services for an agreed amount for the case.
Factors to consider in determining the amount
of attorney’s fees in the absence of any fee a. General – the fee paid to a lawyer
arrangement (T-I-N-S) to secure his future services as
general counsel for any ordinary
1. Time spent and the services rendered or legal problem that may arise in the
required. - A lawyer is justified in fixing routinary business of the client
higher fees when the case is so complicated and referred to him for legal
and requires more time and effort in fixing action.
it.
b. Special – a fee for a specific case
2. Importance of subject matter - The more handled or special service
important the subject matter or the bigger rendered by the lawyer for a client.
the value of the interest of the property in If for every case there is a separate
litigation, the higher is the attorney’s fees. and independent contract for
attorney's fees, each fee is

U N IV E R S I T Y O F S A N T O T O M A S 112
2023 GOLDEN NOTES
 I. LEGAL ETHICS
considered a special retainer.
(Traders Royal Bank Employees
Union-Independent v. NLRC and
Cruz, G.R. No. 120592, 14 Mar.
1997)
2. The lawyer agrees to be paid per court
appearance.
3. Contingent fee where the lawyer is paid for
his services depending on the success of the
case. This applies usually in civil suits for
money or property where the lawyer’s fee
is taken from the award granted by the
court.
4. Attorney de officio where the attorney is
appointed by the court to defend the
indigent litigant in a criminal case. The
client is not bound to pay the attorney for
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his services although he may be paid a
nominal fee taken from a public fund
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appropriated for the purpose.
5. Legal aid where the attorney renders legal
N
services for those who could not afford to
engage the services of paid counsel.
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6. Quantum meruit basis where there is no
specific contract between the lawyer and
T
the client, the lawyer is paid on quantum
meruit basis, that is, what the lawyer
deserves for his services.
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NOTE: When the claim for entitlement to
attorney's fees is contingent, but no written
agreement has been executed bearing the
supposed contingent fees, the only way to
determine the same is to apply the
principle of quantum meruit. The recovery
of attorney's fees on the basis of quantum
meruit is a device that prevents an
unscrupulous client from running away
with the fruits of the legal services of
counsel without paying for it and it also
avoids unjust enrichment on the part of the
attorney himself. (National Power
Corporation v. Heirs of Sangkay, G.R. No.
165828, 24 Aug. 2011)
113
Q: Sps. de Guzman engaged the legal services of
Atty. Rosario, Jr. as defense counsel in a
complaint filed against them. As represented by
Atty. Rosario, Spouses de Guzman won their case
at all levels, from RTC to the Supreme Court.
Atty. Rosario filed a Motion to Determine
Attorney's Fees. He alleged that he had a verbal
agreement with the Spouses and that he would
get 25% of the market value of the subject land
if the complaint filed against them would be
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dismissed. Despite the fact that he had
successfully represented them, the spouses
refused his written demand for payment of the
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contracted attorney’s fees. Is Atty. Rosario
entitled to recover his attorney’s fees?
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A: YES. In the case at bench, the attorney’s fees
being claimed by the petitioner refers to the
compensation for professional services rendered,
and not as indemnity for damages. The award of
₱10,000.00 made in its extraordinary concept as
indemnity for damages, forms part of the judgment
recoverable against the losing party and is to be
paid directly to Spouses de Guzman and not to Atty.
Rosario. Thus, to grant petitioner’s motion to
determine attorney’s fees would not result in a
double award of attorney’s fees. The amount of
attorney’s fees must be based on quantum meruit.
Atty. Rosario served as defense counsel for Spouses
de Guzman for almost 17 years. Given the
considerable amount of the time spent, the diligent
effort exerted by Rosario, and the quality of work
shown by him in ensuring the successful defense of
his clients, he clearly deserves to be awarded
reasonable attorney’s fees for services rendered.
Justice and equity dictate that petitioner be paid his
professional fee based on quantum meruit. (Rosario
v. de Guzman, G.R. No. 191247, 10 July 2013)
Q: Concept Placement retained the services of
Atty. Funk. Under their retainer contract, Atty.
Funk is to render various legal services except
litigation, quasi-judicial and administrative
proceedings and similar actions for which there
will be separate billings. Thereafter, Atty. Funk
represented Concept Placement in the case filed
against it for illegal dismissal. While the labor
case was still pending, Concept Placement
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
terminated the services of Atty. Funk.
Nevertheless, Atty. Funk continued handling the
case. Atty. Funk then advised Concept Placement
of the POEA’s favorable decision and requested
the payment of his attorney’s fees. Concept
Placement refused. Is Atty. Funk entitled to
attorney’s fees for assisting Concept Placement
as counsel in the labor case even if the services
of Atty. Funk were already terminated?
A: YES. The expiration of the retainer contract
between the parties during the pendency of the
labor case does not extinguish the respondent’s
right for attorney’s fees. The Court found that while
the petitioner and the respondent did not execute a
written agreement on the fees in the labor case
aside from the Retainer Agreement, the petitioner
did categorically and unequivocally admit in its
Compulsory Counterclaim that it has engaged the
services of the respondent as its counsel for a fee of
₱60,000.00 etc. (Concept Placement Resources Inc. v.
Atty. Funk, G.R. No. 137680, 06 Feb. 2004)
Q: Lui Enterprises, Inc. and Zuellig Pharma
Corporation entered into a 10-year contract of
lease over a parcel of land. Claiming to be the
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new owner of the leased property, the
Philippine Bank of Communications asked
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Zuellig Pharma to pay rent directly to it. Due to
the conflicting claims of Lui Enterprises and the
Philippine Bank of Communications over the
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rental payments, Zuellig Pharma filed a
complaint for interpleader with RTC.
A
On the award of attorney’s fees, the Court of
Appeals sustained the trial court in its award
since Zuellig Pharma was constrained to file the
action for interpleader with consignation in
order to protect its interests. Is Zuellig Pharma
entitled to attorney’s fees?
A: NO. The award of attorney’s fees is the exception
rather than the rule. It is not awarded to the
prevailing party “as a matter of course.” In this case,
the Court of Appeals awarded attorney's fees as
“Zuellig Pharma was compelled to litigate with third
persons or to incur expenses to protect its
interests.” This is not a compelling reason to award
attorney's fees. That Zuellig Pharma had to file an
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2023 GOLDEN NOTES
interpleader case to consign its rental payments did
not mean that Lui Enterprises was in bad faith in
insisting that rental payments be paid to it. (Lui
Enterprises, Inc. v. Zuellig Pharma Corporation, G.R.
No. 193494, 12 Mar. 2014)
Q: Atty. M is a partner in the law firm OMP &
Associates. C, a former classmate of Atty. M
engaged the legal services of Atty. M to handle
his appeal to the Court of Appeals (CA) from an
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adverse decision of the Regional Trial Court
(RTC) in his annulment case. After the notice to
file brief was issued by the CA, Atty. M met an
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accident which incapacitated him from further
engaging law practice. May Atty. P, his partner in
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the law firm, file the required appeal brief for C?
Explain your answer. (2014 BAR)
A: It depends on whether or not C knew Atty. M to
be a partner of the OMP & Associates law firm when
O
he hired him.
E
Generally, the retainer of a member of a law firm is
equivalent to the retainer of the firm itself. Thus, if
the said member dealt with dies or is incapacitated
to render service, then the law firm is bound to
provide a substitute. Hence, Atty. P may file the
required brief for C.
On the other hand, if Atty. M was retained alone,
without the knowledge that he belonged to a law
firm, P may not file the required brief without the
consent of the latter. There is no statement in the
problem that C knew M to be a member of the law
firm OMP & Associates at the time that C engaged his
services.
Q: Atty. Francisco’s retainer agreement with
RXU said that his attorney's fees in its case
against CRP “shall be 15% of the amounts
collected.” Atty. Francisco asked the trial court
to issue a temporary restraining order against
CRP but this was denied, prompting him to file a
petition for certiorari with the Court of Appeals
to question the order of denial. At this point,
RXU terminated Atty. Francisco’s services. When
the parties later settled their dispute amicably,
CRP paid RXU ₱100 million. Because of this, Atty.
Francisco came around and claimed a 15%
114
 I. LEGAL ETHICS
share in the amount. What should be his
attorney’s fees? (2011 BAR)
A: A reasonable amount that the court shall fix upon
proof of quantum meruit which means “as much as
he deserves.”
Instances when the Measure of Quantum Meruit
may be resorted to (2007, 2015 BAR)
1. There is no express contract for payment of
attorney’s fees agreed upon between the
lawyer and the client;
2. Although there is a formal contract for
attorney’s fees, the stipulated fees are
found unconscionable or unreasonable by
the court;
3. The contract for attorney’s fees is void due
O
to purely formal matters or defects of
execution;
E
4. The counsel, for justifiable cause, was not
able to finish the case to its conclusion;
N
5. Lawyer and client disregard the contract
for attorney’s fees; and
E
6. The client dismissed his counsel before the
T
termination of the case.
Q: A client refuses to pay Atty. A his contracted
A
attorney's fees on the ground that counsel did
not wish to intervene in the process of effecting
a fair settlement of the case. Decide. (2001 BAR)
A: Rule 1.04 of the CPR provides that "a lawyer shall
encourage his clients to avoid, end or settle a
controversy if it will admit of a fair settlement". If a
lawyer should refuse to intervene in a settlement
proceeding, his entitlement to his attorney's fees
may be affected. However, if he has already
rendered some valuable services to the client, he
must be paid his attorney's fees on the basis of
quantum meruit, even if it is assumed that he is
dismissed.
115
Instances When Counsel Cannot Recover the Full
Amount Despite Written Contract for Attorneys’
Fees (2006 BAR)
1. When the services called for were not
performed as when the lawyer withdrew
before the case was finished, he will be
allowed only reasonable fees;
2. When there is a justified dismissal of the
W
attorney, the contract will be nullified and
payment will be on the basis of quantum
meruit only. A contrary stipulation will be
A
invalid;
L
3. When the stipulated attorney’s fees are
unconscionable, when it is
disproportionate as compared to the value
of services rendered and is revolting to
human conscience;
4. When the stipulated attorney’s fees are in
excess of what is expressly provided by
law;
5. When the lawyer is guilty of fraud or bad
faith toward his client in the matter of his
employment;
6. When the counsel’s services are worthless
because of his negligence;
7. When the contract is contrary to law,
morals or public policy; or
8. Serving adverse interest unless the lawyer
proves that it was with the consent of both
parties.
Rationale behind the Rule that the Court may
reduce Unconscionable Attorney’s Fees
1. A lawyer is primarily an officer of the court;
hence, attorney’s fees should be subject to
judicial control; and
2. Sound public policy demands that courts
disregard stipulations for attorney’s fees
when they appear to be a source of
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speculative profit at the expense of the
debtor or mortgagor. (Borcena v. IAC, et. al.,
G.R. No. 70099, 07 Jan. 1987)
NOTE: A trial judge may not order the reduction of
the attorney’s fees on the ground that the attorney
is “below average standard of a lawyer.” The
opinion of the judge as to the capacity of a lawyer is
not a basis of the right to a lawyer’s fees. (Fernandez
v. Hon. Bello, G.R. No. L-14277, 30 Apr. 1960)
Acceptance Fees
An acceptance fee is generally non-refundable, but
such rule presupposes that the lawyer has rendered
legal service to his client. In the absence of such
service, the lawyer has no basis for retaining
complainant's payment. (Martin v. Atty. Dela Cruz,
A.C. No. 9832, 04 Sept. 2017)
Q: B hired Atty. Z to file a replevin case against C
for an agreed acceptance fee of ₱30,000.00
which was evidenced by a written contract. After
the complaint was filed by Atty. Z, B terminated
his services and hired a new lawyer for the same
amount of attorney’s fees. How much attorney’s
N
fees is Atty. Z entitled to? (2014 BAR)
E
A: Atty. Z is entitled to the entire amount of the
attorney’s fees agreed upon because his services
were terminated by the client without just cause.
T
(Sec. 26, Rule 138, Rules of Court, as amended)
A
Q: Rose engaged the services of Atty. Jack as
counsel for five cases. In the Retainer
Agreement, Rose agreed to pay Atty. Jack the
amount of ₱200,000.00 as Acceptance Fee for
the five cases plus an additional ₱1,500.00
Appearance Fee per hearing and if damages are
recovered, she would pay Atty. Jack 10% as
success fee.
Rose issued two checks amounting to
₱51,716.54 in favor of Atty. Jack. However,
despite receipt of said amounts, he failed to file
a case in one of the five cases referred to him;
one case was dismissed due to untimely appeal;
and another case was dismissed but he failed to
inform Rose about it before she left for abroad.
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Dissatisfied with the outcome of her cases she
demanded from Atty. Jack the return of all the
records she had entrusted to him, however, he
returned only two of the five cases. She filed a
complaint charging him with violation of Canon
16 and 16.03 of the CPR.
Was there a violation of the said Canon by the
respondent?
W
A: NONE. From the records of the case, it was found
that four of the cases referred to by Rose were filed
but were dismissed or terminated for causes not
A
attributable to Atty. Jack; and that there was no
probable cause to maintain the suit. No fault or
L
negligence can be attributed to Atty. Jack. Rose still
owes payment of acceptance fee because she only
paid ₱51, 716.54.
An acceptance fee is not a contingent fee but is an
O
absolute fee arrangement which entitles a lawyer to
get paid for his efforts regardless of the outcome of
E
the litigation. Dissatisfaction with the outcome of
the cases would not render void the retainer
agreement for Atty. Jack appears to have
represented the interest of Rose. (Yu v. Bondal, A.C.
No. 5534, 17 Jan. 2005)
NOTE: The expiration of the retainer contract
between the parties during the pendency of the
labor case does not extinguish the respondent’s
right to attorney’s fees. (Uy v. Gonzales, A.C. No. 5280,
30 Mar. 2004)
Contingency Fee Contract
One which stipulates that the lawyer will be paid for
his legal services only if the suit or litigation ends
favorably to the client. (Taganas v. NLRC, G.R. No.
118746, 07 Sept. 1995)
It is like a contract subject to a suspensive condition
wherein the obligation to pay the counsel is based
upon the outcome of the case. (Pineda, 2009)
A contingent fee arrangement is valid in this
jurisdiction and is generally recognized as valid and
binding but must be in an express contract. The
amount of contingent fee agreed upon by the parties
116
 I. LEGAL ETHICS
is subject to the stipulation that counsel will be paid
for his legal services only if the suit or litigation
prospers. A much higher compensation is allowed
as contingent fee in consideration of the risk that the
lawyer may get nothing if the suit fails. (Rayos v.
Atty. Hernandez, G.R. No. 169079, 12 Feb. 2007)
NOTE: If a lawyer employed on contingent basis
dies or becomes disabled before the final
adjudication or settlement of the case has been
obtained, he or his estate will be allowed to recover
the reasonable value of the services rendered. The
recovery will be allowed only after the successful
termination of the litigation in the client’s favor
(Morton v. Forsee, Ann. Cas. 1914 D. 197; Lapeña Jr.,
2009; Pineda, 2009)
Rationale for Contingent Fee Contracts
Contracts of this nature (contingent fee contract)
O
are permitted because they redound to the benefit
of the poor client and the lawyer especially in cases
E
where the client has meritorious cause of action, but
no means with which to pay for the legal services
unless he can, with the sanction of law, make a
N
contract for a contingent fee to be paid out of the
proceeds of the litigation. (Rayos v. Atty. Hernandez,
G.R. No. 169079, 12 Feb. 2007)
E
Limitation of the Stipulation regarding
T
Contingent Fee Contract
It must be reasonable based on the circumstance of
A
the case. Contingent fee contracts are under the
supervision and close scrutiny of the court in order
that clients may be protected from unjust charges.
Its validity depends on the measure of
reasonableness of the stipulated fees under the
circumstances of the case. Stipulated attorney’s fees
must not be unconscionable wherein the amount is
by far so disproportionate compared to the value of
the services rendered as to amount to fraud
perpetrated to the client. (Sesbreno v. CA, G.R. No.
117438, 08 June 1995)
Q: The stipulation between the lawyer and
counsel is as follows, “the attorney’s fees of the
Atty. X will be ½ of whatever the client might
117
recover from his share in the property subject of
the litigation.” Is the stipulation valid?
A: YES. The stipulation made is one of a contingent
fee which is allowed by the CPE and the CPR. It does
not violate the prohibition of acquisition of property
subject of the litigation by the lawyer provided for
in the Civil Code since the prohibition applies only
to a sale or assignment to the lawyer by his client
during the pendency of the litigation. The transfer
W
actually takes effect after the finality of the
judgment and not during the pendency of the case.
As such it is valid stipulation between the lawyer
A
and client.
L
Acceptance of an Initial Fee before or during the
progress of the litigation does not detract from
the contingent nature of the fees.
The acceptance of an initial fee before or during the
progress of the litigation does not detract from the
contingent nature of the fees, as long as the bulk
thereof is made dependent upon the successful
outcome of the action. (Francisco v. Matias, G.R. No.
L-16349, 31 Jan. 1964)
Q: Chester asked Laarni to handle his claim to a
sizeable parcel of land in Quezon City against a
well-known property developer on a contingent
fee basis. Laarni asked for 15% of the land that
may be recovered or 15% of whatever monetary
settlement that may be received from the
property developer as her only fee contingent
upon securing a favorable final judgment or
compromise settlement. Chester signed the
contingent fee agreement.
Assuming that the property developer settled
the case after the case was decided by the
Regional Trial Court in favor of Chester for ₱1
Billion. Chester refused to pay Laarni ₱150
Million on the ground that it is excessive. Is the
refusal justified? Explain. (2008 BAR)
A: The refusal of Chester to pay is unjustified. A
contingent fee is impliedly sanctioned by Rule
20.01(f) of the CPR. A much higher compensation is
allowed as contingent fees in consideration of the
risk that the lawyer will get nothing if the suit fails.
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In several cases, the Court has indicated that a
contingent fee of 30% of the money or property that
may be recovered is reasonable. Moreover, although
the developer settled the case, it was after the case
was decided by the RTC in favor of Chester, which
shows that Atty. Laarni has already rendered
service to the client.
Q: Assuming that there was no settlement and
the case eventually reached the Supreme Court
which promulgated a decision in favor of
Chester.
(This time) Chester refused to convey to Laarni
15% of the litigated land as stipulated on the
ground that the agreement violates Article 1491
of the Civil Code, which prohibits lawyers from
acquiring by purchase properties and rights,
which are the object of litigation in which they
take part by reason of their profession. Is the
refusal justified? Explain. (2008 BAR)
A: Chester’s refusal is not justified. A contingent fee
arrangement is not covered by Art. 1491 of the Civil
Code, because the transfer or assignment of the
property in litigation takes effect only upon finality
N
of a favorable judgment. (Director of Lands v. Ababa,
G.R. No. L-26096, 27 Feb. 1979; Macariola v.
E
Asuncion, A.C. No. 133-J, 31 May 1982)
Q: Evangelina Masmud’s husband, the late
T
Alexander, filed a complaint against his
employer for non-payment of permanent
A
disability benefits, medical expenses, sickness
allowance, moral and exemplary damages, and
attorney’s fees. He engaged the services of Atty.
Go, as his counsel and agreed to pay attorney’s
fees on a contingent basis, as follows: 20% of
total monetary claims as settled or paid and an
additional 10% in case of appeal. The Labor
Arbiter granted the monetary claims of
Alexander.
Eventually, after several appeals, the decision
being favorable to Evangelina (substituted her
deceased husband), the decision became final
and executory. Upon motion of Atty. Go, the
surety company delivered to the NLRC Cashier,
the check amounting to ₱3,454,079.20.
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2023 GOLDEN NOTES
Thereafter, Atty. Go moved for the release of the
said amount to Evangelina. Out of the said
amount, Evangelina paid Atty. Go the sum of
₱680,000.00. Dissatisfied, Atty. Go filed a motion
to record and enforce the attorney’s lien alleging
that Evangelina reneged on their contingent fee
agreement. Evangelina manifested that Atty.
Go’s claim for attorney’s fees of 40% of the total
monetary award was null and void based on Art.
111 of the Labor Code. Is her contention correct?
W
A: NO. Art. 111 of the Labor Code provides that in
cases of unlawful withholding of wages, the culpable
A
party may be assessed attorney's fees equivalent to
ten percent of the amount of the wages recovered.
L
Contrary to Evangelina’s proposition, the
aforementioned provision deals with the
extraordinary concept of attorney’s fees. It
regulates the amount recoverable as attorney's fees
O
in the nature of damages sustained by and awarded
to the prevailing party. It may not be used as the
E
standard in fixing the amount payable to the lawyer
by his client for the legal services he rendered.
In this regard, Sec. 24, Rule 138 of the ROC should
be observed in determining Atty. Go’s
compensation. The said Rule provides that an
attorney shall be entitled to have and recover from
his client no more than a reasonable compensation
for his services, with a view to the importance of the
subject matter of the controversy, the extent of the
services rendered, and the professional standing of
the attorney. No court shall be bound by the opinion
of attorneys as expert witnesses as to the proper
compensation but may disregard such testimony
and base its conclusion on its own professional
knowledge. A written contract for services shall
control the amount to be paid therefor unless found
by the court to be unconscionable or unreasonable.
The retainer contract between Atty. Go and
Evangelina provides for a contingent fee. The
contract shall control in the determination of the
amount to be paid, unless found by the court to be
unconscionable or unreasonable. The criteria found
in the CPR are also to be considered in assessing the
proper amount of compensation that a lawyer
should receive. (Canon 20, Rule 20.01, CPR;
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 I. LEGAL ETHICS
Evangelina Masmud v. NLRC, et. al., G.R. No. 183385, recovered of the properties. Did Atty. Bañez, Jr
13 Feb. 2009) violate any canon of the CPR?

