7/8/2006

Revision 0.1
Author: Philip Larson
Professional Responsibility: Outline

Disclaimer: These notes and outlines are provided as-
is without an warrant as to their !orre!tness"
!o#pleteness" or $ualit. The are not #eant to %e a
su%stitute &or our own e&&orts. 'ou #a !op and
&orward this do!u#ent as lon( as ou do not alter its
!ontents.



Professional Responsibility: Outline
Table of Contents
1. PROFESSIONAL RESPONSIBILITY: OUTLINE...............................................................3
1.1 Model Rules..........................................................................................................................3
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Professional Responsibility: Outline
1. PROFESSION! RESPONSI"I!IT#: O$T!INE
1.1 %o&el Rules
A. Rule 1.1: Competence ) a lawer #ust provide !o#petent representation whi!h re$uires the
le(al *nowled(e" s*ill" thorou(hness and preparation reasona%l ne!essar &or the
representation.
a. !e'al (no)le&'e an& S*ill
i. C1: +a!tors in!lude 1, relative !o#ple-it and spe!iali.ed nature o& the #atter" 2,
lawer/s (eneral e-perien!e" 0, the lawer/s trainin( and e-perien!e" 1, the
preparation and stud the lawer is a%le to (ive the #atter" 2, whether it is
&easi%le to re&er the #atter to so#eone !o#petent in the &ield.
ii. C+: lawer need not have spe!ial trainin( or prior e-perien!e. A newl ad#itted
lawer #a %e 3ust as !o#petent as a pra!titioner with lots o& e-perien!e.
iii. C,: a lawer #a (ive advi!e or assistan!e in an e#er(en! i& it is reasona%l
ne!essar.
b. T-orou'-ness an& Preparation
i. C.: 4o#peten!e re$uires in$uir into and analsis o& the &a!tual and le(al
ele#ents o& the pro%le# as well as ade$uate preparation.
c. %aintainin' Competence
i. C/: A lawer #ust *eep a%reast o& !han(es in the law and its pra!ti!e.
B. Rule 1.+: Scope of Representation )
a. Lawyers control the means, the client controls the ends . A lawer shall a%ide % a
!lient/s de!isions !on!ernin( the o%3e!tives o& representation and shall !onsult with the
!lient as to the means % whi!h the are pursued. A lawer shall a%ide % a !lient/s
de!ision to settle a matter. Rule 1.+0a1 5n a !ri#inal !ase" the lawer shall a%ide % the
!lient/s de!ision as to a plea to be entered" whether to waive a jury trial" and whether the
client will testify. Rule 1.+0a1
%. A lawer/s representation o& a !lient does not !onstitute an endorse#ent o& the !lient/s
politi!al" e!ono#i!" so!ial or #oral views.
!. A lawer #a li#it the s!ope o& the representation.
d. A lawer shall not !ounsel a !lient to en(a(e" or assist" in !ondu!t the lawyer knows to
be criminal or fraudulent" %ut a lawer #a dis!uss le(al !onse$uen!es o& an proposed
!ourse o& !ondu!t. Rule 1.+0&1
i. C+: i& lawer and !lient have &unda#ental disa(ree#ent a%out o%3e!tives and
#eans" lawer !an withdraw - Rule 1.166%,61, ) or the !lient !an &ire the lawer )
Rule 1.166a,60,.
ii. C,: 4lient #a authori.e lawer to ta*e so#e a!tion on !lient/s %ehal& w/o
!onsultation.
iii. C2: 5& !lient is su&&erin( &ro# di#inished !apa!it" lawer/s dut to a%ide %
!lient/s de!isions is (uided % Rule 1.11.
iv. C3: there is a !riti!al distin!tion %etween presentin( analsis o& le(al aspe!ts o&
$uestiona%le !ondu!t and re!o##endin( the #eans % whi!h a !ri#e or &raud is
!o##itted.
v. C14: 5& the lawer dis!overs he is assistin( a !lient in a !ri#e he #ust withdraw.
Rule 1.166a,
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Professional Responsibility: Outline
C. Rule 1.,: Dili'ence ) a lawer shall a!t w/ reasona%le dili(en!e and pro#ptness in
representin( a !lient.
a. C1: lawer #ust pursue a #atter &or a !lient despite opposition and personal
in!onvenien!e. 7ust a!t with .eal in advo!a! o& the !lient. This does not pre!lude a
lawer &ro# treatin( all people involved with !ourtes and respe!t.
%. C+: Lawer/s wor*load #ust %e !ontrolled.
c. C,: A lawer should prevent unreasona%le dela %/! it under#ines !lient/s !on&iden!e.
d. C2: A lawer should !arr throu(h to !on!lusion all #atters underta*en &or !lient" unless
the relationship is ter#inated per Rule 1.16. Lawer/s e#plo#ent ter#inates when the
#atter has %een resolved.
e. C.: To prevent ne(le!t" a lawer #a need to prepare a plan desi(natin( another
!o#petent lawer i& he dies.
D. Rule 1.2: Communication - a lawer shall 1, pro#ptl in&or# the !lient o& #atters in whi!h his
in&or#ed !onsent is re$uired" 2, reasona%l !onsult the !lient a%out the #eans used to o%tain
the !lient/s o%3e!tives" 0, *eep the !lient reasonably informed a%out the status o& the #atter" 1,
promptly comply w/ reasona%le re$uests &or in&o. Rule 1.4(a). A lawer shall e-plain the #atter
to the e-tent reasona%l ne!essar &or the !lient to #a*e an in&or#ed de!ision. Rule 1.4(b).
a. C+: i& a lawer (ets a settle#ent o&&er or a plea %ar(ain he #ust pro#ptl in&or# !lient.
b. C2: i& a pro#pt response is not &easi%le 6a,61," lawer should a!*nowled(e re!eipt o&
re$uest and let !lient *now when a response will %e !o#in(.
!. C.: ne(otiation ) i& possi%le" a lawer should review all provisions w/ !lient. Liti(ation )
lawer should e-plain (eneral strate( and !onsult on ta!ti!s. Trial/ne(otiation ) lawer
does not have to des!ri%e entire strate( in detail.
d. C/: i& !lient is a (roup ) it is i#possi%le to in&or# ever #e#%er. Lawer should in&or#
appropriate o&&i!ials o& the or(ani.ation. 6Rule 1.10.
e. C5: a lawer #a dela trans#ission o& in&o i& the !lient is li*el to rea!t i#prudentl. A
lawer #a not withhold in&or#ation to serve the lawer/s own interest.
E. Rule 1..: Fees ) a lawer !annot !har(e unreasona%le &ees. +a!tors !onsidered in!lude 1,
ti#e and la%or re$uired" 2, opportunit !ost to lawer" 0, &ee tpi!al in lo!alit &or si#ilar
servi!es" 1, results o%tained" 2, ti#e li#itations i#posed % !ir!u#stan!es" 6, len(th o&
relationship w/ !lient 6lon(er relationships are #ore li*el to have esta%lished &ees C:+," 7,
e-perien!e" reputation o& lawer" 8, i& &ee is &i-ed or !ontin(en!. Rule 1.5(a).
a. C-an'es in fees: should %e !o##uni!ated to !lient. Rule 1.5(b).
b. Contin'ent fees: #ust %e in writin( and si(ned % !lient. 5t #ust !learl de&ine an
e-penses the !lient is responsi%le &or. Rule 1.5(c).
i. Pro-ibite& for: !ontinen! &ees in do#esti! relations and !ri#inal !ases. Rule
1.5(d).
c. Splittin' fees: %/w lawers not in the sa#e &ir# !an onl %e #ade i& division is
proportional to servi!es per&or#ed" the !lient a(rees to the arran(e#ent in writin(" and
&ee is reasona%le. Rule 1.5(e).