Champertous Contract A: YES. He violated Canon 16.04 of the CPR, which

It is one where the lawyer stipulates with his client
in the prosecution of the case that he will bear all the
expenses for the recovery of things or property
being claimed by the client, and the latter agrees to
pay the former a portion of the thing or property
states that lawyers shall not lend money to a client,
except when in the interest of justice, they have to
advance necessary expenses in a legal matter they
are handling for the client. He violated such canon
because the contract for legal services he has
executed with complainants is in the nature of a

W
recovered as compensation. (Baltazar et al. v. Bañez, champertous contract –an agreement whereby an
A.C. No. 9091, 11 Dec. 2013) attorney undertakes to pay the expenses of the
proceedings to enforce the client’s rights in

A
A champertous contract is considered VOID. exchange for some bargain to have a part of the
thing in dispute. (Baltazar et. al. v. Atty. Bañez,

It is void due to public policy, because it would make
him acquire a stake in the outcome of the litigation
which might lead him to place his own interest
above that of the client. (Bautista v. Gonzales, A.M.
No. 1625, 12 Feb. 1990)
L
Jr., A.C. No. 9091, 11 Dec. 2013)
Q: The contract of attorney's fees entered into by
Atty. Quintos and his client, Susan, stipulates
that if a judgment is rendered in favor of the

O
latter, Atty. Quintos gets 60% of the property
Contingent vs. Champertous Contract recovered as contingent fee. In turn, he will

E
assume payment of all expenses of the litigation.
CONTINGENT CHAMPERTOUS May Atty. Quintos and Susan increase the
CONTRACT CONTRACT amount of the contingent fee to 80%? (2006

N
As to the Manner of Payment BAR)

Payable in kind – a A: NO. Atty. Quintos and Susan cannot agree to

Payable in cash –

E
portion of the thing or increase the amount of the contingent fee to 80%
dependent on the
property recovered as because the agreement is champertous. Even if
success of the litigation
compensation

T
there is no champertous provision present, the
As to the Extent of Undertaking contingent fee of 80% of the property recovered
could still be considered as unconscionable, because
Lawyers do not Lawyers undertake to

A
undertake to pay all pay all expenses of
expenses of litigation litigation
As to Validity
Valid Void
Q: Complainants engaged the legal services of
Atty. Bañez, Jr. in connection with the recovery
of their properties from Fevidal. Complainants
signed a contract of legal services, where it was
agreed that they would not pay acceptance and
appearance fees to Atty. Bañez, Jr., but that the
docket fees would instead be shared by the
parties. Under the contract, complainants would
pay respondent 50% of whatever would be
it is so disproportionate as to indicate that an unjust
advantage had been taken of the client, and is
revolting to human conscience. Contracts for
attorney's fees are always subject to control by the
courts.
Q: A inherited a parcel of land situated in
Batasan Hills which is occupied by informal
settlers. He wanted to eject the occupants, but he
has no financial means to pursue the ejectment
case. He contracted the services of Atty. B, who
agreed to defray all the expenses of the suit on
the condition that he will be paid one-half of the
property to be recovered as his compensation.
What is this kind of attorney’s fees? Can Atty. B
enforce this contract against A? What are the

119
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respective remedies relative to the collection of
attorney’s fees, if any, of A and Atty. B against
each other? (2014 BAR)
A: This is a champertous contract and not a
contingent contract. In the problem, Atty. B defrays
all the expenses for litigation and gets 50% of the
property to be recovered as his compensation. This
has the characteristics of a champertous contract.
Hence, void for being contrary to public policy. The
legal profession exists to serve the ends of justice
and is not to be conducted as a business enterprise.
Since the contract is void, Atty. B cannot enforce it
against A but A has a cause of action against Atty. B
for unethical conduct.
Q: RREC entered into an agreement with Pasay
City for the reclamation of the foreshore lands
along Manila Bay. Subsequently, the Republic of
the Philippines sued for recovery of possession
and damages with writ of preliminary
injunction.
The said case reached the Supreme Court which
ruled that both the agreement and Ordinance
No. 121, as amended, were declared null and
N
void. The service of Atty. Roxas of RGR &
Associates, the counsel of RREC was terminated
E
by the latter after filing a complaint and motion
for inhibition against three justices and sheriff
who nullified the Writ of Execution and Sheriff
T
De Jesus' Notice alleging misconduct without
RREC’S authority.
A
Despite his termination as counsel, Atty. Roxas
continues to insist that he is RREC's legal
counsel. He subsequently filed a Pro Hac Vice
Petition in his personal capacity and without
RREC's authority, Atty. Roxas asserts that RGR &
Associates is RREC's rightful counsel. And that
the termination of RGR & Associates' legal
services was made in bad faith. RREC's
engagement with his firm was made allegedly on
a contingent or a 'no cure, no pay' basis.
Atty. Roxas claims that he was RREC's lawyer for
more than 20 years. He shouldered its litigation
expenses "at all levels of the judiciary" Thus,
Atty. Roxas alleges that RGR & Associates'
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2023 GOLDEN NOTES
engagement with RREC, being one coupled with
interest, was irrevocable. Is he correct?
A: NO. Even assuming Atty. Roxas pursued RREC’s
case at his firm’s expense and on a contingent basis,
the court cannot allow such an agreement. An
agreement of this nature is champertous and void
for being against public policy.
In Nocom v. Camerino (G.R. No. 182984, 10 Feb.
W
2009), A champertous contract is defined as a
contract between a stranger and a party to a lawsuit,
whereby the stranger pursues the party’s claim in
A
consideration of receiving part or any of the
proceeds recovered under the judgment; a bargain
L
by a stranger with a party to a suit, by which such
third person undertakes to carry on the litigation at
his own cost and risk, in consideration of receiving,
if successful, a part of the proceeds or subject sought
to be recovered.
O
As officers of the court, lawyers should not exploit
E
nor take advantage of their client’s weaknesses.
Rule 16.04 of the CPR prohibits a lawyer from
lending money to a client except, when in the
interest of justice, he or she has to advance
necessary expenses in a legal matter he or she is
handling for the client. The case of Bautista v.
Gonzales has settled that although a lawyer may, in
good faith, advance the expenses of litigation, the
same should be subject to reimbursement. Thus,
absent a reimbursement agreement, the
champertous contract is void. Lawyers who obtain
an interest in the subject matter of litigation create
a conflict-of-interest situation with their clients and
thereby directly violate the fiduciary duties they
owe their clients. (Roxas v. Republic Real Estate
Corporation, G.R. No. 2082015, 01 June 2016)
Attorney’s Retaining Lien
A retaining lien is the right of an attorney to retain
the funds, documents and papers of his client which
have lawfully come into his possession and may
retain the same until his lawful fees and
disbursements have been paid and may apply such
funds to the satisfaction thereof. (Vda. De Caiña, et
al. v. Victoriano et al., G.R. No. L-12905, 26 Feb. 1959)
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 I. LEGAL ETHICS
NOTE: A lawyer is not entitled to unilaterally
appropriate his client’s money for himself by the
mere fact alone that the client owes him attorney’s
fees. (Rayos v. Hernandez, G.R. No. 169079, 12 Feb.
2007)
However, he shall have a lien over the funds and
may apply so much thereof as may be necessary to
satisfy his lawful fees and disbursements, giving
notice promptly thereafter to his client. (Rule 16.03,
CPR)
Elements for the exercise of retaining lien
(P-R-U)
1. Attorney-client Relationship;
2. Lawful Possession by the lawyer of the client’s
funds, documents and papers in his
professional capacity; and
O
3. Unsatisfied claim for attorney’s fees or
E
disbursements. (Miranda v. Atty. Carpio, A.C. No.
6281, 26 Sept. 2011; Ampil v. Judge Agrava, G.R.
No. L-27394, 31 July 1970)
N
Attorney’s Charging Lien
E
A charging lien is the right of a lawyer to the same
extent upon all judgments for the payment of
T
money, and executions issued in pursuance of such
judgments which he has secured in a litigation of his
client, from and after the time when he shall have
A
caused a statement of his claim of such lien to be
entered upon the records of the court rendering
such judgment, or issuing such execution, and shall
have caused written notice thereof to be delivered
to his client and to the adverse party; and he shall
have the same right and power over such judgments
and executions as his client would have to enforce
his lien and secure the payment of his fees and
disbursements. (Sec. 37, Rule 138)
NOTE: The provision permits the registration of an
attorney's lien, although the lawyer concerned does
not finish the case successfully in favor of his client,
because an attorney who quits or is dismissed
before the conclusion of his assigned task is as much
entitled to the protection of the rule. Otherwise, a
121
client may easily frustrate its purpose. (Palanca v.
Pecson, G.R. Nos. L-6334 and L-6346, 25 Feb. 1954)
Elements for Exercise of Charging Lien
(S-A-CA-R-Mo)
1. Attorney-client relationship;
2. Legal Services was rendered;
W
3. Favorable Money judgment secured by the
counsel for his client;
4. The attorney has a Claim for Attorney’s fees
A
or advances; and
L
5. A statement of the claim has been duly
Recorded in the case with notice thereof
served upon the client and the adverse
party.
NOTE: A charging lien, to be enforceable as a
security for the payment of attorney’s fees, requires
as a condition sine qua non a judgment for money
and execution in pursuance of such judgment
secured in the main action by the attorney in favor
of his client. (Rolloza et al. v. Eastern
Telecommunications Phils., Inc. G.R. No. 104600, 02
July 1999; MEBTC v. CA, G.R. No. 86100-03, 23
January 1990)
Retaining Lien vs. Charging Lien
1. Retaining Lien - It refers to the right of the
attorney to retain the funds, documents, and
papers of his client which have lawfully come
into his possession until his lawful fees and
disbursements have been paid and to apply
such funds to the satisfaction thereof.
2. Charging Lien - It is the right which the
attorney has upon all judgments for the
payment of money, and executions issued in
pursuance of said judgments, which he has
secured in litigation of his client.
NOTE: Under this rule, this lien, whether
retaining or charging, takes legal effect only
from and after, but not before, notice of said lien
has been entered in the record and served on
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the adverse party. (Vda. De Caiña, et al. v. Q: Upon being replaced by Justice C, Atty. B, the
Victoriano et al., G.R. No. L-12905, 26 Feb 1959) former counsel of the parents of the victims of
the OZONE Disco tragedy, was directed to
RETAINING LIEN CHARGING LIEN forward all the documents in his possession to
As to Nature Justice C. Atty. B refused, demanding full
compensation pursuant to their written
Being a passive lien, it It is an active lien
contract. Sensing that a favorable judgment was
cannot be actively which can be enforced
forthcoming, Atty. B filed a motion in court
enforced. It is a general by execution. It is a
relative to his attorney’s fees, furnishing his
lien. special lien.
former clients with copies thereof. Is Atty. B

W
As to Basis legally and ethically correct in refusing to turn
Lawful possession of over the documents and in filing the motion?
Securing of a favorable Explain. (1996 BAR)

A
papers, documents,
money judgment for
property belonging to
client. A: YES. He is entitled to a retaining lien which gives
the client.

L
him the right to retain the funds, documents and
As to Coverage papers of his client which have lawfully come to his
Papers, documents, possession until his lawful fees and disbursement
All judgments for the have been paid. (Sec. 37, Rule 138, ROC; Rule 16.03,
and properties in the
payment of money and CPR)

O
lawful possession of
execution issued in
the attorney by reason
pursuance of such He is also legally and ethically correct in filing a
of his professional

E
judgment. motion in court relative to his fees. He is entitled to
employment.
a charging lien upon all judgments for the paying of
As to Effect money, and executions issued in pursuance of such

N
As soon as the attorney As soon as the claim for judgments, which he has secured in a litigation of his
gets possession of attorney’s fees had client, from and after the time when the records of
papers, documents, or been entered into the the court rendering such judgment or issuing such

E
property. records of the case. execution.

As to Applicability Q: M engaged the services of Atty. D to prosecute

T
his annulment of marriage case in the Regional
Generally, exercised Trial Court. After a long-drawn trial, Atty. D was
May be exercised
only when the attorney

A
before judgment or able to secure a favorable judgment from the
had already secured a court. Unfortunately, M has failed to pay in full
execution or
favorable judgment for the stipulated attorney’s fees of Atty. D. How can
regardless thereof.
his client. Atty. D collect his fees from M? Discuss fully.
(2014 BAR)
As to Extinguishment

When possession When client loses A: D can exercise the remedy of retaining lien over
lawfully ends as when action as lien may only the documents and other pieces of evidence which
lawyer voluntarily be enforced against have lawfully come to his possession, under Sec. 37,
parts with funds, judgment awarded in Rule 138 of the Revised Rules of Court. The payment
documents, and favor of client, of attorney's fee is based on the services rendered
papers of client or proceeds and not dependent on the success or failure of the
offers them as thereof/executed case.
evidence. thereon.

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2023 GOLDEN NOTES
 I. LEGAL ETHICS
Q: For services to be rendered by Atty. Hamilton
as counsel for Gener in a civil case involving the
recovery of the ownership and possession of a
parcel of land with an area of 5,000 square
meters, the two of them agreed on a success fee
for Atty. Hamilton of ₱50,000.00 plus 500
square meters of the land. The trial court
rendered judgment in favor of Gener, which
became final and executory. After receiving
₱50,000.00, Atty. Hamilton demanded the
transfer to him of the promised 500 square
meters of the land.
Instead of complying, Gener brought an
administrative complaint charging Atty.
Hamilton with violation of the Code of
Professional Responsibility and Art. 1491(5) of
the Civil Code for demanding the delivery of a
portion of the land subject of the litigation. Is
Atty. Hamilton liable under the Code of
O
Professional Responsibility and the Civil Code?
(2017 BAR)
E
A: Atty. Hamilton is not liable under the CPR and the
NCC. The agreement between Atty. Hamilton and his
N
client, Gener, is a contingent fee contract because it
is based on the success of the litigation. The fee is a
success fee of P50,000.00 plus 500 sq. m. of the land
E
involved in the case that he was handling. This is a
contingent fee contract which is recognize as one of
T
the criteria for determining the amount of the
attorney’s fees (Rule 20.01, Canon 20, CPR; Canon 13,
CPE). A contingent fee agreement does not violate
A
Art. 1491 of the NCC, because the transfer or
assignment of the property in litigation takes effect
only after the finality of a favorable judgement
(Director of Lands v. Ababa, et al., G.R. No. L-26096,
27 Feb. 1979). This property ceases to be property
in litigation.
123
Rule 20.02
A lawyer shall, in cases of referral, with the
consent of the client, be entitled to a division of
fees in proportion to the work performed and
responsibility assumed.
Fees and Controversies with Clients
This is not in the nature of a broker’s commission.
W
Lawyer-Referral System
A
Under this system, if another counsel is referred to
the client, and the latter agrees to take him as
collaborating counsel, and there is no express
L
agreement on the payment of attorney’s fees, the
said counsel will receive attorney’s fees in
proportion to the work performed and
responsibility assumed. The lawyers and the client
may agree upon the proportion but in case of
disagreement, the court may fix the proportional
division of fees. (Lapeña Jr., 2009)
This rule makes it improper for a lawyer to receive
compensation for merely recommending another
lawyer to his client, otherwise, it would tend to
germinate commercialism and destroy proper
appreciation of professional responsibility. The
referral of a client by a lawyer to another lawyer
does not entitle the former to a commission nor to a
portion of the attorney's fees. It is only when, in
addition to referral, he performs legal service or
assumes responsibility, thus, he will be entitled to a
fee. (Agpalo, 2009)
Rule 20.03
A lawyer shall not, without the full knowledge
and consent of the client, accept any fee, reward,
costs, commission, interest, rebate or forwarding
allowance or other compensation whatsoever
related to his professional employment from
anyone other than the client.
(1997, 2003 BAR)
It is intended to secure the fidelity of the lawyer to
his client’s cause and to prevent a situation in which
the receipt by him of a rebate or commission from
another with the client’s business may interfere
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
with the full discharge of his duty to his client.
(Report of the IBP Committee)
There should be no room for suspicion on the part
of the client that his lawyer is receiving a fee,
reward, commission, or compensation from third
parties with hostile interests. (Agpalo, 2009)
GR: Fees shall be received from the client only.
XPN: A lawyer may receive compensation from a
person other than his client when the latter has full
knowledge and approval thereof. (Sec. 20(e), Rule
138, ROC, as amended)
Q: Atty. X, lawyer of a labor union of rank-and-
file employees succeeded in the negotiation of a
collective bargaining agreement for the rank-
and-file employees by virtue of which salary
increase was received by the rank-and-file
employees. At the same time the employer
granted salary increase to supervisory
employees who were not members of the union.
Atty. X now seeks to collect from the non-
supervisory employees’ attorney’s fees for this
increase in salaries. Is he entitled to such fees?
N
A: NO. Atty. X is not entitled to collect attorney’s fees
E
from the non-union supervisory employees. A
lawyer who rendered services to a party, who did
not employ him nor authorize his employment,
T
cannot recover compensation even if his services
have redounded to the benefit of such party.
A
Otherwise, anyone might impose obligations upon
another without the latter’s knowledge or consent,
and even against his protest as what happened in
the present case.
In labor cases such as this one, where the company
grants the same salary increase to non-union
supervisory employees similar to the rank-and-file
employees who were the clients of the lawyer, it is
not because of the special efforts of the latter’s
lawyer that the non-union supervisory employees
benefited but because of the company’s policy of
non-discrimination.
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2023 GOLDEN NOTES
The lawyer is not entitled to claim attorney’s fees
from the supervisors for the benefits they received.
(Orosco v. Hernaez, G.R. No. L-541&9, 02 Dec. 1901)
Rule 20.04
A lawyer shall avoid controversies with clients
concerning his compensation and shall resort to
judicial action only to prevent imposition,
injustice or fraud.
W
(1998 BAR)
GR: A lawyer should avoid the filing of any case
A
against a client for the enforcement of attorney’s
fees.
L
NOTE: The legal profession is not a money-making
trade but a form of public service. Lawyers should
avoid giving the impression that they are
mercenaries (Perez v. Scottish Union and National
O
Insurance Co., C.A. No. 8977, 22 Mar. 1946). It might
even turn out to be unproductive for him for
potential clients are likely to avoid a lawyer with a
E
reputation of suing his/her clients.
XPNs:
1. To prevent imposition;
2. To prevent injustice; or
3. To prevent fraud. (Rule 20.04, CPR)
NOTE: A client may enter into a compromise
agreement without the intervention of the lawyer,
but the terms of the agreement should not deprive
the counsel of his compensation for the professional
services he had rendered. If so, the compromise
shall be subjected to said fees. If the client and the
adverse party who assented to the compromise are
found to have intentionally deprived the lawyer of
his fees, the terms of the compromise, insofar as
they prejudice the lawyer, will be set aside, making
both parties accountable to pay the lawyer’s fees.
But in all cases, it is the client who is bound to pay
his lawyer for his legal representation. (Atty. Gubat
v. NPC, G.R. No. 167415, 26 Feb. 2010)
124
 I. LEGAL ETHICS
How Lawyers claim Attorney's Fees
1. In the same action in which the services of a
lawyer had been rendered - Here, the remedy
for recovering attorney’s fees as an incident of
the main action may be availed of only when
something is due to the client. Attorney’s fees
cannot be determined until after the main
litigation has been decided and the subject of
the recovery is at the disposition of the court.
The issue over attorney’s fees only arises when
something has been recovered from which the
fee is to be paid; and
2. In a separate action.
NOTE: While a claim for attorney’s fees may be
filed before the judgment is rendered, the
determination as to the propriety of the fees or
as to the amount thereof will have to be held in
O
abeyance until the main case from which the
lawyer’s claim for attorney’s fees may arise has
E
become final. Otherwise, the determination to
be made by the courts will be premature. Of
course, a petition for attorney’s fees may be
N
filed before the judgment in favor of the client is
satisfied or the proceeds thereof delivered to
the client. (Rosario, Jr. v. De Guzman et. al., G.R.
E
No. 191247, 10 July 2013)
T
Instances when an Independent Civil Action to
recover Attorney’s Fees is necessary
A
1. Main action is dismissed or nothing is
awarded;
2. Court has decided that it has no jurisdiction
over the action or has already lost it;
3. Person liable for attorney’s fees is not a
party to the main action;
4. Court reserved to the lawyer the right to file
a separate civil suit for recovery of
attorney’s fees;
5. Services for which the lawyer seeks
payment are not connected with the subject
litigation; (Otto Gmur, Inc. v. Eulogio P.
125
Revilla, G.R. No. 34798, 13 Feb. 1931)
6. Judgment debtor has fully paid all of the
judgment proceeds to the judgment
creditor and the lawyer has not taken any
legal step to have his fees paid directly to
him from the judgment proceeds; and
7. Failure to exercise charging Lien.
W
Effects of the Nullity of Contract on the Right to
Attorney’s Fees
A
If the nullification is due to:
L
1. Illegality of its object. - The lawyer is precluded
from recovering; or
2. Formal defect (or because the court has
found the amount to be unconscionable) - The
lawyer may recover for any services rendered
based on quantum meruit.
Kinds of Lawyer (according to services rendered
and the compensation they are entitled to)
1. Counsel de parte - He is entitled to the
reasonable attorney’s fees agreed upon, or
in the absence thereof, on quantum meruit
basis;
2. Counsel de officio - He may not demand
from the accused attorney’s fees even if he
wins the case. He may, however, collect
from the government funds, if available
based on the amount fixed by the court; and
3. Amicus Curiae – He is not entitled to
attorney’s fees.
Concepts of Attorney’s Fees
1. Ordinary Attorney's Fee - The reasonable
compensation paid to a lawyer by his client for
the legal services he has rendered to the latter;
(Ortiz v. San Miguel Corporation, G.R. No.
151983-84, 31 July 2008) and
NOTE: The basis for this compensation is the
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
fact of his employment by and his agreement
with the client.
2. Extraordinary Attorney's Fee -. An indemnity
for damages ordered by the court to be paid by
the losing party in litigation. (Ortiz v. San Miguel
Corporation, G.R. No. 151983-84, 31 July 2008)
NOTE: The basis for this is any of the cases
provided for by law where such award can be
made, such as those authorized in Art. 2208 of
the NCC, and is payable to the client, not to the
lawyer unless they have agreed that the award
shall pertain to the lawyer as additional
compensation or as part thereof.
Ordinary Concept of Attorney’s Fees
Q: Aurora Pineda filed an action for declaration
of nullity of marriage against Vinson Pineda,
who was represented by Attys. Clodualdo de
Jesus, Carlos Ambrosio and Emmanuel Mariano.
The marriage was subsequently declared null
and void.
Throughout the proceedings, counsels and their
N
relatives and friends availed of free products
and treatments from Vinson’s dermatology
E
clinic. This notwithstanding, they billed him
additional legal fees amounting to ₱16.5 million
which he, however, refused to pay.
T
Instead, he issued them several checks totaling
A
₱1.12 million as full payments as settlement.
Still not satisfied, the three lawyers filed in the
same court a motion for payment of lawyers'
fees for ₱50 million, which is equivalent to 10%
of the value of the properties awarded to Pineda
in the case. Is their claim justified?
A: NO. Clearly, what they were demanding was
additional payment for legal services rendered in
the same case. Demanding ₱50 million on top of the
generous sums and perks already given to them was
an act of unconscionable greed. They could not
charge Pineda a fee based on percentage, absent an
express agreement to that effect. The payments to
them in cash, checks, free products and services
from Pineda’s business more than sufficed for the
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
work they did. The full payment for settlement
should have discharged Vinson's obligation to them.
As lawyers, they should be reminded that they are
members of an honorable profession, the primary
vision of which is justice. It is the lawyer’s
despicable behavior in the case at bar which gives
lawyering a bad name in the minds of some people.
The vernacular has a word for it: nagsasamantala.
W
The practice of law is a decent profession and not a
money-making trade. Compensation should be but
a mere incident. (Pineda v. de Jesus, G.R. No. 155224,
A
23 Aug. 2006)
L
Extra-Ordinary Concept of Attorney’s Fees
GR: Attorney’s fees as damages are not recoverable.
An adverse decision does not ipso facto justify their
award in favor of the winning party. (Garcia v.
O
Gonzales, G.R. No. L-48184, 12 Mar. 1990)
E
XPNs: Attorney’s fees as damages may be awarded
in the following circumstances:
1. When there is an agreement;
2. When exemplary damages are awarded;
3. When defendant’s action or omission
compelled plaintiff to litigate;
4. In criminal cases of malicious prosecution:
a. Plaintiff was acquitted; and
b. The person who charged him
knowingly made the false
statement of facts or that the filing
was prompted by sinister design to
vex him;
5. When the action is clearly unfounded;
6. When defendant acted in gross and evident
bad faith;
7. In actions for support;
8. In cases of recovery of wages;
9. In actions for indemnity under workmen’s
compensation and employee’s liability
laws;
10. In a separate civil action arising from a
crime;
11. When at least double costs are awarded
126
 I. LEGAL ETHICS
(costs of suit does not include attorney’s
fees);
12. When the court deems it just and equitable;
or
13. When a special law so authorizes. (Art.
2208, NCC)
Rationale why that the Court shall state the
Reason for the Award of Attorney’s Fees in in its
Decision
It is necessary for the court to make findings of facts
and law that would bring the case within the
exception and justify the award of attorney’s fees
since the grant is an exception, rather than the
general rule. (Agustin v. CA, G.R. No. 84751, 06 June
1990)
NOTE: Attorney’s fees must be specifically prayed
for and proven and justified in the decision itself
O
(Trans-Asia Shipping Lines, Inc. v. CA, G.R. No.
118126, 04 Mar. 1996).
E
CANON 21
A lawyer shall preserve the confidence and
N
secrets of his client even after the attorney-client
relation is terminated.
E
Preservation of Client’s Confidence and Secrets
T
The protection given to the client is perpetual and
does not cease with the termination of the litigation
nor is affected by the party ceasing to employ the
A
attorney and employ another or any other change of
relation between them. It even survives the death of
the client (Bun Siong Yao v. Aurelio, A.C. No. 7023, 30
Mar. 2006).
NOTE: The rule applies to matters disclosed by
prospective clients. (Rule 15.02, Code of Professional
Responsibility)
Rule 21.01
A lawyer shall not reveal the confidences or
secrets of his client except:
(a) When authorized by the client after
acquainting him of the consequences of the
disclosure;
127
(b) When required by law; and
(c) When necessary to collect his fees or to defend
himself, his employees or associates or by judicial
action.
Prohibited Disclosures and Use
GR: A lawyer shall not reveal the confidences and
secrets of his client.
W
NOTE: An attorney or person reasonably believed
by the client to be licensed to engage in the practice
A
of law cannot, without the consent of the client, be
examined as to any communication made by the
L
client to him or her, or his or her advice given
thereon in the course of, or with a view to,
professional employment, nor can an attorney’s
secretary, stenographer, or clerk, or other persons
assisting the attorney be examined, without the
consent of the client and his or her employer,
concerning any fact the knowledge of which has
been acquired in such capacity. (Sec. 24(b), Rule 130,
Rules of Court, as amended)
XPNs:
1. When authorized by his client after
acquainting him of the consequences of the
disclosure;
NOTE: The only instance where the waiver
of the client alone is insufficient is when the
person to be examined regarding any
privileged communication is the attorney’s
secretary, stenographer or clerk or other
persons assisting the attorney, in respect to
which, the consent of the attorney is
likewise necessary.
2. When required by law; or
3. When necessary to collect his fees or to
defend himself, his employees by judicial
action.
NOTE: Payment of retainer fee is not
essential before an attorney can be
required to safeguard a prospective client’s
secret acquired by the attorney during the
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
consultation with the prospective client,
even if the attorney did not accept the
employment. (Rule 15.02, CPR)
1. When authorized by his client after acquainting
him of the consequences of the disclosure;
NOTE: The only instance where the waiver of
the client alone is insufficient is when the
person to be examined regarding any privileged
communication is the attorney’s secretary,
stenographer or clerk or other persons
assisting the attorney, in respect to which, the
consent of the attorney is likewise necessary.
2. When required by law; or
3. When necessary to collect his fees or to defend
himself, his employees by judicial action.
NOTE: Payment of retainer fee is not essential
before an attorney can be required to safeguard
a prospective client’s secret acquired by the
attorney during the consultation with the
prospective client, even if the attorney did not
accept the employment. (Rule 15.02, CPR)
N
Instances when a Lawyer may Testify as a
Witness in a Case which he is Handling for a
E
Client
1. On formal matters, such as the mailing,
T
authentication or custody of an instrument
and the like;
A
2. Acting as an expert on his fee;
3. Acting as an arbitrator;
4. Depositions; and
5. On substantial matters in cases where his
testimony is essential to the ends of justice,
in which event he must, during his
testimony, entrust the trial of the case to
another counsel.
Rule 21.02
A lawyer shall not, to the disadvantage of his
client, use information acquired in the course of
employment, nor shall he use the same to his own
advantage or that of a third person, unless the
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
client with full knowledge of the circumstances
consents thereto.
Rule 21.05
A lawyer shall adopt such measures as may be
required to prevent those whose services are
utilized by him, from disclosing or using
confidences or secrets of the client.
W
Rule 21.06
A lawyer shall avoid indiscreet conversation
about a client’s affairs even with members of his
A
family.
L
Rule 21.07
A lawyer shall not reveal that he has been
consulted about a particular case except to avoid
possible conflict of interest.
O
Q: Bun Siong Yao is a majority stockholder of
Solar Farms & Livelihood Corporation and Solar
E
Textile Finishing Corporation. Atty. Leonardo
Aurelio is also a stockholder and the retained
counsel of both the corporation and Bun Siong
Yao. The latter purchased several parcels of land
using his personal funds which were registered
in the name of the corporations upon the advice
of Atty. Aurelio.
After a disagreement between Atty. Aurelio and
Bun Siong Yao’s wife, the former demanded the
return of his investment in the corporations.
When Yao refused to pay, he filed 8 charges for
estafa and falsification of commercial
documents against Yao, his wife and the other
officers of the corporation. Yao alleged that the
series of suits is a form of harassment and
constitutes an abuse of the confidential
information which Atty. Aurelio obtained by
virtue of his employment as counsel. Did Atty.
Aurelio abuse the confidential information he
obtained by virtue of his employment as
counsel?
A: YES. The long-established rule is that an attorney
is not permitted to disclose communications made
to him in his professional character by a client,
unless the latter consents. Atty. Aurelio took
128
 I. LEGAL ETHICS
advantage of his being a lawyer in order to get back
at Yao. In doing so, he has inevitably utilized
information he has obtained from his dealings with
Yao and Yao's companies for his own end.
Lawyers cannot be allowed to exploit their
profession to exact vengeance or to use it as a tool
for instigating hostility against any person
especially against a client or former client. (Bun
Siong Yao v. Aurelio, A.C. No. 7023, 30 Mar. 2006)
Acts punished under Art. 209 of the RPC
(Betrayal of Trust by Attorney)
1. By causing damage to his client, either:
a. by any malicious breach of
professional duty; or
b. by inexcusable negligence or
ignorance;
O
2. By revealing any of the secrets of his clients
learned by him in his professional capacity; or
E
3. By having undertaken the defense of a client or
having received confidential information from
N
said client in a case, shall undertake the defense
of the opposing party in the same case, without
the consent of his first client.
E
Rule 21.03
T
A lawyer shall not, without the written consent of
his client, give information from his files to an
outside agency seeking such information for
A
auditing, statistical, bookkeeping, accounting,
data processing, or any other similar purposes.
Q: Certain government officers, armed with a
search warrant duly issued, seized among other
things, a filing cabinet belonging to Atty. X. In
seeking the return of the cabinet, Atty. X claimed
that the cabinet contained documents and
articles belonging to his clients but the
government refused to return the cabinet. Atty.
X petitioned the court which issued the warrant,
praying that the agents be prohibited from
opening the cabinet. Should Atty. X’s petition be
given due course?
129
A: YES. The lower court cannot order the opening of
said cabinet. To do so is in violation of his rights as
an attorney. It would be tantamount to compelling
him to disclose his client’s secrets. (Lapeña Jr., 2009)
NOTE: Confidential information can be obtained
even against government agencies and
instrumentalities. (Funa, 2009)
Rule 21.04
W
A lawyer may disclose the affairs of a client of the
firm to partners or associates thereof unless
prohibited by the client.
A
Disclosure, When Allowed
L
Professional employment of a law firm is equivalent
to retainer of members thereof. In a law firm,
partners or associates usually consult one another
involving their cases and some work as a team.
Consequently, it cannot be avoided that some
information about the case received from the client
may be disclosed to the partners or associates.
(Agpalo, 2009)
Q: In need of legal services, Niko secured an
appointment to meet with Atty. Henry of HENRY
& MEYER LAW OFFICES. During the meeting,
Niko divulged highly private information to
Atty. Henry, believing that the lawyer would
keep the confidentiality of the information.
Subsequently, Niko was shocked when he
learned that Atty. Henry had shared the
confidential information with his law partner,
Atty. Meyer, and their common friend, private
practitioner Atty. Canonigo. When confronted,
Atty. Henry replied that Niko never signed any
confidentiality agreement, and that he shared
the information with the two lawyers to secure
affirmance of his legal opinion on Niko’s
problem. Did Atty. Henry violate any rule of
ethics? Explain fully. (2008 BAR)
A: YES. Atty. Henry violated Canon 21 of the CPR by
sharing information obtained from his client Niko
with Atty. Canonigo. Canon 20 provides that “a
lawyer shall preserve the confidences or secrets of
his client even after the attorney-client relationship
is terminated.”
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
The fact that Atty. Canonigo is a friend from whom
he intended to secure legal opinion on
Niko’s problem, does not justify such disclosure. He
cannot obtain a collaborating counsel without the
consent of the client. (Rule 18.01, CPR)
On the other hand, Atty. Henry did not violate Canon
21 in sharing information with his partner Atty.
Meyer. Rule 21.04 of the CPR specifically provides
that “a lawyer may disclose the affairs of a client of
the firm to partners or associates thereof
unless prohibited by the client.”
Atty. Henry was not prohibited from disclosing the
affairs of Niko with the members of his law firm. The
employment of a member of a firm is generally
considered as employment of the firm itself. (Hilado
v. David, G.R. No. L-961, 21 Sept. 1949)
Q: Atty. X was hired by Mr. D to draft the demand
letters and complaint-affidavit charging Mr. A of
estafa. However, Atty. X later on represented Mr.
A in the similar case. Consequently, Atty. X was
charged with violating the CPR for representing
conflicting interests. Atty. Y contends that his
lawyer-client relationship with Mr. D ended
N
when he and his group entered into the
compromise settlement. Is his contention
E
correct?
A: NO. Atty. X’s contention is not correct. The
T
lawyer-client relationship did not terminate as of
the date of the compromise agreement. He still
A
needed to oversee the implementation of the
settlement and to proceed with the criminal cases
until they were dismissed or otherwise concluded
by the trial court.
It is also relevant to indicate that the execution of a
compromise settlement in the criminal cases did not
ipso facto cause the termination of the cases not only
because the approval of the compromise by the trial
court was still required, but also because the
compromise would have applied only to the civil
aspect and excluded the criminal aspect pursuant to
Art. 2034 of the NCC. (Samson v. Era, A.C. No. 6664,
16 July 2013)
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
CANON 22
A lawyer shall withdraw his services only for
good cause and upon notice appropriate in the
circumstances.
Withdrawal of Services
Generally, the relationship between the lawyer and
the client may be terminated by the client, by the
lawyer, or by the court, or by reason of
W
circumstances beyond the control of the client or
the lawyer. (Agpalo, 2009)
A
Right to Withdraw
L
GR: A lawyer lacks the unqualified right to
withdraw once he has taken a case. By his
acceptance, he has impliedly stipulated that he will
prosecute the case to its conclusion. This is
especially true when such withdrawal will work
O
injustice to a client or frustrate the ends of justice.
(Agpalo, 2009)
E
XPNs: The right of a lawyer to retire from the case
before its final adjudication arises only from:
1. the client’s written consent; or,
2. by permission of the court after due notice and
hearing.
Rule 22.01
A lawyer may withdraw his services in any of the
following case:
(a) When the client pursues an illegal or immoral
course of conduct in connection with the matter
he is handling;
(b) When the client insists that the lawyer pursue
conduct violative of these canons and rules;
(c) When his inability to work with co-counsel will
not promote the best interest of the client;
(d) When the mental or physical condition of the
lawyer renders it difficult for him to carry out the
employment effectively;
(e) When the client deliberately fails to pay the
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 I. LEGAL ETHICS
fees for the services or fails to comply with the
retainer agreement;
(f) When the lawyer is elected or appointed to
public office; and
(g) Other similar cases.
Instances when a Lawyer may withdraw his
Services without the Consent of his Client
NOTE: In numbers 1 to 5 mentioned above, the
lawyer is allowed to retire anytime with the consent
of client.
He may also retire at any time from an action or
special proceeding without the consent of his client,
should the court, on notice to the client and
attorney, and on hearing, determine that he ought to
be allowed to retire. (Sec. 26, Rule 138, Rules of Court,
as amended)

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(FIVE-MICO)
Procedure to follow when Withdrawal is
1. When the client pursues an Illegal or immoral without Client’s Consent

A
course of conduct in connection with the matter
he is handling; 1. File a petition for withdrawal in court.

L
2. Serve a copy of this petition upon his client and
2. When the client insists that the lawyer pursue the adverse party at least 3 days before the date
conduct in Violation of these canons and rules; set for hearing.

NOTE: He should present his petition well in

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3. When his Inability to work with co-counsel will
not promote the best interest of the client; advance of the trial of the action to enable the client
to secure the services of another lawyer.

E
4. When the Mental or physical condition of the
lawyer renders it difficult for him to carry out However, if no new counsel has entered his
the employment effectively; appearance, the court may, in order to prevent a

N
denial of a party’s right to the assistance of counsel
5. When the client deliberately Fails to pay the require that the lawyer’s withdrawal be held in
fees for the services or fails to comply with the abeyance until another lawyer shall have appeared

E
retainer agreement; for the party. (Agpalo, 2009)

T
6. When the lawyer is Elected or appointed to a A lawyer should not presume that the court will
public office; grant his petition for withdrawal. Until his
withdrawal shall have been proved, the lawyer

A
7. Other similar cases (Rule 22.01, CPR); and, remains counsel of record who is expected by his
client and by the court to do what the interests of his
8. When there is Conflict of interest. client require. (Pineda, 2009)

Hot Potato Rule Q: Can a client discharge the services of his

GR: A lawyer may not unreasonably withdraw from
representing a client.
XPN: Withdrawal may be allowed if there is a
conflict of interests arising from circumstances
beyond the control of the lawyer or the law firm.
(Black’s Law Dictionary, 9th edition)
lawyer without a cause? (1994, 1997, 1998 BAR)
A: YES. A client has the right to discharge his
attorney at any time with or without a cause or even
against his consent.
1. If with just cause, the lawyer is not necessarily
deprived of his right to be paid for his services.
He may only be deprived of such right if the
cause for his dismissal constitutes in itself a
sufficient legal obstacle for recovery.