&. Comments
i. C2: advan!e pa#ent o& &ees is allowed" %ut lawer #ust return an unearned
portion. A lawer #a re!eive propert as a &ee as lon( as it is not interest in the
su%3e!t #atter o& liti(ation Rule 1.8(i). 8owever" this is su%3e!t to the %usiness
transa!tion re$uire#ents o& Rule 1.8(a).
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Professional Responsibility: Outline
ii. C.: &ees should not %e stru!tured su!h that a !lient should has to %ar(ain &or
&urther assistan!e in the #iddle o& a pro!eedin( or transa!tion. A lawer !annot
e-ploit the !lient.
F. Rule 1./: Confi&entiality of Information ) a lawer !annot reveal in&or#ation relatin( to the
representation o& a !lient w/o in&or#ed !onsent. Rule 1.6(a). 8owever" a lawer #a %rea* the
A/4 privile(e to:
a. %R 1./0b1011 6 Pre7entin' Deat- or S"8 6 the lawer may %rea* the A4 privile(e to
prevent death or serious %odil har# to A9':9;. 6in <A it is must &or !ri#es,.
b. %R 1./0b10+1 6 Pre7entin' Crime or Frau& 6 the lawer #a %rea* the A4 privile(e to
prevent his !lient &ro# !o##ittin( a crime or fraud that is reasona%l !ertain to result in
substantial injury to the &inan!ial interests or propert o& another.
c. %R 1./0b10,1 6 Pre7ent Substantial Financial In9ury ) the lawer #a %rea* the A4
privile(e to prevent" #iti(ate or re!ti& su%stantial in3ur to &inan!ial interests or propert
o& another reasona%l !ertain to result &ro# !lient/s !o##ission o& !ri#e or &raud. This
does not appl when the !lient is e#ploin( the lawer !on!ernin( the !ri#e or &raud
itsel&. C8.
d. %R 1./0b1021 6 Securin' !e'al &7ice ) the lawer #a %rea* the A4 privile(e to
se!ure le(al advi!e a%out !o#plian!e w/ ethi!s rules.
e. %R 1./0b10.1 6 Self:Defense 6 the lawer #a %rea* the A4 privile(e to establish a
claim or defense in a !ontrovers %/w the lawer and the !lient" to esta%lish a de&ense in
a !ri#inal or !ivil !lai# a(ainst the lawer %ased on !ondu!t in whi!h the !lient was
involved" or to respond to alle(ations in an pro!eedin( !on!ernin( the lawer/s
representation o& the !lient. 7oreover" the lawer !an %rea* the A4 privile(e i&
ne!essar to collect the lawyers fee. MR 1.6(b)(5). This (ives attorne/s li%eral
authorit to violate !on&identialit in order to de&end the#selves. 5t does not even re$uire
the lawer to await the !o##en!e#ent o& a !ause o& a!tion so the lawer !an respond
dire!tl to a third part #a*in( the assertion.
&. %R 1./0b10/1 6 Compliance )it- t-e !a) 6 a lawer #a %rea* the A4 privile(e to
!o#pl with a !ourt order.
'. Comments
i. C1: Prospe!tive !lients are (overned % Rule 1.18. +or#er !lients (overned %
Rule 1.=6!,62,. Rule 1.86%, and 1.=6!,61, sa lawers !an/t disadvanta(e !lients
and &or#er !lients.
ii. C,: rule applies to an in&or#ation related to the representation" re(ardless o&
the sour!e.
iii. C2: lawer !an/t even provide in&or#ation that !ould reasona%l lead to the
dis!over o& prote!ted in&or#ation.
iv. C.: lawers in the sa#e &ir# #a dis!lose in&or#ation" unless !lient &or%ids.
v. C5: while %62, does not re$uire lawer to reveal the in&or#ation" he #a not
assist in wron(&ul !ondu!t. Rule 1.26d,. 7oreover" Rule 1.16 #a re$uire lawer
to withdraw.
vi. C14: a lawer need not wait &or a !ause o& a!tion to %e %rou(ht to !lai# de&ense
under %62," he #a respond upon even an assertion % a third part.