131
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2. If without just cause
a. No express written agreement as to
fees – reasonable value of his services up
to the date of his dismissal (quantum
meruit).
b. There is written agreement and the fee
stipulated is absolute and reasonable –
full payment of compensation.
c. The fee stipulated is contingent.
d. If dismissed before the conclusion of
the action – reasonable value of his
services (quantum meruit)
e. If contingency occurs or client prevents
its occurrence – full amount.
NOTE: A lawyer should question his discharge.
Otherwise, he will only be allowed to recover on
quantum meruit basis.
Limitations on Client’s Right to discharge the
Services of his Lawyer
N
1. When made with justifiable cause, it shall
E
negate the attorney’s right to full payment of
compensation;
T
2. The attorney may, in the discretion of the court,
intervene in the case to protect his right to fees;
A
and
3. A client may not be permitted to abuse his right
to discharge his counsel as an excuse to secure
repeated extensions of time to file a pleading or
to indefinitely avoid a trial.
Conditions for Substitution of Counsel
The counsel may be substituted subject to the
following conditions:
1. There must be a written application;
2. There must be a written consent of the client;
and
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3. There must be a written consent of the attorney
to be substituted, or in the absence thereof,
proof of service of notice of said motion to the
attorney to be substituted in the manner
prescribed by the rules.
NOTE: Standing alone, heavy workload is not
sufficient reason for the withdrawal of a counsel.
When a lawyer accepts to handle a case, whether for
a fee or gratis et amore, he undertakes to give his
W
utmost attention, skill and competence to it
regardless of its significance. Failure to fulfill his
duties will subject him to grave administrative
A
liability as a member of the Bar. (Ceniza v. Atty.
Rubia, A.C. No. 6166, 02 Oct. 2009)
L
Q: On the eve of the initial hearing for the
reception of evidence for the defense, the
defendant and his counsel had a conference
where the client directed the lawyer to present
O
as principal defense witnesses 2 persons whose
testimonies were personally known to the
E
lawyer to have been perjured. The lawyer
informed his client that he refused to go along
with the unwarranted course of action proposed
by the defendant. But the client insisted on the
directive, or else he would not pay the agreed
attorney’s fees. When the case was called for
hearing the next morning the lawyer forthwith
moved in open court that he be relieved as
counsel for the defendant. Both the defendant
and the plaintiff’s counsel objected to the
motion.
Under the given facts, is the defense lawyer
legally justified in seeking withdrawal from the
case? Why or why not? Reason briefly. (2004
BAR)
A: YES. He is justified. Under Rule 22.01 of the CPR,
a lawyer may withdraw his services “if the client
insists that the lawyer pursue conduct violative of
these canons and rules”. The insistence of the client
that the lawyer present witnesses whom he
personally knows to have been perjured, will
expose him to criminal and civil liability and violate
his duty of candor, fairness and good faith to the
court.
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 I. LEGAL ETHICS
Q: Was the motion for relief as counsel made by
the defense lawyer in full accord with the
procedural requirements for a lawyer’s
withdrawal from a court case? Explain briefly.
(2004 BAR)
A: NO. His actuation is not in accord with the
procedural requirements for the lawyer’s
withdrawal from a court case. Whether or not a
lawyer has a valid cause to withdraw from a case, he
cannot just do so and leave the client in the cold
unprotected. He must serve a copy of his petition
upon the client and the adverse party. He should,
moreover, present his petition well in advance of
the trial of the action to enable the client to secure
the services of another lawyer.
NOTE: In one case, respondent lawyer admitted
that he deliberately failed to timely file a formal
offer of exhibits because he believes that the
O
exhibits were fabricated and was hoping that the
same would be refused admission by the RTC. If
E
respondent truly believes that the exhibits to be
presented in evidence by his clients were fabricated,
then he has the option to withdraw from the case.
N
Canon 22 allows a lawyer to withdraw his services
for good cause such as when the client pursues an
illegal or immoral course of conduct with the matter
E
he is handling or when the client insists that the
lawyer pursue conduct violative of these canons and
T
rules. (Warriner v. Atty. Dublin, A.C. No. 5239, 18 Nov.
2013)
A
Q: Atty. X filed a notice of withdrawal of
appearance as counsel for the accused Y after
the prosecution rested its case. The reason for
the withdrawal of Atty. X was the failure of
accused Y to affix his conformity to the demand
of Atty. X for increase in attorney's fees. Is the
ground for withdrawal justified? Explain. (2000
BAR)
A: The ground for the withdrawal is not justified.
Rule 22.01(e) of the CPR provides that a lawyer may
withdraw his services when the client deliberately
fails to pay the fees for his services or fails to comply
with the retainer agreement. In this case, the client
has not failed to pay the lawyer's fees or to comply
with the retainer agreement. He has only refused to
133
agree with the lawyer's demand for an increase in
his fees. It is his right to refuse as that is part of his
freedom of contract.
Rule 22.02
A lawyer who withdraws or is discharged shall,
subject to a retaining lien, immediately turn over
all papers and property to which the client is
entitled, and shall cooperate with his successor in
the orderly transfer of the matter, including all
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information necessary for the proper handling of
the matter.
A
Duties of a Discharged Lawyer or One who
Withdraws
L
1. Immediately turn-over all papers and property
to which the client is entitled; and
2. To cooperate with his successor in the orderly
transfer of the case.
Duties of Lawyers in Case of Death of Parties
Represented
Whenever a party to a pending case dies, or
becomes incapacitated or incompetent, it shall be
the duty of his attorney to inform the court
promptly of such death, incapacity or
incompetency, and to give the name and residence
of his executor, administrator, guardian or other
legal representative. (Sec. 16, Rule 3, Rules of Court,
as amended)
The lawyer is required to perform this obligation
because he is in a better position than the opposing
party's attorney to determine who the client's legal
representative is in cases of death, incapacity, or
incompetence.
1. In case of death of the parties
represented – as the relation of attorney
and client is personal and one of agency, it
terminates upon the death of the client.
GR: The attorney loses his or her standing
in court to represent the deceased client or
the latter’s estate.
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
XPN: He is retained by the deceased client’s
administrator, executor, or legal
representative.
2. In case of incapacity or incompetency of
the client – the relation of attorney and
client also terminates upon the incapacity
or incompetency of a client during the
pendency of the litigation.
GR: The client loses the legal capacity to
contract the subject matter of the action.
XPN: The guardian of the incapacitated or
incompetent client may authorize the
lawyer to continue representing the client.
Duties of Lawyers under the Rules of Court
(2006, 2016 BAR) (DARE- CARDO)
1. To maintain Allegiance to the Republic of the
Philippines, support the Constitution, and obey
the laws of the Philippines;
2. Not to encourage either the commencement or
the continuance of an action or proceeding, or
N
Delay any man’s cause, from any corrupt motive
or interest;
E
3. To counsel or maintain such Actions only as
appear to him to be just, and such defenses only
T
as he believes to be honestly debatable under
the law;
A
4. To observe and maintain the Respect due to the
courts of justice and judicial officers;
5. To Employ, for the purpose of maintaining the
causes confided to him, such means only as are
consistent with truth and honor, and never seek
to mislead the judge;
6. To maintain inviolate the Confidence and at
every peril to himself, to preserve the secrets in
connection with his client, and to accept no
compensation in connection with his client’s
business;
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2023 GOLDEN NOTES
7. To abstain from all Offensive personality and to
advance no fact prejudicial to the honor and
reputation of a party unless required by the
justice of the cause with which he is charged;
8. Never to Reject, for any consideration, the cause
of the defenseless or oppressed; and
9. In the Defense of a person accused of a crime,
by all fair and honorable means, regardless of
W
his personal opinion as to the guilt of the
accused, to present every defense that the law
permits to the end that no person may be
A
deprived of life, liberty, but by due process of
law. (Sec. 20, Rule 138, Rules of Court, as
L
amended)
Privileges of a Lawyer (PSP-IS-12)
1. To Practice law during good behavior before
O
any judicial, quasi-judicial, or administrative
agency;
E
2. First one to Sit in judgment on every case, to set
the judicial machinery in motion;
3. Enjoys the Presumption of regularity in the
discharge of his duty;
4. He is Immune, in the performance of his
obligations to his client, from liability to third
persons, insofar as he does not materially
depart from his character as a quasi-judicial
officer;
5. His Statements, if relevant, pertinent or
material to the subject of judicial inquiry are
absolutely privileged regardless of their
defamatory tenor and of the presence of malice;
6. 1st grade civil service eligibility for any position
in the classified service in the government the
duties of which require knowledge of law; and
2nd grade civil service eligibility for any other
governmental position, which does not
prescribe proficiency in law as a qualification.
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 I. LEGAL ETHICS
APPLICABILITY OF THE CANONS TO JUDGES,
JUSTICES, AND COURT OFFICIALS
Applicability of the Canons to Judges and
Justices and Other Court Officials (2014 BAR)
Some administrative cases against judges, justices
(except Supreme Court Justices who can only be the
subject of impeachment) and court officials who are
lawyers are based on grounds that are likewise
grounds for the disciplinary action of members of
the Bar for violation of the Lawyer's Oath, the Code
of Professional Responsibility, and the Canons of
Professional Ethics, or for such other forms of
breaches of conduct that have been traditionally
recognized as grounds for the discipline of lawyers.
Thus, they are required to comment on the
complaints filed against them and show cause why
they should not be suspended, disbarred or
O
otherwise disciplinarily sanctioned as a member of
the bar. The administrative case shall also be
E
considered a disciplinary action against the
respondent Justice, judge or court official concerned
as a member of the Bar. (RE: Automatic Conversion
N
of Some Administrative Cases Against Justices of the
Court of Appeals and the Sandiganbayan; Judges of
Regular and Special Courts; and Court Officials who
E
are Lawyers as Disciplinary Proceedings against
Them Both as Such Officials and as Members of the
T
Philippine Bar, A.M. No. 02-9-02-SC, 17 Sept. 2002)
Q: Atty. Doblar represents Eva in a contract suit
A
against Olga. He is also defending Marla in a
substantially identical contract suit filed by
Emma. On behalf of Eva, Atty. Doblar claims that
the statute of limitations runs from the time of
the breach of the contract. In the action against
Marla, Atty. Doblar argues the reverse position –
i.e., that the statute of limitation does not run
until one year after discovery of the breach. Both
cases are assigned to Judge Elrey. Although not
the sole issue in the two cases, the statute of
limitations issue is critical in both. Is there an
ethical/professional responsibility problem in
this situation? If a problem exists, what are its
implications or potential consequences? (2013
BAR)
135
A: YES. There is an ethical and/or professional
responsibility problem that results from the
actuation of Atty. Doblar in arguing the reverse
positions.
The signatures of Atty. Doblar on the pleadings for
Eva and for Marla constitute a certificate by him that
he has read the pleadings; that to the best of his
knowledge, information, and belief, there is good
ground to support them; and that the pleadings
W
were not interposed for delay (Sec. 3(2) Rule 7, ROC).
Atty. Doblar could not claim he has complied with
the foregoing requirement because he could not
A
take a stand for Eva that is contrary to that taken for
Marla. His theory for Eva clearly contradicts his
L
theory for Marla. He has violated his professional
responsibility mandated under the Rules of Court.
In counseling on the contradictory positions, Atty.
Doblar has likewise counseled or abetted activities
aimed at defiance of the law or at lessening
confidence in the legal system (Rule 1.02, Canon 1,
CPR) because conflicting opinions may result arising
from an interpretation of the same law.
Atty. Doblar could not seek refuge under the
umbrella that what he has done was to protect his
clients. This is so because a lawyer’s duty is not
primarily to his client, but to the administration of
justice. To that end, his client’s success is wholly
subordinate. His conduct ought to and must always
be scrupulously observant of the law and ethics.
C. SUSPENSION, DISBARMENT, AND DISCIPLINE
OF LAWYERS
1. NATURE AND CHARACTERISTICS OF
DISCIPLINARY ACTIONS AGAINST LAWYERS
Nature of the Power to Discipline
The power to discipline a lawyer is judicial in nature
and can be exercised only by the courts. It cannot be
defeated by the legislative or executive
departments. (Martin, 1961)
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 LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
The power to disbar and reinstate is an inherent
judicial function. (Andres v. Cabrera, SBC- 585, 29
Feb. 1984)
NOTE: The power to disbar must be exercised with
great caution, and only in a clear case of misconduct
that seriously affects the standing and character of
the lawyer as an officer of the Court and as a
member of the bar. Thus, where a lesser penalty,
such as temporary suspension, could accomplish
the end desired, disbarment should never be
decreed. (Ventura v. Samson, A.C. No. 9608, 27 Nov.
2012)
Forms of Disciplinary Measures by the Supreme
Court (W-A-R-C-S-D-I-P)
1. Warning - an act of putting one on his guard
against an impending danger, evil, consequence
or penalty;
2. Admonition - a gentle reproof, mild rebuke,
warning, reminder or counselling on a fault,
error or oversight; an expression of
authoritative advice;
N
3. Reprimand - a public and formal censure or
severe reproof, administered to a person at fault
E
by his superior officer or the body to which he
belongs;
T
4. Censure - official reprimand;
A
5. Suspension - temporary withholding of a
lawyer’s right to practice his profession as a
lawyer for a certain period or for an indefinite
period.
a. Definite;
b. Indefinite – qualified disbarment;
lawyer determines for himself how
long or how short his suspension shall
last by proving to court that he is once
again fit to resume practice of law.
NOTE: Indefinite suspension is not cruel. It
puts in his hands the key for the restoration
of his rights and privileges as a lawyer.
(Dumagdag v. Lumaya, A.C. No. 2614, 29
June 2000)
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6. Disbarment – is the act of the Supreme Court of
withdrawing from an attorney the right to
practice law. The name of the lawyer is stricken
off from the Roll of Attorneys;
7. Interim Suspension - is the temporary
suspension of a lawyer from the practice of law
pending imposition of clinical discipline.
Include: Suspension upon conviction of a
“serious crime”, Suspension when the lawyer’s
W
continuing conduct is or is likely to watch cause
of immediate and serious injury to a client or
public; or
A
8. Probation - is a sanction that allows a lawyer to
L
practice law under specified conditions.
Powers of the Court of Appeals and the Regional
Trial Courts in Relation to the Discipline of
Lawyers (S-W-A-R-P)
O
They are also empowered to:
E
1. Suspend an attorney from practice for any of
the causes named in Sec 27, Rule 138 until
further action of the Supreme Court in the case
(Sec. 16, Rule 139-B);
2. Warn;
3. Admonish;
4. Reprimand; and
5. Probation. (IBP Guidelines)
NOTE: The CA and RTC cannot disbar a lawyer.
Q: Atty. D was required by Judge H of the
Regional Trial Court (RTC) of Manila to show
cause why he should not be punished for
contempt of court for shouting invectives at the
opposing counsel and harassing his witness.
Assuming that there was sufficient cause or
ground, may Judge H suspend Atty. D from the
practice of law? If Judge H finds that the
actuations of Atty. D are grossly unethical and
unbecoming of a member of the bar, may Judge
H disbar Atty. D instead? (2014 BAR)
A: Under Sec. 28, Rule 138 of the ROC, an RTC may
suspend a lawyer from the practice of law for any of
the causes provided in Sec. 27, until further action
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 I. LEGAL ETHICS
from the Supreme Court. But it may not disbar him,
for only the Supreme Court can disbar a lawyer
pursuant to its constitutional power to admit
persons to the practice of law.
Other Sanctions and Remedies (R-A-R-A-R-O-L)
1. Restitution;
2. Assessment of costs;
3. Limitation upon practice;
6. Submission of false evidence, false statements,
or other deceptive practices during the
disciplinary process;
7. Refusal to acknowledge wrongful nature of
conduct;
8. Vulnerability of victim;
9. Substantial experience in the practice of law;
10. Indifference to making restitution. (IBP
Guidelines 9.22)

W
4. Appointment of a receiver;
5. Requirement that a lawyer take the bar Mitigating factors which may be considered in
examination or professional responsibility decreasing the degree of discipline to be

A
examination; imposed:
6. Requirement that a lawyer attend continuing

L
education courses; and 1. Good faith in the acquisition of a property of the
7. Other requirements that the highest court or client subject of litigation (In re: Ruste, A.M. No.
disciplinary board deems consistent with the 632, 27 June 1940);
purposes of the sanctions.
2. Inexperience of the lawyer (Munoz v. People,

O
Factors to be considered in imposing Lawyer’s G.R. No. L-33672, 28 Sept. 1973);
sanctions

E
3. Age (Santos v. Tan, A.C. No. 2697, 19 Apr. 1991);
1. The duty violated;
2. The lawyer’s mental state; 4. Apology (Munoz v. People, G.R. No. L- 33672, 28

N
3. The actual and potential injury caused by the Sept. 1973);
lawyer’s misconduct; and
4. The existence of aggravating and mitigating 5. Lack of Intention to slight or offend the Court

E
factors. (Sec. 3.0, Guidelines for imposing (Rheem of the Philippines, Inc. v. Ferrer, G.R. No.
Lawyer’s sanctions,) L-22979, 27 Jan. 1967);

T
NOTE: After misconduct has been established, 6. Absence of prior disciplinary record;
aggravating and mitigating circumstances may be 7. Absence of dishonest or selfish motive;

A
considered in deciding what sanction to impose. 8. Personal or emotional problems;
9. Timely good faith effort to make restitution or
Aggravating factors which may be considered in to rectify consequences of misconduct;
increasing the degree of discipline to be
imposed: 10. Full and free disclosure to disciplinary board or
cooperative attitude toward the proceedings;
1. Prior disciplinary offenses;
2. Dishonest or selfish motives; 11. Character or reputation;
3. A pattern of misconduct; 12. Physical or mental disability or impairment;
4. Multiple offenses; 13. Delay in disciplinary proceedings;
14. Interim rehabilitation;
5. Bad faith obstruction of the disciplinary 15. Imposition of other penalties or sanctions;
proceeding by intentionally failing to comply 16. Remorse; and
with rules or orders of the disciplinary agency; 17. Remoteness of prior offenses. (IBP Guidelines
9.32)

137
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Factors which should not be considered as
aggravating or mitigating:
1. Forced or compelled restitution;
2. Agreeing to the client’s demand for certain
improper behavior or result;
3. Withdrawal of complaint against the lawyer;
4. Resignation prior to completion of disciplinary
proceedings;
5. Complainant’s recommendation as to sanction;
6. Failure of injured client to complain.
Sui generis in nature (2002 BAR)
Administrative cases against lawyers belong to a
class of their own (sui generis). They are distinct
from and may proceed independently of civil and
criminal cases. (In re Almacen, G.R. No. L-27654, 18
Feb. 1970; Funa, 2009) They are:
1. Neither purely civil nor purely criminal, they
are investigations by the Court into the conduct
of one of its officers.
2. Not a civil action because there is neither
plaintiff nor respondent, and involves no
N
private interest. The complainant is not a party
and has no interest in the outcome except as all
E
citizens have in the proper administration of
justice. There is no redress for private
grievance.
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3. Not a criminal prosecution because it is not
A
meant as a punishment depriving a lawyer of
source of livelihood but rather to ensure that
those who exercise the function should be
competent, honorable and reliable so that the
public may repose confidence in them.
Main objectives of disbarment and suspension
1. Compel the attorney to deal fairly and honestly
with clients;
2. Remove from the profession a person whose
misconduct has proved him/her unfit to be
entrusted with the duties and responsibilities
belonging to the office of an attorney;
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3. Punish the lawyer;
4. Set an example or a warning for the other
members of the bar;
5. Safeguard the administration of justice from
incompetent and dishonest lawyers;
6. Protect the public.
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NOTE: The purpose and the nature of disbarment
proceedings make the number of defenses available
in civil and criminal actions inapplicable in
A
disciplinary proceedings.
L
Q: Is the defense of Atty. R in a disbarment
complaint for immorality filed by his paramour
P that P is in pari delicto material or a ground for
exoneration? Explain. (2010 BAR)
O
A: The defense of in pari delicto is immaterial in an
administrative case which is sui generis. The
E
administrative case is about the lawyer's conduct,
not the woman's. (Mortel v. Aspiras, A.M. No. 145, 28
Dec. 1956)
Q: Arabella filed a complaint for disbarment
against her estranged husband, Atty. P, on the
ground of immorality and use of illegal drugs.
After Arabella presented evidence and rested
her case before the Investigating Commissioner
of the IBP Committee on Bar Discipline, she filed
an Affidavit of Desistance and motion to dismiss
the complaint, she and her husband having
reconciled for the sake of their children. You are
the Investigating Commissioner of the IBP.
Bearing in mind that the family is a social
institution which the State is duty-bound to
preserve, what will be your action on Arabella's
motion to dismiss the complaint? (2010 BAR)
A: I would still deny the motion to dismiss. The
general rule is that “no investigation shall be
interrupted or terminated by reason of the
desistance, settlement, compromise, restitution,
withdrawal of the charges or failure of the
complainant to prosecute the same unless the
Supreme Court motu proprio or upon
recommendation of the IBP Board of Governors
138
 I. LEGAL ETHICS
determines that there is no compelling reason to
continue with the proceedings. An administrative
investigation of a lawyer is sui generis, neither a civil
nor criminal proceeding. An affidavit of desistance
has no place in it.
Q: Atty. Hyde, a bachelor, practices law in the
Philippines. On long weekends, he dates
beautiful actresses in Hong Kong. Kristine, a
neighbor in the Philippines, filed with the
Supreme Court an administrative complaint
against the lawyer because of sex videos
uploaded through the internet showing Atty.
Hyde's sordid dalliance with the actresses in
Hong Kong. In his answer, Atty. Hyde (a.)
questions the legal personality and interest of
Kristine to institute the complaint and (b.)
insists that he is a bachelor and the sex videos
relate to his private life which is outside public
scrutiny and have nothing to do with the law
O
practice. Rule on the validity of Atty. Hyde's
defenses. (2009 BAR)
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A:
a. The legal personality and interest of Kristine to
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initiate the complaint for disbarment is
immaterial. A disbarment proceeding is sui
generis, neither civil nor a criminal proceeding.
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Its sole purpose is to determine whether or not
a lawyer is still deserving to be a member of the
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bar. In a real sense, Kristine is not a plaintiff;
hence, interest on her part is not required.
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b. Atty. Hyde's second defense is untenable. His
duty not to engage in unlawful, dishonest,
immoral and deceitful conduct under Rule 1.01
of the CPR, as well as his duty not to engage in
scandalous conduct to the discredit of the legal
profession under Rule 7.03, is applicable to his
private as well as to his professional life.
No Prescriptive Period for the filing of an
Administrative Complaint against an Erring
Lawyer
Rule VII, Section 1 of the Rules of Procedure of the
CBD-IBP, which provides for a prescriptive period
for the filing of administrative complaints against
lawyers, should be struck as void and of no legal
139
effect for being ultra vires. (Heirs of Falame v. Atty.
Baguio, A.C. No. 6876, 07 Mar. 2008)
NOTE: At most, the delay in the institution of the
administrative case would merely mitigate the
erring lawyer’s liability. (Heck v. Judge Santos, A.M.
No. RTJ-01-1657, 23 Feb. 2004)
Q: Alleging that Atty. Frank had seduced her
when she was only 16 years old, and that she had
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given birth to a baby girl as a result, Malen filed
a complaint for his disbarment seven years after
the birth of the child charging that he was a
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grossly immoral person unworthy and unfit to
continue in the Legal Profession. In his
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comment, Atty. Frank argued that the complaint
for disbarment should be dismissed because of
prescription. Explain. (2017 BAR)
A: Atty. Frank’s defense of prescription is not
justified. Disbarment is imprescriptible. In addition,
administrative proceedings against a lawyer are sui
generis, neither civil nor criminal. The ordinary
statutes of limitation have no application to
disbarment proceedings. (Calo Jr. v. Degamo, A.C. No.
516, 27 June 1967) The purpose of such proceedings
is not to punish the individual lawyer but to
safeguard the administration of justice by
protecting the court and the public from the
misconduct of lawyers and to remove from the
profession of law persons whose disregard of their
oath of office proves them unfit to continue charging
the trust reposed in them as members of the bar.
No Double or Multiple Disbarment
Q: Atty. Gutierrez asked for a cash loan twice
from Yuhico, but when he asked for a third time,
Yuhico refused and demanded payment of his
debts. Atty. Gutierrez failed to pay which led to
the filing of a complaint before the IBP-CBD for
non-payment of just debts. It turned out that
Atty. Gutierrez was previously disbarred in the
case of Huyssen v. Atty. Gutierrez for gross
misconduct in view of his failure to pay his debts
and his issuance of worthless checks. May Atty.
Gutierrez be disbarred for the second time?
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
A: NO. The Supreme Court held that while the IBP
recommended to disbar Atty. Gutierrez for the
second time, we do not have double or multiple
disbarment in our laws or jurisprudence and
neither do we have a law mandating a minimum 5-
year requirement for readmission, as cited by the
IBP.
Thus, while Gutierrez’s infraction calls for the
penalty of disbarment, they cannot disbar him
offense and not also a ground for disbarment. (Olazo
v. Justice Tinga (Ret.), A.M. No. 10-5-7-SC, 07 Dec.
2010)
Lawyer’s Misconduct committed prior and after
Admission to the Bar and its Effects
1. Prior to admission to the bar - acts of
misconduct prior to admission include those
that indicate that at the time the lawyer took his

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anew. (Yuhico v. Atty. Gutierrez, A.C. No. 8391, 23 oath, he did not possess the required
Nov. 2010) qualifications for membership in the bar.
Consequently, the cancellation of his license is

A
2. GROUNDS justified.