vii. C11: %62, also applies i& ne!essar &or a lawer to !olle!t a &ee.
viii. C12: dis!losin( in&or#ation adverse to !lient should %e no (reater than the
lawer %elieves is reasona%l ne!essar.
ix. C1.: Rules t-at DON;T o7erri&e 1./: Rule 1.26d, ) !ounselin( &raud" 1.16%, )
&ailure to dis!lose to avoid assistin( in &raud" 8.1 ) !orre!tin( a #isapprehension
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Professional Responsibility: Outline
in %ar appli!ation and 8.0 ) reportin( pro&essional #is!ondu!t. Rules t-at DO
o7erri&e 1./: 0.06!, ) !andor to tri%unal" 1.106!, ) whistle%lowin( in !o#pan.
x. C1/: lawer #ust a!t !o#petentl to prevent dis!losure % lawer or others
under his supervision. Rule 1.1 - !o#peten!e" 2.1 ) supervisin( lawers" 2.0 )
nonlawer assistants
xi. C15: lawer #ust ta*e reasona%le pre!autions to prevent in&o &ro# (oin( to
unintended re!ipients. +a!tors &or reasona%leness in!lude 1, sensitivit o&
in&or#ation" 2, i& there is a !on&identialit a(ree#ent.
xii. C1<: !on&identialit !ontinues a&ter 4/L relationship is over. Rule 1.=6!,62,.
xiii. %R 2.2 : Ina&7ertent Disclosure 6 the !lient #a lose the privile(e o&
!on&identialit % inadvertentl dis!losin( otherwise privile(ed !o##uni!ations to
non-privile(ed re!ipients. 7oreover" i& a !lient voluntaril reveals a portion o& his
privile(ed !o##uni!ations" !ourts tpi!all &ind that he #a not withhold the
re#ainder. 5& a do!u#ent relatin( to the representation o& the lawer/s !lient was
inadvertently sent to the lawer" he #ust promptly notify the sender. MR 4.4(b).
G. Rule 1.5: Conflict of Interest: Current Clients 6 a lawer !an/t represent a !lient i& there is
a !on!urrent !on&li!t o& interest whi!h o!!urs i& 1, representation would %e dire!tl adverse to
another !lient" 2, there is si(ni&i!ant ris* the representation will %e #ateriall li#ited % lawer/s
responsi%ilities to another. Rule 1.7(a). 8owever" a lawer !an represent a !lient even i& there
is a !on&li!t i& 1, he reasona%l %elieves he !an provide !o#petent and dili(ent representation"
2, the representation is not prohi%ited % law" 0, it is not !lient 1 vs. !lient 2" A9> 1, ea!h !lient
(ives in&or#ed !onsent" !on&ir#ed in writin(. Rule 1.7(b).
a. C1: Rule 1.8 deals with spe!i&i! !on!urrent !on&li!ts. Rule 1.= deals w/ &or#er !lient
!on&li!ts. Rule 1.18 deals w/ prospe!tive !lients.
b. C+: Resolution o& !on&li!t re$uires lawer to: 1, !learl identi& the !lients" 2, deter#ine i&
a !on&li!t e-ists" 0, de!ide whether representation !an still %e #ade" 1, i& so" !onsult the
!lients to (et in&or#ed !onsent.
c. C2: i& !on&li!t arises a&ter representation is underta*en" lawer ordinaril #ust withdraw.
A lawer #a" potentiall" still represent one o& the !lients.
d. C/: !o#petin( &ir#s are not tpi!all !onsidered adverse" and there&ore pro%a%l are not
a !on&li!t.
e. C14: lawer/s personal interests !annot %e adverse to a !lient. Rule 1.8 des!ri%es so#e
o& the personal interests" su!h as %usiness transa!tions. Rule 1.10 sas that personal
interest !on&li!ts under Rule 1.7 tpi!all are not i#puted to other lawers in the &ir#.