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2. After admission to the bar - those which cause
Specific Grounds for Suspension or Disbarment
loss of moral character on his part or involve
of a Lawyer
violation of his duties to the court, his client, to
the legal profession and to the public.
1. Deceit;

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NOTE: Disbarment is merited when the action is not
2. Malpractice;
the lawyer’s first ethical infraction of the same

E
nature. (Que v. Revilla, A.C. No. 7054, 04 Dec. 2009)
3. Grossly immoral conduct;

Malpractice
4. Conviction of a crime involving moral

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turpitude;
It refers to any malfeasance or dereliction of duty
committed by a lawyer. (Tan Tek Beng v. David, A.C.
5. Violation of oath of office;

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No. 1261, 29 Dec. 1983; Lapeña Jr., 2009)

6. Willful disobedience of any lawful order of a

NOTE: The practice of soliciting cases at law for the

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superior court;
purpose of gain, either personally or through paid
agents or brokers, constitutes malpractice. (Sec. 27,
7. Corrupt or willful appearance as an attorney for

A
Rule 138, Rules of Court, as amended)
a party to a case without authority to do so (Sec.
27, Rule 138, ROC as amended);
Legal Malpractice

8. Non-payment of IBP membership dues. (Santos,

It consists of failure of an attorney to use such skill,
Jr. v. Atty. Llamas, A.C. No. 4749, 20 Jan. 2000)
prudence and diligence as a lawyer of ordinary skill
and capacity commonly possess and exercise in the
The statutory enumeration is not to be taken as a
performance of tasks which they undertake, and
limitation on the general power of Supreme Court to
when such failure proximately causes damage, it
suspend or disbar a lawyer. (In Re: Puno, A.C. No.
gives rise to an action in tort. (Tan Tek Beng v. David,
389, 28 Feb. 1967) Hence, the grounds enumerated
A.C. No. 1261, 29 Dec. 1983)
are NOT exclusive.

NOTE: Lending money by a justice of Supreme

Court is not a ground for disbarment and helping a
person apply for sale application on a lot is not an

U N IV E R S I T Y O F S A N T O T O M A S 140
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 I. LEGAL ETHICS
Gross Misconduct
It is any inexcusable, shameful or flagrant unlawful
conduct on the part of the person concerned in the
administration of justice which is prejudicial to the
rights of the parties or to the right determination of
a cause, a conduct that is generally motivated by a
premeditated, obstinate or intentional purpose.
(Yumol Jr. v. Ferrer, Sr., A.C. No. 6585, 21 Apr. 2005)
NOTE: The deliberate failure to pay just debts and
the issuance of worthless checks constitute gross
misconduct. Batas Pambansa Blg. 22 was “designed
to prohibit and altogether eliminate the deleterious
and pernicious practice of issuing checks with
insufficient funds, or with no credit, because the
practice is deemed a public nuisance, a crime
against public order to be abated." His violation
exhibited his indifference towards the pernicious
effect of his illegal act to public interest and public
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order. (Lim v. Atty. Rivera, A.C. No. 12156, 20 June
2018)
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Q: Beth administratively charged her former
lawyer, Atty. Rawet, with gross misconduct and
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gross ignorance of the law for the latter's
inadequate legal representation of her in her
suit against her neighbor. Midway during the
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investigation, Beth decided to migrate to
Australia. Learning about her plans, Atty. Rawet
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approached her and pleaded for her
understanding. He was able to persuade her to
execute an affidavit of desistance in respect of
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her administrative complaint. He submitted the
affidavit of desistance to the Supreme Court and
moved to dismiss the charge against him. Will
the affidavit of desistance warrant the dismissal
of the administrative charge? Explain. (2017
BAR)
A: NO, the affidavit of desistance would not warrant
the dismissal of the administrative charge. A
disbarment proceeding is sui generis, neither a civil
nor criminal action. As such, a desistance by the
complainant is unimportant. The case may proceed
regardless of interest or lack of interest of the
complainant. (Rayos-Omboc v. Rayos, A.C. No. 2884,
28 Jan. 1998) The general rule is that no
investigation shall be interrupted or terminated by
141
reason of the desistance, settlement, compromise,
restitution, withdrawal of the charges or failure of
the complainant to prosecute the same unless the
Supreme Court motu proprio or upon
recommendation of the IBP Board of Governors
determines that there is no compelling reason to
continue with the proceedings.
Grossly Immoral Conduct
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Immoral conduct has been defined as that conduct
which is willful, flagrant, or shameless, and which
shows a moral indifference to the opinion of the
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good and respectable members of the community.
(Arciga v. Maniwang, A.M. No. 1608, 14 Aug. 1981;
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Abella v. Atty. Barrios, A.C. No. 7332, 18 June 2013)
An act of personal immorality on the part of a
lawyer in his private relation with opposite sex may
put his character in doubt. But to justify suspension
or disbarment, the act must not only be immoral, it
must be grossly immoral. (Abaigar v. Paz, A.M. No.
997, 10 Sept. 1979)
It treads the line of grossness when it is so corrupt
as to constitute a criminal act, or so unprincipled as
to be reprehensible to a high degree, or when
committed under such scandalous or revolting
circumstances as to shock the community’s sense of
decency. (Abella v. Atty. Barrios, A.C. No. 7332, 18
June 2013)
NOTE: Mere intimacy between a lawyer and a
woman with no impediment to marry each other,
and who voluntarily cohabited and had two
children, is neither so corrupt to constitute a
criminal act nor so unprincipled as to warrant
disbarment or disciplinary action against the man
as a member of the bar. (Arciga v. Maniwang, A.C. No.
1608, 14 Aug. 1981)
Moral Turpitude
It is defined as “everything that is done contrary to
justice, honesty, modesty, or good morals; an act of
baseness, vileness, or depravity in the private and
social duties which a man owes his fellowmen, or to
society in general, contrary to the accepted and
customary rule of right and duty between man and
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
woman, or conduct contrary to justice, honesty
modesty, or good morals. (Soriano v. Dizon, A. C. No.
6792, 25 Jan. 2006)
All crimes of which fraud or deceit is an element or
those inherently contrary to rules of right conduct,
honesty, or morality in civilized community. (Court
of Administrator v. San Andres, A.M. No. P-89-345, 31
May 1991)
Other Statutory Grounds for Suspension and
Disbarment of Members of the Bar
1. Acquisition of interest in the subject matter of
the litigation, either through purchase or
assignment (Art. 1491, NCC);
2. Breach of professional duty, inexcusable
negligence, or ignorance, or for the revelation of
the client’s secrets (Art. 208, RPC);
3. Representing conflicting interests. (Art. 209,
RPC)
Any errant behavior on the part of a lawyer, be it in
his public or private activities, which tends to show
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him deficient in moral character, honesty, probity or
good demeanor, is sufficient to warrant his
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suspension or disbarment. (Tiong v. Atty. Florendo,
A.C. No. 4428, 12 Dec. 2011)
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Other Grounds for Discipline
A
1. Non-professional misconduct
GR: A lawyer may not be suspended or
disbarred for misconduct in his non-
professional or private capacity.
XPN: Where such is so gross as to show him to
be morally unfit for office or unworthy of
privilege, the court may be justified in
suspending or removing him from the Roll of
Attorneys. (2005 BAR)
2. Promoting to violate or violating penal laws
3. Misconduct in discharge of official duties – A
lawyer who holds a government office may not
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
be disciplined as a member of the bar for
misconduct in the discharge of his duties as
government official.
However, if the misconduct is in violation of the
CPR or of his oath as a lawyer or is of such a
character as to affect his qualifications as a
lawyer, he may be subject to disciplinary action
such as disbarment. (Collantes v. Renomeron,
A.C. No. 3056, 16 Aug. 1991)
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The Court has nevertheless refused to shirk
away from its constitutional mandate to
A
regulate the admission to, and the practice of
law, which necessarily includes the authority to
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discipline, suspend, or even disbar misbehaving
members of the legal profession, whenever
proper and called for. Indeed, "if the
government official's misconduct is of such
character as to affect his or her qualification as
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a lawyer, or to show moral delinquency, he or
she may be disciplined as a member of the bar
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on such ground." (Guevarra-Castil v. Trinidad,
A.C. No. 10294, 12 July, 2022)
NOTE: This rule does not apply to impeachable
officials like Supreme Court justices, members
of constitutional commissions and Ombudsman
because they can only be removed by
impeachment.
4. Commission of fraud or falsehood; and,
5. Misconduct as notary public
NOTE: By having himself commissioned as
notary public, a lawyer assumes duties in a dual
capacity, the non-performance of which may be
a ground for discipline as a member of the bar.
Q: Jose secured the services of Atty. Lada to
pursue a case for partition of property. After
accepting the engagement, Atty. Lada filed the
corresponding complaint eventually dismissed
by the RTC for lack of cause of action and
insufficiency of evidence. Atty. Lada allegedly
asked for the amount of ₱10,000.00 for the
payment of appeal fees and other costs. Upon
payment, notice of appeal was filed but was also
142
 I. LEGAL ETHICS
dismissed for being filed out of time.
Atty. Lada however, did not disclose such fact
and, instead, showed to Jose an Order
purportedly issued by the RTC directing the
submission of the results of a DNA testing to
prove his filiation. When Jose found out that the
Order was spurious, he filed a disbarment case
against Atty. Lada. Will the case prosper?
NOTE: A disbarment proceeding may proceed
regardless of interest or lack of interest of the
complainant. (Rayos-Ombac v. Rayos, A.C. No. 2884,
28 Jan. 1998) However, if the complainant refuses to
testify and the charges cannot then be
substantiated, the court will have no alternative but
to dismiss the case.
NOTE: A disbarment proceeding may proceed
regardless of interest or lack of interest of the

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A: YES. Atty. Lada already knew of the dismissal of complainant. (Rayos-Ombac v. Rayos, A.C. No. 2884,
complainant’s partition case before the RTC. 28 Jan. 1998) However, if the complainant refuses to
Moreover, Atty. Lada was inexcusably negligent in testify and the charges cannot then be

A
filing complainant’s appeal only on 12 Sept. 2007, or substantiated, the court will have no alternative but
way beyond the reglementary period therefor, thus to dismiss the case.

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resulting in its outright dismissal. Clearly, Atty. Lada
failed to exercise such skill, care, and diligence as Characteristics of Disbarment Proceedings
men of the legal profession commonly possess and
exercise in such matters of professional 1. Sui Generis
employment.

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2. The defense of “double jeopardy” cannot be
Worse, Atty. Lada attempted to conceal the availed of in a disbarment proceeding;

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dismissal of complainant’s appeal by fabricating the
Order which purportedly required a DNA testing to 3. It can be initiated motu proprio by the Supreme
make it appear that complainant’s appeal had been Court or IBP. It can be initiated without a

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given due course, when in truth, the same had long complaint;
been denied. In so doing, he engaged in an unlawful,
dishonest, and deceitful conduct that caused undue 4. It is imprescriptible;

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prejudice and unnecessary expenses on the part of
complainant. For gross misconduct, Atty. Lada 5. Conducted confidentially;

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should be disbarred. (Tan v. Diamante, A.C. No. 7766,
05 Aug. 2014) 6. It can proceed regardless of the interest or the
lack thereof on the part of the complainant; and

A
3. PROCEEDINGS (Rule 139-B of the Rules of
Court, as amended) 7. It in itself constitutes due process of law.

8. Whatever has been decided in a disbarment

Initiation of Disbarment (2000 BAR)
case cannot be a source of right that may be
enforced in another action;
Any interested person or the court motu proprio
may initiate disciplinary proceedings. There can be
9. In pari delicto rule not applicable;
no doubt as to the right of a citizen to bring to the
attention of the proper authority the acts and doings
10. No prejudicial question in disbarment
of public officers, which the citizens feel are
proceedings;
incompatible with the duties of the office and from
which conduct the citizen or the public might or
11. Penalty in a disbarment case cannot be in the
does suffer undesirable consequences. (Heck v.
alternative; and
Santos, A.M. No. RTJ-01-1657, 23 Feb. 2004)

143
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
12. Monetary claims cannot be granted except
restitution and return of monies and properties
of the client given in the course of the lawyer-
client relationship.
NOTE: The confidentiality of the proceedings is a
privilege which may be waived by the lawyer in
whom and for the protection of whose personal and
professional reputation it is vested, as by presenting
the testimony in a disbarment case or using it as
impeaching evidence in a civil suit. (Villalon v. IAC,
G.R. No. L-73751, 24 Sept. 1986)
Offices Authorized to investigate Disbarment
Proceedings
1. Supreme Court; (Sec. 13, Rule 139-B, ROC, as
amended)
2. IBP through its Commission on Bar Discipline
or authorized investigator; (Sec. 2, Rule 139-B,
ROC, as amended)
3. Office of the Bar Confidant. (Sec. 13, Rule 139-B,
ROC, as amended by B.M. No. 1645)
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NOTE: The complaint shall state clearly and
concisely the facts complained of and shall be
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supported by affidavits of persons having personal
knowledge of the facts therein alleged and/or by
such documents as may substantiate said facts.
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By virtue of B.M. No. 1645, the IBP has no power to
A
dismiss complaint against lawyers. It may only
recommend the dismissal of such complaints as the
power to dismiss complaints against lawyers is
solely reserved to the Supreme Court.
Purposes of Disbarment
Disbarment is not meant as a punishment to deprive
an attorney of a means of livelihood but rather
intended to:
1. To protect the public;
2. To protect and preserve the legal profession;
and
3. To compel the lawyer to comply with his duties
and obligations under the CPR.
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Quantum of Proof required
The quantum of proof in administrative cases
against lawyers is substantial evidence. (Reyes v.
Nieva, A.C. No. 8560, 06 Sept. 2016)
Substantial evidence
It is that amount of relevant evidence as a
reasonable mind might accept as adequate to
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support a conclusion, even if other minds, equally
reasonable, might conceivably opine otherwise.
(Atty. Dela Fuente-Torres et. al v. Dalangin, A.C. No.
A
10758, 05 Dec. 2017; Gubaton v. Atty. Amador, A.C.
No. 8962, 09 July 2018)
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Rationale
The evidentiary threshold of substantial evidence –
as opposed to preponderance of evidence – is more
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in keeping with the primordial purpose of and
essential considerations attending this type of
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cases. Public interest is its primary objective, and
the real question for determination is whether or
not the attorney is still a fit person to be allowed the
privileges as such. Hence, in the exercise of its
disciplinary powers, the Court merely calls upon a
member of the Bar to account for his actuations as
an officer of the Court with the end in view of
preserving the purity of the legal profession and the
proper and honest administration of justice by
purging the profession of members who by their
misconduct have proved themselves no longer
worthy to be entrusted with the duties and
responsibilities pertaining to the office of an
attorney. In such posture, there can thus be no
occasion to speak of a complainant or a prosecutor.
(Reyes v. Nieva, A.C. No. 8560, 06 Sept. 2016)
The burden of proof rests with the complainant, and
she must establish the case against the respondent
by clear, convincing and satisfactory proof,
disclosing a case that is free from doubt as to compel
the exercise by the Court of its disciplinary power.
Thus, the adage that he who asserts not he who
denies, must prove. (Atty. Dela Fuente-Torres et. al v.
Dalangin, A.C. No. 10758, 05 Dec. 2017)
144
 I. LEGAL ETHICS
Q: Jildo Gubaton filed an administrative case
against Atty. Amador for gross immorality for
maintaining an illicit relationship with his wife,
Bernadette. Testimonies of Bernandette's house
helper and Bernadette's clinic secretary were
argued to be hearsay. Gubaton submitted
several other pieces of evidence. First,
Gubaton’s own account that he actually saw Atty.
Amador and Bernadette together on various
intimate occasions. Second, corroborative
statements in an affidavit executed by Navarez,
who works in BIR as a messenger and goes
around the city in relation to his work. Third,
description by Gubaton’s sister, Nila, about how
Atty. Amador would often visit Bernadette and
spend the night in their residence, while she was
still living with Bernadette and their children
thereat. Fourth, love letters/notes supposedly
written by Bernadette to Atty. Amador. Is there
substantial evidence to prove that Atty. Amador
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is guilty of gross immorality.
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A: YES. To satisfy the substantial evidence
requirement for administrative cases, hearsay
evidence should necessarily be supplemented and
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corroborated by other evidence that are not
hearsay. The following evidence sufficiently prove
the existence of an illicit relationship: (1) Gubaton’s
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own account; (2) corroborative statements in an
affidavit executed by Navarez, a neutral and
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disinterested witness; (3) description by Gubaton’s
sister, Nila; and (4) love letters/notes supposedly
written by Bernadette to Atty. Amador. (Gubaton v.
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Atty. Amador, A.C. No. 8962, 09 July 2018)
Q: Atty. Sesbreño was found guilty of murder
and was sentenced to suffer the penalty of
reclusion perpetua by the Cebu City RTC. On
appeal, however, the Supreme Court
downgraded the crime to homicide. On 27 July
2001, Sesbreño was released from confinement
following his acceptance of the conditions of his
parole. The order of commutation provides that
his original sentence is commuted to an
indeterminate prison term of from 7 years and 6
months to 10 years imprisonment and to pay an
indemnity of ₱50,000.00.
145
Dr. Garcia filed a disbarment case against
Sesbreño alleging that he is practicing law
despite his previous conviction for homicide
and continuing to engage in the practice of law
despite his conviction of a crime involving moral
turpitude. Sesbreño argued that the executive
clemency granted to him restored his full civil
and political rights. Decide.
A: There was no mention that the executive
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clemency was absolute and unconditional and
restored Sesbreño to his full civil and political
rights. The executive clemency merely “commuted
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to an indeterminate prison term of 7 years and 6
months to 10 years imprisonment”, the penalty
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imposed on Sesbreño. Commutation is a mere
reduction of penalty and it only partially
extinguished criminal liability. The penalty for
Sesbreño’s crime was never wiped out. For the
unauthorized practice of law, Sesbreño is disbarred.
(Garcia v. Atty. Sesbreño, A.C. No. 7973 and A.C. No.
10457, 03 Feb. 2015)
Q: After passing the Philippine Bar in 1986,
Richards practiced law until 1996 when he
migrated to Australia where he subsequently
became an Australian citizen in 2000. As he kept
himself abreast of the legal developments,
petitioner learned about The Citizenship
Retention and Re-Acquisition Act of 2003 (R.A.
No. 9225), pursuant to which he reacquired his
Philippine citizenship in 2006. He took his oath
of allegiance as a Filipino citizen at the
Philippine embassy in Canberra, Australia.
Jaded by the laid-back life in the outback, he
returned to the Philippines in December of
2008. After the holidays, he established his own
law office and resumed his practice of law.
Months later a concerned woman who had
secured copies of Atty. Richard's naturalization
papers with the consular authentication, filed
with the Supreme Court an anonymous
complaint against him for illegal practice of law.
May the Supreme Court act upon the complaint
filed by an anonymous person? (BAR 2010)
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
A: YES. The Supreme Court may act upon the
complaint filed by an anonymous complainant,
because the basis of the complaint consists of
documents with consular authentications which can
be verified being public records. There is no need to
identify the complainant when the evidence is
documented and verifiable. (In re: Anonymous
Complaint versus Judge Echiverri, A.M. No. 697-CFI,
30 Oct. 1975) Besides, the Supreme Court or the IBP
may initiate disbarment proceedings motu proprio.
AMENDMENT OF SEC. 1, RULE 139-B OF THE
REVISED RULES OF COURT
(B.M. NO. 1645, 13 Oct. 2015)
Procedure for Disbarment
Proceedings for disbarment, suspension or
discipline of attorneys may be taken by the:
1. Supreme Court motu proprio; or
2. Upon the feeling of a verified complaint of any
person before the Supreme Court or the
Integrated Bar of the Philippines.
NOTE: The complaint shall state clearly and
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concisely the facts complained of and shall be
supported by affidavits of persons having
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personal knowledge of the facts therein alleged
and/or by such documents as may substantiate
said facts.
T
By virtue of B.M. No. 1645, the IBP has no power
A
to dismiss complaint against lawyers. It may
only recommend the dismissal of such
complaints as the power to dismiss complaints
against lawyers is solely reserved to the
Supreme Court.
DISBARMENT PROCEEDINGS
BEFORE THE IBP
Disbarment Proceedings in the IBP
The IBP shall forward to the Supreme Court for
appropriate disposition all complaints for
disbarment, suspension and discipline filed against
incumbent Justices of the Court of Appeals,
Sandiganbayan, Court of Tax Appeals and judges of
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
lower courts, or against lawyers in the government
service whether or not they are charged singly or
jointly with other respondents, and whether or not
such complaint deals with acts unrelated to the
discharge of their official functions.
If the complaint is filed before the IBP, six (6) copies
of the verified complaint shall be filed with the
Secretary of the IBP or the Secretary of any of its
chapters who shall forthwith transmit the same to
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the IBP Board of Governors for assignment to an
investigator.
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PROCEDURAL STEPS FOR DISBARMENT IN THE
IBP
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1. The Board of Governors shall appoint from
among the IBP members an investigator or
when special circumstances so warrant, a panel
of 3 investigators to investigate the complaint;
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2. If the complaint is meritorious, the respondent
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shall be served with a copy requiring him to
answer within 15 days from service;
3. The respondent shall file a verified answer
containing the original and five (5) legible
copies; after receipt of the answer or lapse of
the period to do so, the Supreme Court, may,
motu proprio or upon recommendation, the IBP
Board of Governors suspend an attorney from
practice, for any of the causes under Rule 138,
Sec. 27, during the pendency of the
investigation;
4. After joinder of the issues or failure to answer,
the respondent shall be given full opportunity
to defend himself. But if the respondent fails to
appear to defend himself in spite of notice, the
investigator may proceed ex parte. The
investigation shall be terminated within 3
months from commencement unless extended
for good cause by the Board of Governors upon
prior application;
5. The investigator shall make a report to the
Board of Governors within 30 days from
termination of the investigation which report
shall contain his findings and recommendations
146
 I. LEGAL ETHICS
together with the evidence;
6. The Board of Governors shall have the power to
review the decision of the investigator. Its
decision shall be promulgated within a period
not exceeding 30 days from the next meeting of
the Board following the submission of the
report of the investigator; and
7. If the decision is a finding of guilt of the charges,
the IBP Board of Governors shall issue a
resolution setting forth its findings and
recommendations which shall be transmitted to
the Supreme Court for final action together with
the record.
RE: CLARIFICATION ON THE RULES OF
PROCEDURE OF THE COMMISSION
ON BAR DISCIPLINE
(B.M. NO. 1755, 17 June 2008)
O
Propriety of a Motion for Reconsideration
E
1. A party can no longer file a motion for
reconsideration of any order or resolution of
N
the Investigating Commissioner, such motion
being a prohibited pleading.
E
2. Regarding the issue of whether a motion for
reconsideration of a decision or resolution of
T
the Board of Governors (BOG) can be
entertained, an aggrieved party can file said
motion with the BOG within fifteen (15) days
A
from notice of receipt thereof by said party.
3. In case a decision is rendered by the BOG that
exonerates the respondent or imposes a
sanction less than suspension or disbarment,
the aggrieved party can file a motion for
reconsideration within the 15-day period from
notice. If the motion is denied, said party can file
a petition for a review under Rule 45 of the
Rules of Court with the Supreme Court within
fifteen (15) days from notice of the resolution
resolving the motion. If no motion for
reconsideration is filed, the decision shall
become final and executory and a copy of said
decision shall be furnished to the Supreme
Court.
147
4. If the imposable penalty is suspension from the
practice of law or disbarment, the BOG shall
issue a resolution setting forth its findings and
recommendations. The aggrieved party can file
a motion for reconsideration of said resolution
with the BOG within fifteen (15) days from
notice. The BOG shall first resolve the incident
and shall thereafter elevate the assailed
resolution with the entire case records to the
Supreme Court for final action. If the 15-day
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period lapses without any motion for
reconsideration having been filed, then the BOG
shall likewise transmit to this Court the
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resolution with the entire case records for
appropriate action.
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NOTE: Lawyers must update their records with the
IBP by informing the IBP National Office or their
respective chapters of any change in office or
residential address and other contact details. In case
such change is not duly updated, service of notice on
the office or residential address appearing in the
records of the IBP National Office shall constitute
sufficient notice to a lawyer for purposes of
administrative proceedings against him. (Keld
Stemmerik v. Atty. Leonuel Mas, A.C. No. 8010, 16 June
2009)
DISBARMENT PROCEEDINGS
BEFORE THE SUPREME COURT
1. In proceedings initiated by the Supreme Court
or in other proceeding when the interest of
justice so requires, the Supreme Court may
refer the case for investigation to the Office of
the Bar Confidant, or to any officer of the
Supreme Court or judge of a lower court, in
which case the investigation shall proceed in
the same manner provided in sections 6-11
hereof, save that the review off the report of
investigation shall be conducted directly by the
Supreme Court.
The complaint may also be referred to the IBP
for investigation, report, and recommendation.
(Sec. 13, Rule 139-b, Rules of Court, as amended
by B.M. No. 1645)
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
Q: Atty. Narag’s wife filed a petition for
disbarment because he courted one of his
students, maintained the said student as a
mistress and had children with her. On the other
hand, Atty. Narag claimed that his wife was a
possessive, jealous woman who abused him and
filed the complaint against him out of spite. Atty.
Narag, however, failed to refute the testimony
given against him as his actions were of public
knowledge. Is Atty. Narag’s disbarment
appropriate?
A: YES. Atty. Narag failed to prove his innocence
because he failed to refute the testimony given
against him and it was proved that his actions were
of public knowledge and brought disrepute and
suffering to his wife and children. Good moral
character is a continuing qualification required of
every member of the bar.
Thus, when a lawyer fails to meet the exacting
standard of moral integrity, the Supreme Court may
withdraw his or her privilege to practice law. When
a lawyer is found guilty of gross immoral conduct,
he may be suspended or disbarred. As a lawyer, one
must not only refrain from adulterous relationships,
N
but must not behave in a way that scandalizes the
public by creating a belief that he is flouting those
E
moral standards. (Narag v. Atty. Narag, A.C. No.
3405, 29 June 1998)
T
Effect of Lawyer’s Death in an Administrative
Proceeding against him
A
1. Renders the action moot and academic, but
2. The Court may still resolve the case on its
merits in order to clear publicly the name of the
lawyer
CONFIDENTIALITY OF DISBARMENT
PROCEEDINGS
Three-fold Purpose of Confidentiality of
Disbarment Proceedings
1. To enable the court to make its investigation
free from extraneous influence or interference;
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
2. To protect the personal and professional
reputation of attorneys from baseless charges
of disgruntled, vindictive and irresponsible
persons or clients by prohibiting publication of
such charges pending their final resolution
(Albano v. Coloma, A.C. No. 528, October 11,
1967);
3. To deter the press from publishing charges or
proceedings based thereon for even a verbatim
W
reproduction of the complaint against an
attorney in the newspaper may be actionable.
A
NOTE: The confidentiality of the proceedings is a
privilege which may be waived by the lawyer in
L
whom and for the protection of whose personal and
professional reputation it is vested, as by presenting
the testimony in a disbarment case or using it as
impeaching evidence in a civil suit. (Villalon v. IAC,
G.R. No. L-73751, 24 Sept. 1986)
O
Q: Atty. Fortun is the counsel for Ampatuan, Jr.,
E
the principal accused in the murder cases in the
Maguindanao Massacare. Atty. Quinsayas, et al.
filed a disbarment complaint against Atty.
Fortun on the ground that he used and abused
the different legal remedies available and
allowed under the rules; and muddled the issues
and diverted the attention away from the main
subject matter of the cases. Atty. Fortun alleged
that Atty. Quinsayas, et al. actively disseminated
the details to the media of the disbarment
complaint against him in violation of Rule 139-B
of the Rules of Court on the confidential nature
of disbarment proceedings. Is Atty. Fortun
correct?
A: NO. As a general rule, disbarment proceedings
are confidential in nature until their final resolution
and the final decision of this Court. In this case,
however, the filing of a disbarment complaint
against Atty. Fortun is a matter of public concern
considering that it arose from the Maguindanao
Massacre case. The interest of the public is not on
Atty. Fortun but primarily on his involvement and
participation as defense counsel in the
Maguindanao Massacre case.
148
 I. LEGAL ETHICS
The Maguindanao Massacre is a very high-profile
case. It is understandable that any matter related to
the Maguindanao Massacre is considered a matter
of public interest and that the personalities
involved, including Atty. Fortun, are considered as
public figure. Thus, media has the right to report the
filing of the disbarment case as legitimate news. It
would have been different if the disbarment case
against petitioner was about a private matter as the
media would then be bound to respect the
New York be used against him for purposes of
disbarment proceedings here in the
Philippines? (2014 BAR)
A: Atty. Forma may be disbarred in the Philippines
as his disbarment in a competent court in a foreign
jurisdiction is a ground for his disbarment if the
basis of such includes any of the acts enumerated in
Sec. 28, Rule 138 of the Rules of Court. However, he
is still entitled to due process of law, and the foreign

W
confidentiality provision of disbarment proceedings court’s judgment against him only constitutes prima
under Section 18, Rule 139-B of the Rules of Court. facie evidence of unethical conduct as a lawyer. He
(Fortun v. Quinsayas, G.R. No. 194578, 13 Feb. 2013) is entitled to be given an opportunity to defend

A
himself in an investigation to be conducted in
DISCIPLINE OF FILIPINO LAWYERS PRACTICING accordance with Rule 139 of the Revised Rules of

L
ABROAD Court. (In re: Suspension from the Practice of Law in
the Territory of Guam of Atty. Leon Maquera, B.M.
Judgment of Suspension of a Filipino Lawyer in 793, 30 July 2004; Velez v. De Vera, A.C. No. 6697, 25
a Foreign Court July 2006)

O
The judgment of suspension against a Filipino
lawyer in a foreign jurisdiction does not

E
automatically result in his suspension or
disbarment in the Philippines as the acts giving rise
to his suspension are not grounds for disbarment

N
and suspension in this jurisdiction. Judgment of
suspension against a Filipino lawyer may transmute
into a similar judgment of suspension in the

E
Philippines only if the basis of the foreign court's
action includes any of the grounds for disbarment or

T
suspension in this jurisdiction. (Velez v. De Vera, A.C.
No. 6697, 25 July 2006)

A
NOTE: The judgment, resolution or order of the
foreign court or disciplinary agency shall be prima
facie evidence of the ground for disbarment or
suspension. (Supreme Court Resolution, 13 Feb. 1992
amending Sec. 27, Rule 138 , ROC, as amended)

Q: Atty. Forma is a member of the Philippine Bar.

He went to New York City, took the New York
State Bar, and passed the same. He then
practiced in New York City. One of his American
clients filed a case for disbarment against him
for pocketing the money which was entrusted to
him as payment for the filing fee and other
incidental expenses of his damage suit. Atty.
Forma came back to the Philippines and
practiced as a lawyer. Will his disbarment in

149
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE
SUPREME COURT MOTU PROPRIO
(Rule 139-B, Rules of Court, as amended by B.M. No. 1645)

Supreme Court shall refer the case to an investigator, who may

either be:
1. Office of the Bar Confidant
2. Any officer of the SC, or
3. Any judge of a lower court

Notify Respondent

A W
L
RESPONDENT’S VERIFIED ANSWER
(Must be filed within 15 days from service)

E O
INVESTIGATION
(TERMINATE WITHIN 3 MONTHS)

E N
REPORT TO SUPREME COURT

T
(to be submitted not later than 30 days from investigation’s
termination)

REPORT MUST CONTAIN THE INVESTIGATOR’S:

A
1. Findings of fact
2. Recommendations

U N IV E R S I T Y O F S A N T O T O M A S 150
2023 GOLDEN NOTES
 I. LEGAL ETHICS

PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE IBP

(Rule 139-B, Rules of Court, as amended)

IBP Motu Proprio (Committee on Bar VERIFIED COMPLAINT TO THE IBP BY ANY
Discipline through National Grievance PERSON
Investigator)
Complaint must be:
1. In writing;

W
2. State facts complained of; and
3. Supported by affidavits / documents

A
Shall appoint an investigator / panel of 3
investigators and notify respondent

L
IF NOT MERITORIOUS: IF MERITORIOUS, RESPONDENT TO
Recommend the dismissal of the FILE VERIFIED ANSWER
complaint to the Board of (Must be filed within 15 days from

O
Governors service)

E
DISMISSAL BY BOARD OF GOVERNORS – INVESTIGATION (terminate within 3 months)
(should be promulgated within a period 1. Investigator may issue subpoenas and
not exceeding 30 days from the next administer oaths,

N
meeting of the board following the 2. Provide respondent with opportunity to be
submittal of the investigator’s report) heard,
3. May proceed with investigation ex parte should

E
respondent fail to appear.

A T REPORT TO BOARD OF GOVERNORS (Submitted not later than 30 days from termination
of investigation) containing: (a) Findings of facts; and (b) Recommendations

The Board of Governors shall recommend to the Supreme Court either: (a) the dismissal of the
complaint; or (b) the imposition of disciplinary action against the respondent.

NOTE: The resolution shall be issued within a period not exceeding thirty (30) days from the
next meeting of the Board following the submission of the investigator’s report.

SUPREME COURT FOR

JUDGMENT

151
U N IV E R S I T Y O F S A N T O T O M A S
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
EFFECT OF DESISTANCE OR WITHDRAWAL OF
COMPLAINT OR NON-APPEARANCE IN
DISBARMENT PROCEEDINGS
The desistance or the withdrawal of the
complainant of the charges against a judge/lawyer
does not deprive the court of the authority to
proceed to determine the matter. Nor does it
necessarily result in the dismissal of the complaint
except when, as a consequence of the withdrawal or
EFFECT OF RESIGNATION
Q: Judge Contreras was administratively
charged with Gross Misconduct,
Insubordination and acts inimical to judicial
service. However, Judge Amor filed a COC for the
2002 Barangay Elections, which deemed him
automatically resigned from the judiciary. Can
he still be administratively liable?

W
desistance, no evidence is adduced to prove the A: YES. Judge Amor’s automatic resignation due to
charges. (Presado v. Judge Genova, A.M. No. RTJ-91- his filing of a COC for the 2002 Barangay Elections
657, 21 June 1993) did not divest the Court of its jurisdiction in

A
determining his administrative liability.
The affidavit of withdrawal of the disbarment case Resignation should not be used either as an escape

executed by a complainant does not, in any way,
exonerate the respondent-lawyer. A case of
suspension or disbarment may proceed regardless
of interest or lack of interest of the complainant. The
complainant in a disbarment case is not a direct
L
or an easy way out to evade an administrative
liability or administrative sanction. (OCA v. Judge
Amor, A.M. No. RTJ-08-2140, 07 Oct. 2014)

O
party to the case, but a witness who brought the D. NOTARIAL PRACTICE (A.M. No. 02-8-13-SC, as
matter to the attention of the Court. (Quiachon v. amended)

E
Atty. Ramos, A.C. No. 9317, 04 June 2014)

APPLICABILITY OF DOCTRINE OF
Purpose
RES IPSA LOQUITUR TO JUDGES AND LAWYERS

N
1. To promote, serve, and protect public
The doctrine of res ipsa loquitur is applicable in
interest;

E
cases of dismissal of judges or disbarment of
2. To simplify, clarify, and modernize rules
lawyers. (1996, 2003 BAR)
governing notaries public; and

T
3. To foster ethical conduct among notaries
This principle or doctrine applies to both judges and
public.
lawyers. Judges had been dismissed from the

A
service without the need of a formal investigation
because based on the records, the gross misconduct 1. QUALIFICATIONS OF A NOTARY PUBLIC
or inefficiency of judges clearly appears. (Uy v.
Mercado, A.M. No. R-368-MTJ, 30 Sept. 1987) To be eligible for commissioning as notary public,
the petitioner: (CRAM-Good)
The same principle applies to lawyers. Thus, where
on the basis of the lawyer’s comment or answer to a 1. Must be a Citizen of the Philippines;
show-cause order of Supreme Court, it appears that
the lawyer has so conducted himself in a manner 2. Must be over 21 years of Age;
which exhibits his blatant disrespect to the court, or
his want of good moral character or his violation of 3. Must be a Resident in the Philippines for at
the attorney’s oath, the lawyer may be suspended or least one year and maintains a regular place
disbarred without need of trial-type proceeding. of work or business in the city or province
What counts is that the lawyer has been given the where the commission is to be issued;
opportunity to air his side. (Prudential Bank v.
Castro, A.M. No. 2756, 05 June 1986)

U N IV E R S I T Y O F S A N T O T O M A S 152
2023 GOLDEN NOTES
 I. LEGAL ETHICS
4. Must be a member of the Philippine Bar in
Good standing with clearances from the
Office of the Bar Confidant of the Supreme
Court and IBP; and
5. Must not have been convicted in the first
instance of any crime involving Moral
turpitude.
2. TERM OF OFFICE OF A NOTARY PUBLIC
3. Represents to the notary public that the
signature on the instrument or document
was voluntarily affixed by him for the
purposes stated in the instrument or
document, declares that he has executed
the instrument or document as his free and
voluntary act and deed, and, if he acts in a
particular representative capacity, that he
has the authority to sign in that capacity.

W
NOTE: A notary public should not notarize a
document unless the person who signed the same is
A person commissioned as notary public may
the very same person who executed and personally

A
perform notarial acts in any place within the
appeared before him to attest to the contents and
territorial jurisdiction of the commissioning court
the truth of what are stated therein. Without the
for a period of two years commencing the first day

L
appearance of the person who actually executed the
of January of the year in which the commissioning is
document in question, the notary public would be
made, unless earlier revoked or the notary public
unable to verify the genuineness of the signature of
has resigned under these Rules and Rules of Court.
the acknowledging party and to ascertain that the
document is the party's free act or deed. (Agbulos v.

O
3. POWERS AND LIMITATIONS Viray, A.C. No. 7350, 18 Feb. 2013)

E
Power to perform notarial acts Affirmation or Oath

A notary public is empowered to perform the Refers to an act in which an individual on a single

N
following notarial acts: (J-O-S-A-C-A) occasion:

1. Acknowledgements; 1. Appears in person before the notary public;

E
2. Oaths and Affirmations;
3. Jurats; 2. Is personally known to the notary public or
4. Signature witnessings;

T
identified by the notary public through
5. Copy certifications; and competent evidence of identity as defined
6. Any other act authorized by these rules. by these Rules; and

A
Acknowledgement
Refers to an act in which an individual on a single
occasion:
1. Appears in person before the notary public
and presents an integrally complete
instrument or document;
2. Is attested to be personally known to the
notary public or identified by the notary
public through competent evidence of
identity as defined by these Rules; and
3. Avows under penalty of law to the whole
truth of the contents of the instrument or
document.
Copy Certification
Refers to a notarial act in which a notary public:
1. Is presented with an instrument or.
document that is neither a vital record, a
public record, nor publicly recordable;
2. Copies or supervises the copying of the
instrument or document;

153
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LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
3. Compares the instrument or document
with the copy; and
4. Determines that the copy is accurate and
complete.
Jurat
Refers to an act in which an individual on a single
occasion:
1. Appears in person before the notary public
and presents an instrument or document;
2. Is personally known to the notary public or
identified by the notary public through
competent evidence of identity as defined
by these Rules;
3. Signs the instrument or document in the
presence of the notary; and
4. Takes an oath or affirmation before the
notary public as to such instrument or
document.
N
Signature Witnessing
E
Refers to a notarial act in which an individual on a
single occasion:
T
1. Appears in person before the notary public
and presents an instrument or document;
A
2. Is personally known to the notary public or
identified by the notary public through
competent evidence of identity as defined
by these Rules; and
3. Signs the instrument or document in the
presence of the notary public.
Power to certify the Affixing of a Signature
A notary public is authorized to certify the affixing
of a signature by thumb or other mark on an
instrument or document presented for notarization
if:
U N IV E R S I T Y O F S A N T O T O M A S
2023 GOLDEN NOTES
1. The thumb or other mark is affixed in the
presence of the notary public and of two
disinterested and unaffected witnesses to
the instrument or document;
2. Both witnesses sign their own names in
addition to the thumb or other mark;
3. The notary public writes below the thumb
or other mark: "Thumb or Other Mark
W
affixed by (name of signatory by mark) in
the presence of (names and addresses of
witnesses) and undersigned notary
A
public"; and
L
4. The notary public notarizes the signature
by thumb or other mark through an
acknowledgment, jurat, or signature
witnessing.
O
Power to Sign on behalf
E
A notary public is authorized to sign-on behalf of a
person who is physically unable to sign or make a
mark on an instrument or document if:
1. The notary public is directed by the person
unable to sign or make a mark to sign on his
behalf;
2. The signature of the notary public is affixed
in the presence of two disinterested and
unaffected witnesses to the instrument or
document;
3. Both witnesses sign their own names;
4. The notary public writes below his
signature: "Signature affixed by notary in
presence of (names and addresses of
person and two witnesses)"; and
5. The notary public notarizes his signature
by acknowledgment or jurat.
154
 I. LEGAL ETHICS
Prohibition
A notary public shall not perform a notarial act
outside his regular place of work or business;
provided, however, that on certain exceptional
occasions or situations, a notarial act may be
performed at the request of the parties in the
following sites located within his territorial
jurisdiction:
1. Public offices, convention halls, and similar
places where oaths of office may be
administered;
2. Public function areas in hotels and similar
places for the signing of instruments or
documents requiring notarization;
3. Hospitals and other medical institutions
where a party to an instrument or
O
document is confined for treatment; and
E
4. Any place where a party to an instrument
or document requiring notarization is
under detention.
N
A person shall not perform a notarial act if the
person involved as signatory to the instrument or
E
document:
T
1. Is not in the notary’s presence personally at
the time of the notarization; and
A
2. Is not personally known to the notary
public or otherwise identified by the notary
public through competent evidence of
identity as defined by these Rules.
Disqualification
A notary public is disqualified from performing a
notarial act if he:
1. Is a party to the instrument or document
that is to be notarized;
2. Will receive, as a direct or indirect result,
any commission, fee, advantage, right title,
interest, cash, property, or other
155
consideration, except as provided by these
Rules and by law; or
3. Is a spouse, common-law partner, ancestor,
descendant, or relative by affinity or
consanguinity of the principal within the
fourth civil degree.
Refusal to Notarize
W
A notary public shall not perform any notarial act
described in these Rules for any person requesting
such an act even if he tenders the appropriate fee
A
specified by these Rules if:
L
1. The notary knows or has good reason to
believe that the notarial act or transaction
is unlawful or immoral;
2. The signatory shows a demeanor which
engenders in the mind of the notary public
reasonable doubt as to the farmer's
knowledge of the consequences of the
transaction requiring a notarial act; and
3. In the notary's judgment, the signatory is
not acting of his or her own free will.
Other Limitations of a Notary Public:
1. A notary public shall not execute a
certification containing information known
or believed by the notary to be FALSE or to
affix an official signature or seal on a
notarial certificate that is INCOMPLETE;
and
2. A notary public shall not notarize a blank or
incomplete instrument or document or any
instrument or document without
appropriate notarial certification.
4. NOTARIAL REGISTER
A notary public shall keep, maintain, protect and
provide for lawful inspection as provided in these
Rules, a chronological official notarial register of
U N IV E R S I T Y O F S A N T O T O M A S
FACULTY OF CIVIL LAW
LEGAL AND JUDICIAL ETHICS WITH PRACTICAL EXERCISES
notarial acts consisting of a permanently bound
book with numbered pages.
Entries in the Notarial Register
For notarial act, the notary shall record in the
notarial register at the time of notarization the
following:
1. The entry number and page number;
NOTE: The act of notarizing documents in a place
outside of or beyond the authority granted by his
notarial commission, partakes of malpractice of law
and falsification. Where the notarization of a
document is done by a member of the Philippine Bar
at a time when he has no authorization or
commission to do so, the offender may be subjected
to disciplinary action. (Tan Tiong Bio v. Atty
Gonzales A.C. No. 6634, 23 Aug. 2007)

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6. COMPETENT EVIDENCE OF IDENTITY
2. The date and time of day of the notarial
act;

A
Identification Documents issued by an official
agency bearing the photograph and signature of the
3. The type of notarial act;
individual accepted as Competent Evidence of

L
Identity include but are not limited to:
4. The title or description of the instrument,
document or proceeding;
1. Passport;
2. Driver’s license;
5. The name and address of each principal;

O
3. Professional Regulations Commission ID;
4. National Bureau of Investigation clearance;
6. The competent evidence of identity as
5. Police clearance;

E
defined by these Rules if the signatory is
6. Postal ID;
not personally known to the notary;
7. Voter’s ID;
8. Barangay certification;
7. The name and address of each credible

N
9. Government Service and Insurance System
witness swearing to or affirming the
(GSIS) e-card;
person's identity;
10. Social Security System (SSS) card;

E
11. Philhealth card;
8. The fee charged for the notarial act;
12. Senior citizen card;

T
13. Overseas Workers Welfare Administration
9. The address where the notarization was
(OWWA) ID;
performed if not in the notary's regular
14. OFW ID;

A
place of work or business; and
15. Seaman’s book;

10. Any other circumstance the notary public

may deem of significance or relevance.
5. JURISDICTION OF NOTARY PUBLIC AND
PLACE OF NOTARIZATION
A person commissioned as notary public may
perform notarial acts in any place within the
territorial jurisdiction of the commissioning court
for a period of two years commencing the first day
of January of the year in which the commissioning is
made, unless earlier revoked or the notary public
has resigned under these Rules and Rules of Court.
16. Alien certificate of registration/immigrant
certificate of registration, government
office ID; and
17. Certification from the National Council for
the Welfare of Disable Persons (NCWDP),
Department of Social Welfare and
Development (DSWD) certification; or
Q: Myra asked Atty. Elma to notarize her deed of
sale. When Elma asked for Myra's competent
evidence of identity, she explained that she does
not have any current identification document

U N IV E R S I T Y O F S A N T O T O M A S 156
2023 GOLDEN NOTES
 I. LEGAL ETHICS
nor could she get one soon. Instead, she
presented her friend, Alex, who showed Atty.
Elma his driver’s license and confirmed her
Myra’s identity. Is Alex’s identification of Myra
valid? (BAR 2011)
A: NO. Myra needs to produce a valid identification
document of herself.
Other Competent Evidence of Identity
The oath or affirmation of one credible witness not
privy to the instrument, document or transaction
who is personally known to the notary public and
who personally knows the individual, or of two
credible witnesses neither of whom is privy to the
instrument, document or transaction who each
personally knows the individual and shows to the
notary public documentary identification.
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NOTE: A notary public should not notarize a
document unless the person who signed the same is
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the very person who executed and personally
appeared before him to attest to the contents and
the truth of what are stated therein. (Bartolome v.
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Basilio, A.C. No. 10783, 14 Oct. 2015)
NOTE: A community tax certificate or cedula is no
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longer considered as a valid and competent
evidence of identity not only because it is not
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included in the list of competent evidence of identity
under the Rules; but moreso, it does not bear the
photograph and signature of the persons appearing
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before them, which the Rules deem as the more
appropriate and competent means by which
notaries public can ascertain the person's identity.
(Baysac v. Atty. Aceron-Papa, A.C. No. 10231, 10 Aug.
2016)
7. SANCTIONS
Grounds for Revocation and Administrative
Sanctions:
The Executive Judge shall revoke a notarial
commission for:
1. Any ground on which an application for a
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commission may be denied; or
2. Any notary public who:
a) Fails to keep a notarial register;
b) Fails to make the proper entry or
entries in his notarial register
concerning his notarial acts;
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c) Fails to send the copy of the entries to
the Executive Judge within the first ten
(10) days of the month following;
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d) Fails to affix to acknowledgments the
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date of expiration of his commission;
e) Fails to submit his notarial register,
when filled, to the Executive Judge;
f) Fails to make his report, within a
reasonable time, to the Executive Judge
concerning the performance of his
duties, as may be required by the
judge;
g) Fails to require the presence of a
principal at the time of the notarial act;
h) Fails to identify a principal on the basis
of personal knowledge or competent
evidence;
i) Executes a false or incomplete
certificate under Section 5, Rule IV;
j) Knowingly performs or fails to perform
any other act prohibited or mandated
by these Rules; and
k) Commits any other dereliction or act
which in the judgment of the Executive
Judge constitutes· good cause for
revocation of commission or
imposition of administrative sanction.
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Other Grounds for Imposition of Administrative
Sanctions

1. If the charges in a verified complaint by an

interested, affected or aggrieved party are duly
established; or

2. If the charges in an administrative proceeding

initiated motu proprio by the Executive Judge
against the notary public on the grounds for

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Revocation and Administrative Sanctions are
duly established.

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Publication

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The names of notaries public who have been
administratively sanctioned or whose notarial
commissions have been revoked shall be posted in a
conspicuous place in the offices of the Executive
Judge and of the Clerk of Court.

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 II. JUDICIAL ETHICS

2. CODE OF JUDICIAL CONDUCT

II. JUDICIAL ETHICS
Took effect on 20 Oct. 1989. This Code was drafted
by the Committee on the Code of Judicial Conduct
under the chairmanship of Justice Irene Cortes.
A. SOURCES
This Code shall be applicable in a suppletory
character in case of deficiency or absence of specific
provisions in the New Code of Judicial Conduct for
Sources of Judicial Ethics are:

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the Philippine Judiciary. (A.M. No. 03-05-01-SC)
1. New Code of Judicial Conduct for the
Philippine Judiciary; (A.M. No. 03-05-01-
SC)

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2. Code of Judicial Conduct of 1989 B. QUALITIES
3. Canons of Judicial Ethics; (Administrative

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Order No. 162)
4. Code of Professional Responsibility; A Judge must possess the following qualities under
5. 1987 Constitution; the New Code of Judicial Conduct for the Philippine
6. Rules of Court; Judiciary: (Im-Pr-Int-In-CoD-E)
7. Judicial Bar and Council Rules

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8. Revised Penal Code (Arts. 204-207) 1. Independence;
9. Jurisprudence 2. Integrity;

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10. Supreme Court Administrative Issuances 3. Impartiality;
4. Propriety;
1. NEW CODE OF JUDICIAL CONDUCT FOR THE 5. Equality; and

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PHILIPPINE JUDICIARY 6. Competence and Diligence

Basis 1. INDEPENDENCE

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The Bangalore Draft adopted by the Judicial Group
on Strengthening Judicial Integrity, which was Judicial Independence is a pre-requisite to the rule

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intended to be the Universal Declaration of Judicial of law and a fundamental guarantee of a fair trial. A
Standards, as revised by the Round Table judge shall therefore uphold and exemplify Judicial
Conference of Chief Justices held at The Hague on independence in both its individual and

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November 25-26, 2002. institutional aspects. (Canon 1, RCE)

Q: Who is a Judge? 2. INTEGRITY

A: Any person exercising judicial power, however

Integrity is essential not only to the proper
designated. A judge is a public officer selected to
discharge of the judicial office but also to the
preside and to administer law in a court of justice.
personal demeanor of judges.
(Collector of Customs v. Villaluz, 71 SCRA 365, 1976)

NOTE: A judge is the visible representation of the 3. IMPARTIALITY

law and, more importantly, of justice. He must be
the embodiment of competence, integrity and Impartiality is essential to the proper discharge of
independence. (OCA v. Judge Sanches, 26 June 2001) the judicial office and applies to:

1. The decision itself; and

2. The process by which the decision is made.
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NOTE: The time honored rule is that a public official
whose duty is to apply the law and dispense justice,
be he a judge of lower court or a justice of the
appellate courts, should not only be impartial,
independent and honest but should be believed and
perceived to be impartial, independent and honest.
(Nazareno v. Almario, A.M. No. RTJ-94-1195, 26 Feb.
1997)
Q: Cacai, a law student, filed an administrative
complaint against RTC Judge Casimiro Conde,
her professor in law school, based on the
following allegations:
1. In a school convocation where Judge
Conde was the guest speaker, Judge
Conde openly disagreed and criticized a
recently-decided Supreme Court
decision and even stressed that the
decision of the Supreme Court in that
case was a serious violation of the
Constitution.
2. In his class discussions, Judge Conde
named Cacai’s mother, an MTC judge, as
one of the judges involved in a marriage
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scam. At that time, the case against her
mother was still pending. Judge Conde
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also included in his class discussion
Cacai’s brother whom he referred to as
a “court-noted drug addict.”
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Cacai asserted that the acts of Judge Conde were
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open displays of insensitivity, impropriety, and
lack of delicadeza bordering on oppressive and
abusive conduct. She also alleged that Judge
Conde acted with absolute disrespect for the
Court and violated the “subjudice rule” when he
discussed the marriage scam involving her
mother because, at that time, the case was still
pending. In his defense, Judge Conde argued that
the case he discussed in the school convocation
was already of public knowledge and had been
published after it had become final. He also said
it was part of his academic freedom to openly
discuss and criticize a decision of the Court since
it was already decided with finality, was
patently erroneous, and clearly a violation of the
Constitution.
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With respect to discussions in class about
Cacai’s mother, he said that the marriage scam
where her mother was charged scandalized the
Judiciary and became public knowledge when
the Office of the Court Administrator held a
press conference on the matter and, that as a
citizen, he could comment thereon in the
exercise of his rights to freedom of speech and
expression. He also asserted that his discussions
in both fora could not be the subject of an
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administrative complaint because they were not
done in the performance of his judicial duties.
Rule on each of the charges raised by Cacai, and
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the corresponding defenses raised by Judge
Conde. (2018 BAR)
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A: The New Code of Judicial Conduct provides that
judges, like any other citizens, are entitled to
freedom of expressions, belief, association and
assembly, but in exercising such right, they shall
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always conduct themselves in such a manner as to
preserve the dignity of the judicial office and the
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impartiality of the judiciary. Judge Conde, however,
should not have criticized in public the Supreme
Court decision as a serious violation of the
Constitution. He should have avoided any
discussion in order to preserve the traditional non-
involvement of the judiciary in public discussion of
controversial issues (In re: Query of the MTC
Lawyers of Zamboanga del Norte, A.M. No. 86-11-
3690).
4. PROPRIETY
Propriety and the appearance of propriety are
essential to the performance of all the activities of a
judge.
NOTE: The conduct and behavior of everyone
connected with an office charged with the
dispensation of justice is circumscribed with the
heavy burden of responsibility. His conduct at all
times must be characterized with propriety and
must be above suspicion. He must be free of even a
whiff of impropriety, not only with respect to the
performance of his judicial duties, but also his
behavior outside the courtroom and as individual. A
Justice of the Court of Appeals did not live up to
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 II. JUDICIAL ETHICS
these expectations when, through indiscretions, he
had been mentioned in the newspapers of having C. DISQUALIFICATION OF JUDICIAL OFFICERS
lawyered for a suspected drug queen and interfered
with her prosecution. (In Re: Derogatory News Items
Charging Court of Appeals Justice Demetria with
Interference on Behalf of Suspected Drug Queen, A.C. 1. COMPULSORY
No. 00-09-CA, 27 Mar. 2001)
Grounds for Compulsory Disqualification of
Actions subject to the proper performance of Judges
judicial duties that Judges may take:

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1. He, or his wife or child, is pecuniarily
1. Write, lecture, teach and participate in interested as heir, legatee, creditor or
activities concerning the law, the legal otherwise;

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system, the administration of justice or
related matters; 2. He is related to either party within the sixth

2. Appear at a public hearing before an official
body concerned with matters relating to
the law, the legal system, the
administration of justice or related
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degree of consanguinity or affinity, or to
counsel within the fourth degree,
computed according to the rules of the civil
law;

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matters; 3. He has been executor, administrator,
guardian, trustee or counsel; or

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3. Engage in other activities if such activities
do not detract from the dignity of the 4. He has been presided in any inferior court
judicial office or otherwise interfere with when his ruling or decision is the subject of

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the performance of judicial duties. (Sec. 10, review. (Sec. 1, Rule 137, ROC)
Canon 4, A.M. No. 03-05-01-SC)
In the case of compulsory disqualification, the law

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5. EQUALITY conclusively presumes that a judge cannot
objectively or impartially sit in a case and, for that
reason, prohibits him and strikes at his authority to

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Ensuring equality of treatment to all before the
hear and decide it, in the absence of written consent
courts is essential to the due performance of the
of all parties concerned. (Gutierrez v. Santos, 112
judicial office.

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Phil. 184, 1961)

6. COMPETENCE AND DILIGENCE NOTE: The disqualification of the person called

Competence and diligence are prerequisites to the
due performance of judicial office.
NOTE: A judge should be a man of learning in all
aspects of the law and should know how to use that
learning. He owes it to the public and to the legal
profession to know the very law he is supposed to
apply to a given controversy. He should be studious
of the principles of law and diligent endeavoring to
ascertain the facts. He should exhibit more than just
a cursory acquaintance with the statutes and
procedures. (Del Callar v. Salvador, A.M. No. RTJ-97-
1369, 17 Feb. 1997)
upon to preside over a specific case does not divest
his court of jurisdiction over the subject-matter of
or the persons of the parties to the said case. At
most, the disqualification strikes only at the
authority of the challenged judge to preside over the
trial of the specific case and therein to exercise the
jurisdiction of the court. (Geotina v. Gonzales, G.R.
No. L-26310, 30 Sept. 1971)

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Grounds for Compulsory Disqualification of
Judicial Officers under the New Code of Judicial D. DISCIPLINE AND ADMINISTRATIVE
Conduct for the Philippine Judiciary JURISDICTION OVER MEMBERS OF THE
JUDICIARY
1. The judge has actual bias or prejudice
concerning a party or personal knowledge
of disputed evidentiary facts concerning
Acts which constitute grounds for discipline
the proceedings;
1. Malfeasance;
2. Misfeasance; and
2. The judge previously served as a lawyer or

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3. Nonfeasance.
was a material witness in the matter in
controversy;
Malfeasance vs. Misfeasance vs. Nonfeasance

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3. The judge, or a member of his or her family,
Malfeasance Misfeasance Nonfeasance
has an economic interest in the outcome of
Performance Improper Omission of

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the matter in controversy;
of some act performance an act which
which ought of some act ought to be
4. The judge served as executor,
not to be done which might performed
administrator, guardian, trustee or lawyer
lawfully be
in the case or matter in controversy, or a

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done
former associate of the judge served as
counsel during their association, or the
General categories of the grounds for

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judge or lawyer was a material witness
suspension or dismissal
therein;

1. Those related to the discharge of the

5. The judge's ruling in a lower court is the

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functions of the office concerned such as
subject of review;
neglect of duty, oppression, corruption or
other forms of mal-administration; or

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6. The judge is related by consanguinity or
affinity to a party litigant within the sixth
2. Those not related to, or connected with, the
civil degree or to counsel within the fourth

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functions of the office, such as the
civil degree; or
commission of a crime.

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7. The judge knows that his or her spouse or
Classification of Administrative charges
child has a financial interest, as heir,
legatee, creditor, fiduciary, or otherwise, in
1. Serious;
the subject matter in controversy or in a
2. Less Serious; and
party to the proceeding, or any other
3. Light.
interest that could be substantially affected
by the outcome of the proceedings. (Sec. 5,
Serious charges
Canon 3, A.M. No. 03-05-01-SC)
1. Bribery, direct or indirect;

2. VOLUNTARY 2. Dishonesty and violations of the Anti-Graft

A judge may, in the exercise of his sound discretion,
disqualify himself from sitting in a case, for just or
valid reasons other than those mentioned above.
(Sec. 1, Rule 137, Rules of Court)
and Corrupt Practices Law (R.A. No. 3019);
3. Gross misconduct constituting violations of
the Code of Judicial Conduct;

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 II. JUDICIAL ETHICS
4. Knowingly rendering an unjust judgment NOTE: The enumerated acts constituting serious,
or order as determined by a competent less serious, and light charges or administrative
court in an appropriate proceeding; offenses, respectively, are not exclusive. (Agpalo,
2009)
5. Conviction of a crime involving moral
turpitude; 1. SUPREME COURT

6. Willful failure to pay a just debt;

Authority to discipline

7. Borrowing money or property from

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1. Administrative supervision over all courts
lawyers and litigants in a case pending
and the personnel; and (Sec. 6, Art. VIII,
before the court;
1987 Constitution)

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8. Immorality;
2. Power to discipline judges of lower courts,
9. Gross ignorance of the law or procedure;
or order their dismissal by a vote of a

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10. Partisan political activities; and
majority of the Members en banc who
11. Alcoholism and/or vicious habits
actually took part in the deliberations on
the issues in the case and voted thereon.
Less serious charges
(Sec. 11, Art. VIII, 1987 Constitution)

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1. Undue delay in rendering a decision or
Only the Supreme Court can oversee compliance
order, or in transmitting the records of a
with the law and the Rules of Court on the part of

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case;
the Presiding Justice of the Court of Appeals down
to the lowest municipal trial court judge, and take
2. Frequent and unjustified absences without
the proper administrative action against them if

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leave of habitual tardiness;
they commit any violation thereof, requiring
supervisory or administrative sanction (Maceda v.
3. Unauthorized practice of law;
Vasquez, G.R. No. 102781, 22 Apr. 1993)

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4. Violation of Supreme Court rules, directive,
NOTE: Members of the Supreme Court, the

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and circulars;
Constitutional Commissions, and the Ombudsman
may be removed from office through impeachment.
5. Receiving additional or double
All other members of the judiciary may be removed

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compensation unless specifically
from office as provided by law, but not by
authorized by law;
impeachment. (Sec. 2, Art. XI, 1987 Constitution)

6. Untruthful statements in the certificate of

a) IMPEACHMENT
service; and

Proceedings of Impeachment
7. Simple misconduct.

Impeachment shall be initiated by the filing and

Light charges
subsequent referral to the Committee of Justice of:

1. Vulgar and unbecoming conduct;

1. A verified complaint for impeachment filed
2. Gambling in public;
by any Member of the House of
3. Fraternizing with lawyers and litigants
Representatives;
with pending case/cases in his court; and
4. Undue delay in the submission of monthly
reports.

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2. A verified complaint filed by any citizen
upon a resolution of endorsement by any
Member thereof; or
3. A verified complaint or resolution of
impeachment filed by at least 1/3 of all
Members of the House. (Sec. 2, Rule II, Rules
of Procedure in Impeachment Proceedings)
Grounds for Impeachment
3. Upon anonymous complaint, supported by
public records of indubitable integrity.
NOTE: The complaint shall be in writing and shall
state clearly and concisely the acts and omissions
constituting violations of standards of conduct
prescribed for judges by law, the Rules of Court, or
the Code of Judicial Conduct (Sec. 1, Rule 140, Rules
of Court)

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1. Culpable violation of the Constitution;
2. Treason;

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3. Bribery;
4. Graft and Corruption;

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5. Other high crimes; or
6. Betrayal of public trust (Sec. 2, Art. XI, 1987
Constitution)

NOTE: Once the said impeachable officer is no

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longer in office because of his removal, resignation,
retirement or permanent disability, the Court may

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proceed against him or her and impose the
corresponding sanctions for misconduct committed
during his tenure (In re: Undated letter of Mr. Louis
C. Biraogo, A.M. No. 09-2-19-SC, 24 Feb. 2009)

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The Court dismissed the complaint for failure of

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Atty. Pena to substantiate his allegations against
Justices Carpio and Sereno, and that the same are
purely conjectures which cannot be a subject of

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judicial review. (In Re: Letter Coplaint of Atty. Pena
against Justices Carpio and Sereno, A.M. No. 12-6-11-

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SC, 13 June 2012)

2. LOWER COURT JUDGES AND JUSTICES

Proceedings for the discipline of Lower Court

Judges and Justices

1. Instituted motu proprio by the Supreme

Court;

2. Upon a verified complaint supported by

affidavits of persons who have personal
knowledge of the facts alleged therein or by
documents which may substantiate said
allegations; or

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 II. JUDICIAL ETHICS
a) SANCTIONS IMPOSED BY THE SUPREME COURT ON ERRING MEMBERS OF THE JUDICIARY

Serious vs. Less serious vs. Light charges

SERIOUS LESS SERIOUS LIGHT

As to their Acts

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(a)Bribery, direct or indirect;

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(b) Dishonesty and violations of
the Anti-Graft and Corrupt

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Practices Law (R.A. No. 3019);

(a) Undue delay in rendering a

(c) Gross misconduct constituting
decision or order, or in
violations of the Code of Judicial
transmitting the records of a case;
Conduct;

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(b) Frequent and unjustified (a) Vulgar and unbecoming
(d) Knowingly rendering an unjust
absences without leave of habitual conduct;

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judgment or order as determined
tardiness;
by a competent court in an
(b) Gambling in public;
appropriate proceeding;
(c) Unauthorized practice of law;

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(c) Fraternizing with lawyers and
(e) Conviction of a crime involving
(d) Violation of Supreme Court litigants
moral turpitude;
rules, directive, and circulars;

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(d) With pending case/cases in his
(f) Willful failure to pay a just debt;
(e) Receiving additional or double court; and

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compensation unless specifically
(g) Borrowing money or property
authorized by law; (e) Undue delay in the submission
from lawyers and litigants in a case
of month reports. (Sec. 10, Rule
pending before the court;

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(f) Untruthful statements in the 140, ROC)
certificate of service; and
(h) Immorality;

(g) Simple misconduct. (Sec. 9, Rule

(i)Gross ignorance of the law or
140, ROC)
procedure;

(j)Partisan political activities; and

(k) Alcoholism and/or vicious

habits. (Sec. 8, Rule 140, ROC)

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As to their Sanctions

(a) Dismissal from the service,

forfeiture of all or part of the
benefits as the Court may
determine, and disqualification
from reinstatement or
appointment to any public office,
(a) A fine of not less than
including government-owned or
(a) Suspension from office without P1,000.00 but not exceeding

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controlled corporations. Provided,
salary and other benefits for not P10,000.00 and/or
however, that the forfeiture of
less than one (1) nor more than
benefits shall in no case include
three (3) months; or (b) Censure;

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accrued leave credits;

(b) A fine of more than P10,000.00 (c) Reprimand;

(b) Suspension from office without

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but not exceeding P20,000.00.
salary and other benefits for more
(Sec. 11(b), Rule 140, ROC) (d) Admonition with warning. (Sec.
than three (3) but not exceeding
11(c), Rule 140, Rules of Court)
six (6) months; or

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(c) A fine of more than P20,000.00
but not exceeding P40,000.00.
(Sec. 11(a), Rule 140, Rules of

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Court)

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 III. PRACTICAL EXERCISES

III. PRACTICAL EXERCISES

Cardinal rules in drafting legal documents

1. Begin the document with its proper designation;

2. State the personal circumstances of the parties;
3. State the principal or operational clauses in separate or numbered paragraphs, for ready reference;

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4. Be precise and concise in writing the document;
5. Define technical terms, or those terms with special meanings;
6. Avoid pronouns;

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7. Observe neatness;
8. This clause may be inserted at the end of an agreement: “This contract shall extend and shall be binding
upon the parties thereto, their executors, administrators and assigns.”; and

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9. Indicate the place and date of execution (Guevarra, 2010)

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A. DEMAND LETTER

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B. DEED OF SALE OF REAL PROPERTY AND DEED OF SALE OF PERSONAL PROPERTY

SALE OF REAL PROPERTY

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SALE OF PERSONAL PROPERTY

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 III. PRACTICAL EXERCISES

C. CONTRACT OF LEASE

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D. SPECIAL POWER OF ATTORNEY

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E. VERIFICATION AND CERTIFICATE OF NON-FORUM SHOPPING

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F. JUDICIAL AFFIDAVIT

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G. NOTARIAL CERTIFICATES

1. JURAT

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2. ACKNOWLEDGMENT

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4

TE
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H. MOTIONS

1. MOTION FOR SUMMARY JUDGMENT

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2. MOTION TO DISMISS

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against the plaintiff.

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3. MOTION TO DECLARE IN DEFAULT

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WHEREFORE, Plaintiff respectfully prays that Defendant be declared in default and

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that Plaintiff be allowed to present evidence ex parte.

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I. QUITCLAIMS IN LABOR CASES

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J. INFORMATION IN CRIMINAL CASES

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 APPENDIX
LAWYER’S OATH

I, ___________________, of _____________, do solemnly swear that I will maintain allegiance to the Republic of the
Philippines, I will support the Constitution and obey the laws as well as the legal orders of the duly constituted
authorities therein; I will do no falsehood, nor consent to the doing of any in court; I will not wittingly or willingly
promote or sue any groundless, false or unlawful suit, or give aid nor consent to the same; I will delay no man for
money or malice, and will conduct myself as a lawyer according to the best of my knowledge and discretion, with all
good fidelity as well to the courts as to my clients; and I impose upon myself these voluntary obligations without any
mental reservation or purpose of evasion. So help me God.

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NEW LAWYER’S OATH UNDER THE CPRA (A.M. No. 22-09-01-SC, 13 Apr. 2023)

“I, ____________, do solemnly swear that I accept the honor, privilege, duty, and responsibility of practicing law in the

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Philippines as an officer of the court in the interest of our people.

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I declare fealty to the Constitution of the Republic of the Philippines. In so doing, I shall work towards promoting the
rule of law in a regime of truth, justice, freedom, love, equality, and peace.

I shall conscientiously and courageously work for justice as well as safeguard the rights and meaningful freedoms
of all persons, identities, and communities. I shall ensure greater and equitable access to justice.

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I shall do no falsehood, nor shall I pervert the law to unjustly favor or prejudice anyone. I shall faithfully discharge

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these duties and responsibilities to the best of my ability, with integrity and utmost civility.

I impose upon myself without mental reservation nor purpose of evasion so help me God.”

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CODE OF PROFESSIONAL RESPONSIBILITY

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CHAPTER I. THE LAWYER AND SOCIETY

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CANON 1 - A LAWYER SHALL UPHOLD THE CONSTITUTION, OBEY THE LAWS OF THE LAND AND PROMOTE
RESPECT FOR LAW OF AND LEGAL PROCESSES.

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Rule 1.01 - A lawyer shall not engage in unlawful, dishonest, immoral or deceitful conduct.

Rule 1.02 - A lawyer shall not counsel or abet activities aimed at defiance of the law or at lessening
confidence in the legal system.

Rule 1.03 - A lawyer shall not, for any corrupt motive or interest, encourage any suit or proceeding or
delay any man's cause.

Rule 1.04 - A lawyer shall encourage his clients to avoid, end or settle a controversy if it will admit of a fair
settlement.

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CANON 2 - A LAWYER SHALL MAKE HIS LEGAL SERVICES AVAILABLE IN AN EFFICIENT AND CONVENIENT
MANNER COMPATIBLE WITH THE INDEPENDENCE, INTEGRITY AND EFFECTIVENESS OF THE
PROFESSION.
Rule 2.01 - A lawyer shall not reject, except for valid reasons, the cause of the defenseless or the oppressed.

Rule 2.02 - In such cases, even if the lawyer does not accept a case, he shall not refuse to render legal advice
to the person concerned if only to the extent necessary to safeguard the latter's rights.

Rule 2.03 - A lawyer shall not do or permit to be done any act designed primarily to solicit legal business.

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Rule 2.04 - A lawyer shall not charge rates lower than those customarily prescribed unless the
circumstances so warrant.

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CANON 3 - A LAWYER IN MAKING KNOWN HIS LEGAL SERVICES SHALL USE ONLY TRUE, HONEST, FAIR,
DIGNIFIED AND OBJECTIVE INFORMATION OR STATEMENT OF FACTS.

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Rule 3.01 - A lawyer shall not use or permit the use of any false, fraudulent, misleading, deceptive,
undignified, self-laudatory or unfair statement or claim regarding his qualifications or legal services.

Rule 3.02 - In the choice of a firm name, no false, misleading or assumed name shall be used. The continued
use of the name of a deceased partner is permissible provided that the firm indicates in all its

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communications that said partner is deceased.

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Rule 3.03 - Where a partner accepts public office, he shall withdrawal from the firm and his name shall be
dropped from the firm name unless the law allows him to practice law currently.

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Rule 3.04 - A lawyer shall not pay or give anything of value to representatives of the mass media in
anticipation of, or in return for, publicity to attract legal business.

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CANON 4 – A LAWYER SHALL PARTICIPATE IN THE DEVELOPMENT OF THE LEGAL SYSTEM BY INITIATING
OR SUPPORTING EFFORTS IN LAW REFORM AND IN THE IMPROVEMENT OF THE ADMINISTRATION OF

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JUSTICE.

CANON 5 - A LAWYER SHALL KEEP ABREAST OF LEGAL DEVELOPMENTS, PARTICIPATE IN CONTINUING

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LEGAL EDUCATION PROGRAMS, SUPPORT EFFORTS TO ACHIEVE HIGH STANDARDS IN LAW SCHOOLS AS
WELL AS IN THE PRACTICAL TRAINING OF LAW STUDENTS AND ASSIST IN DISSEMINATING THE LAW AND
JURISPRUDENCE.

CANON 6 - THESE CANONS SHALL APPLY TO LAWYERS IN GOVERNMENT SERVICES IN THE DISCHARGE OF
THEIR TASKS.
Rule 6.01 - The primary duty of a lawyer engaged in public prosecution is not to convict but to see that
justice is done. The suppression of facts or the concealment of witnesses capable of establishing the
innocence of the accused is highly reprehensible and is cause for disciplinary action.

Rule 6.02 - A lawyer in the government service shall not use his public position to promote or advance his
private interests, nor allow the latter to interfere with his public duties.

Rule 6.03 - A lawyer shall not, after leaving government service, accept engagement or employment in
connection with any matter in which he had intervened while in said service.

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CHAPTER II. THE LAWYER AND THE LEGAL PROFESSION

CANON 7 - A LAWYER SHALL AT ALL TIMES UPHOLD THE INTEGRITY AND DIGNITY OF THE LEGAL
PROFESSION AND SUPPORT THE ACTIVITIES OF THE INTEGRATED BAR.
Rule 7.01 - A lawyer shall be answerable for knowingly making a false statement or suppressing a material
fact in connection with his application for admission to the bar.

Rule 7.02 - A lawyer shall not support the application for admission to the bar of any person known by
him to be unqualified in respect to character, education, or other relevant attribute.

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Rule 7.03 - A lawyer shall not engage in conduct that adversely reflects on his fitness to practice law, nor
shall he whether in public or private life, behave in a scandalous manner to the discredit of the legal
profession.

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CANON 8 - A LAWYER SHALL CONDUCT HIMSELF WITH COURTESY, FAIRNESS AND CANDOR TOWARDS

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HIS PROFESSIONAL COLLEAGUES, AND SHALL AVOID HARASSING TACTICS AGAINST OPPOSING COUNSEL.
Rule 8.01 - A lawyer shall not, in his professional dealings, use language which is abusive, offensive or
otherwise improper.

Rule 8.02 - A lawyer shall not, directly or indirectly, encroach upon the professional employment of

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another lawyer, however, it is the right of any lawyer, without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful or neglectful counsel.

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CANON 9 - A LAWYER SHALL NOT, DIRECTLY OR INDIRECTLY, ASSIST IN THE UNAUTHORIZED PRACTICE
OF LAW.

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Rule 9.01 - A lawyer shall not delegate to any unqualified person the performance of any task which by
law may only be performed by a member of the bar in good standing.

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Rule 9.02 - A lawyer shall not divide or stipulate to divide a fee for legal services with persons not licensed
to practice law, except:

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(a) Where there is a pre-existing agreement with a partner or associate that, upon the latter's death,
money shall be paid over a reasonable period of time to his estate or to persons specified in the
agreement; or

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(b) Where a lawyer undertakes to complete unfinished legal business of a deceased lawyer; or

(c) Where a lawyer or law firm includes non-lawyer employees in a retirement plan even if the plan
is based in whole or in part, on a profit sharing agreement.

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CHAPTER III. THE LAWYER AND THE COURTS

CANON 10 - A LAWYER OWES CANDOR, FAIRNESS AND GOOD FAITH TO THE COURT.
Rule 10.01 - A lawyer shall not do any falsehood, nor consent to the doing of any in Court; nor shall he
mislead, or allow the Court to be misled by any artifice.

Rule 10.02 - A lawyer shall not knowingly misquote or misrepresent the contents of a paper, the language
or the argument of opposing counsel, or the text of a decision or authority, or knowingly cite as law a
provision already rendered inoperative by repeal or amendment, or assert as a fact that which has not
been proved.

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Rule 10.03 - A lawyer shall observe the rules of procedure and shall not misuse them to defeat the ends of
justice.

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CANON 11 - A LAWYER SHALL OBSERVE AND MAINTAIN THE RESPECT DUE TO THE COURTS AND TO

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JUDICIAL OFFICERS AND SHOULD INSIST ON SIMILAR CONDUCT BY OTHERS.
Rule 11.01 - A lawyer shall appear in court properly attired.

Rule 11.02 - A lawyer shall punctually appear at court hearings.

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Rule 11.03 - A lawyer shall abstain from scandalous, offensive or menacing language or behavior before
the Courts.

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Rule 11.04 - A lawyer shall not attribute to a Judge motives not supported by the record or have no
materiality to the case.

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Rule 11.05 - A lawyer shall submit grievances against a Judge to the proper authorities only.

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CANON 12 - A LAWYER SHALL EXERT EVERY EFFORT AND CONSIDER IT HIS DUTY TO ASSIST IN THE
SPEEDY AND EFFICIENT ADMINISTRATION OF JUSTICE.

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Rule 12.01 - A lawyer shall not appear for trial unless he has adequately prepared himself on the law and
the facts of his case, the evidence he will adduce and the order of its proferrence. He should also be ready
with the original documents for comparison with the copies.

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Rule 12.02 - A lawyer shall not file multiple actions arising from the same cause.

Rule 12.03 - A lawyer shall not, after obtaining extensions of time to file pleadings, memoranda or briefs,
let the period lapse without submitting the same or offering an explanation for his failure to do so.

Rule 12.04 - A lawyer shall not unduly delay a case, impede the execution of a judgment or misuse Court
processes.

Rule 12.05 - A lawyer shall refrain from talking to his witness during a break or recess in the trial, while
the witness is still under examination.

Rule 12.06 - A lawyer shall not knowingly assist a witness to misrepresent himself or to impersonate
another.

Rule 12.07 - A lawyer shall not abuse, browbeat or harass a witness nor needlessly inconvenience him.

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Rule 12.08 - A lawyer shall avoid testifying in behalf of his client, except:
(a) on formal matters, such as the mailing, authentication or custody of an instrument, and the like;
or
(b) on substantial matters, in cases where his testimony is essential to the ends of justice, in which
event he must, during his testimony, entrust the trial of the case to another counsel.

CANON 13 - A LAWYER SHALL RELY UPON THE MERITS OF HIS CAUSE AND REFRAIN FROM ANY
IMPROPRIETY WHICH TENDS TO INFLUENCE, OR GIVES THE APPEARANCE OF INFLUENCING THE COURT.
Rule 13.01 - A lawyer shall not extend extraordinary attention or hospitality to, nor seek opportunity for
cultivating familiarity with Judges.

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Rule 13.02 - A lawyer shall not make public statements in the media regarding a pending case tending to
arouse public opinion for or against a party.

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Rule 13.03 - A lawyer shall not brook or invite interference by another branch or agency of the government

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in the normal course of judicial proceedings.

CHAPTER IV. THE LAWYER AND THE CLIENT

CANON 14 - A LAWYER SHALL NOT REFUSE HIS SERVICES TO THE NEEDY.

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Rule 14.01 - A lawyer shall not decline to represent a person solely on account of the latter's race, sex.
creed or status of life, or because of his own opinion regarding the guilt of said person.

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Rule 14.02 - A lawyer shall not decline, except for serious and sufficient cause, an appointment as counsel
de officio or as amicus curiae, or a request from the Integrated Bar of the Philippines or any of its chapters

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for rendition of free legal aid.

Rule 14.03 - A lawyer may not refuse to accept representation of an indigent client unless:

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(a) he is not in a position to carry out the work effectively or competently;
(b) he labors under a conflict of interest between him and the prospective client or between a

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present client and the prospective client.

Rule 14.04 - A lawyer who accepts the cause of a person unable to pay his professional fees shall observe

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the same standard of conduct governing his relations with paying clients.

CANON 15 - A LAWYER SHALL OBSERVE CANDOR, FAIRNESS AND LOYALTY IN ALL HIS DEALINGS AND
TRANSACTIONS WITH HIS CLIENTS.
Rule 15.01. - A lawyer, in conferring with a prospective client, shall ascertain as soon as practicable
whether the matter would involve a conflict with another client or his own interest, and if so, shall
forthwith inform the prospective client.

Rule 15.02.- A lawyer shall be bound by the rule on privilege communication in respect of matters
disclosed to him by a prospective client.

Rule 15.03. - A lawyer shall not represent conflicting interests except by written consent of all concerned
given after a full disclosure of the facts.

Rule 15.04. - A lawyer may, with the written consent of all concerned, act as mediator, conciliator or
arbitrator in settling disputes.

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Rule 15.05. - A lawyer when advising his client, shall give a candid and honest opinion on the merits and
probable results of the client's case, neither overstating nor understating the prospects of the case.

Rule 15.06. - A lawyer shall not state or imply that he is able to influence any public official, tribunal or
legislative body.

Rule 15.07. - A lawyer shall impress upon his client compliance with the laws and the principles of fairness.

Rule 15.08. - A lawyer who is engaged in another profession or occupation concurrently with the practice
of law shall make clear to his client whether he is acting as a lawyer or in another capacity.

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CANON 16 - A LAWYER SHALL HOLD IN TRUST ALL MONEYS AND PROPERTIES OF HIS CLIENT THAT MAY
COME INTO HIS PROFESSION.

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Rule 16.01 - A lawyer shall account for all money or property collected or received for or from the client.

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Rule 16.02 - A lawyer shall keep the funds of each client separate and apart from his own and those of
others kept by him.

Rule 16.03 - A lawyer shall deliver the funds and property of his client when due or upon demand.
However, he shall have a lien over the funds and may apply so much thereof as may be necessary to satisfy

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his lawful fees and disbursements, giving notice promptly thereafter to his client. He shall also have a lien
to the same extent on all judgments and executions he has secured for his client as provided for in the

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Rules of Court.

Rule 16.04 - A lawyer shall not borrow money from his client unless the client's interest are fully protected

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by the nature of the case or by independent advice. Neither shall a lawyer lend money to a client except,
when in the interest of justice, he has to advance necessary expenses in a legal matter he is handling for
the client.

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CANON 17 - A LAWYER OWES FIDELITY TO THE CAUSE OF HIS CLIENT AND HE SHALL BE MINDFUL OF

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THE TRUST AND CONFIDENCE REPOSED IN HIM.

CANON 18 - A LAWYER SHALL SERVE HIS CLIENT WITH COMPETENCE AND DILIGENCE.

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Rules 18.01 - A lawyer shall not undertake a legal service which he knows or should know that he is not
qualified to render. However, he may render such service if, with the consent of his client, he can obtain
as collaborating counsel a lawyer who is competent on the matter.

Rule 18.02 - A lawyer shall not handle any legal matter without adequate preparation.

Rule 18.03 - A lawyer shall not neglect a legal matter entrusted to him, and his negligence in connection
therewith shall render him liable.

Rule 18.04 - A lawyer shall keep the client informed of the status of his case and shall respond within a
reasonable time to the client's request for information.

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CANON 19 - A LAWYER SHALL REPRESENT HIS CLIENT WITH ZEAL WITHIN THE BOUNDS OF THE LAW.
Rule 19.01 - A lawyer shall employ only fair and honest means to attain the lawful objectives of his client
and shall not present, participate in presenting or threaten to present unfounded criminal charges to
obtain an improper advantage in any case or proceeding.

Rule 19.02 - A lawyer who has received information that his client has, in the course of the representation,
perpetrated a fraud upon a person or tribunal, shall promptly call upon the client to rectify the same, and
failing which he shall terminate the relationship with such client in accordance with the Rules of Court.

Rule 19.03 - A lawyer shall not allow his client to dictate the procedure in handling the case.

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CANON 20 - A LAWYER SHALL CHARGE ONLY FAIR AND REASONABLE FEES.
Rule 20.01 - A lawyer shall be guided by the following factors in determining his fees:

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(a) the time spent and the extent of the service rendered or required;
(b) the novelty and difficulty of the questions involved;

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(c) The importance of the subject matter;
(d) The skill demanded;
(e) The probability of losing other employment as a result of acceptance of the proffered case;
(f) The customary charges for similar services and the schedule of fees of the IBP chapter to which
he belongs;

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(g) The amount involved in the controversy and the benefits resulting to the client from the service;
(h) The contingency or certainty of compensation;

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(i) The character of the employment, whether occasional or established; and
(j) The professional standing of the lawyer.

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Rule 20.02 - A lawyer shall, in case of referral, with the consent of the client, be entitled to a division of
fees in proportion to the work performed and responsibility assumed.

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Rule 20.03 - A lawyer shall not, without the full knowledge and consent of the client, accept any fee,
reward, costs, commission, interest, rebate or forwarding allowance or other compensation whatsoever

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related to his professional employment from anyone other than the client.

Rule 20.04 - A lawyer shall avoid controversies with clients concerning his compensation and shall resort

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to judicial action only to prevent imposition, injustice or fraud.

CANON 21 - A LAWYER SHALL PRESERVE THE CONFIDENCE AND SECRETS OF HIS CLIENT EVEN AFTER
THE ATTORNEY-CLIENT RELATION IS TERMINATED.
Rule 21.01 - A lawyer shall not reveal the confidences or secrets of his client except;
(a) When authorized by the client after acquainting him of the consequences of the disclosure;
(b) When required by law;
(c) When necessary to collect his fees or to defend himself, his employees or associates or by judicial
action.

Rule 21.02 - A lawyer shall not, to the disadvantage of his client, use information acquired in the course of
employment, nor shall he use the same to his own advantage or that of a third person, unless the client
with full knowledge of the circumstances consents thereto.

Rule 21.03 - A lawyer shall not, without the written consent of his client, give information from his files to
an outside agency seeking such information for auditing, statistical, bookkeeping, accounting, data

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processing, or any similar purpose.

Rule 21.04 - A lawyer may disclose the affairs of a client of the firm to partners or associates thereof unless
prohibited by the client.

Rule 21.05 - A lawyer shall adopt such measures as may be required to prevent those whose services are
utilized by him, from disclosing or using confidences or secrets of the clients.

Rule 21.06 - A lawyer shall avoid indiscreet conversation about a client's affairs even with members of his
family.

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Rule 21.07 - A lawyer shall not reveal that he has been consulted about a particular case except to avoid
possible conflict of interest.

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CANON 22 - A LAWYER SHALL WITHDRAW HIS SERVICES ONLY FOR GOOD CAUSE AND UPON NOTICE

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APPROPRIATE IN THE CIRCUMSTANCES.
Rule 22.01 - A lawyer may withdraw his services in any of the following case:
(a) When the client pursues an illegal or immoral course of conduct in connection with the matter
he is handling;
(b) When the client insists that the lawyer pursue conduct violative of these canons and rules;

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(c) When his inability to work with co-counsel will not promote the best interest of the client;
(d) When the mental or physical condition of the lawyer renders it difficult for him to carry out the

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employment effectively;
(e) When the client deliberately fails to pay the fees for the services or fails to comply with the
retainer agreement;

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(f) When the lawyer is elected or appointed to public office; and
(g) Other similar cases.

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Rule 22.02 - A lawyer who withdraws or is discharged shall, subject to a retainer lien, immediately turn
over all papers and property to which the client is entitled, and shall cooperative with his successor in the

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orderly transfer of the matter, including all information necessary for the proper handling of the matter.

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