&. C11: lawer/s related to ea!h other !annot represent opposin( !lients.
g. C1+: lawer/s !annot have se- with a !lient. Rule 1.863,.
h. C+1: Re7o*in' consent ) a !lient !an revo*e in&or#ed !onsent at an ti#e.
i. C+2: a lawer/s advo!atin( a le(al position in one !ase that #a !reate pre!edent
adverse to another !ase is not a !on&li!t.
3. C+.: Class actions ) unna#ed #e#%ers o& the !lass need not provide !onsent.
*. C+/=+5 Conflicts outsi&e liti'ation ) !on&li!ts in estate plannin(" 3oint ventures" et!.
l. C+3: If Common Representation Fails ) lawer pro%a%l #ust withdraw. 5& !lients
relationship is alread anta(onisti!" !o##on representation is a %ad idea.
#. C,4=,1: =C pri7ile'e ) does not appl %/w !o##onl represented !lients. 4ontinued
!o##on representation is al#ost !ertainl inade$uate i& one !lient as*s the lawer not to
dis!lose so#ethin( to the other !lient.
n. C,+: !imitations on Scope ) an li#itations on s!ope as a result o& !o##on
representation should %e e-plained to !lients at the outset per Rule 1.26!,.
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Professional Responsibility: Outline
o. C,2: ffiliates in "usiness 6 a lawer &or a !o#pan is not ne!essaril a lawer &or all
a&&iliates. There&ore" lawer is not %arred &ro# representin( adverse a&&iliates in
unrelated #atters.
p. C,.: !a)yer on "oar& of Directors ) #a %e a pro%le# i& dual role !o#pro#ises
lawer/s independen!e o& pro&essional 3ud(#ent.
H. Rule 1.<: Conflict of Interest: Current Clients: Specific Rules
a. Rule 1.<0a1 : "usiness Transactions ) a lawer shall not enter into a business
transaction w/ a !lient or *nowin(l a!$uire an ownership?interest adverse to the !lient
unless: 1, the ter#s are fair and reasonable" 2, the !lient is advised in writing and (iven
opportunit to see* advi!e o& independent le(al !ounsel" 0, the !lient (ives informed
consent in writing. This applies even i& the transa!tion is not !losel related to the
su%3e!t #atter. C1. 8owever" it does not appl to standard !o##er!ial transa!tions
where the lawer has no advanta(e in dealin( w/ the !lient. C1.
b. Rule 1.<0b1 6 Disa&7anta'e of Client 6 A lawer shall not use in&or#ation relatin( to
the representation to the disadvantage of the client unless the !lient (ives in&or#ed
!onsent. This violates the dut o& loalt. C.. >oes not appl when per#itted or re$uired
% Rule 1.26d, ) !ounselin( &raud" 1.6 ) !on&identialit" 1.=6!," 0.0" 1.16%, ) &ailure to
dis!lose a &a!t and there&ore assistin( in &raud" 8.1 ) %ar appli!ation and 8.0 ) reportin(
#is!ondu!t. C..
c. Rule 1.<0c1 6 Solicitin' >ifts ) a lawer shall not soli!it an su%stantial (i&t &ro# a
!lient. A holida present or to*en o& appre!iation is o*a. C/.
d. Rule 1.<0&1 6 %e&ia Ri'-ts ) a lawer !an/t !ontra!t &or #edia ri(hts asso!iated w/
liti(ation.
e. Rule 1.<0e1 6 Financial ssistance ) a lawer shall not provide financial assistance to
a !lient in !onne!tion with pendin( liti(ation ;@4;PT: 1, a lawer #a advan!e !ourt
!osts" 2, i& !lient is indi(ent" lawer #a pa !ourt !osts and liti(ation e-penses.
7edi!al e-a#s and eviden!e e-penses are also allowed. C14.
f. Rule 1.<0f1 6 Ot-er Compensation ) a lawer shall not re!eive !o#pensation &ro# one
other than the !lient unless: 1, the !lient (ives informed consent" 2, there is no
interference w/ independen!e o& pro&essional 3ud(#ent. Aee also Rule 5.4(c)
6prohi%itin( inter&eren!e w/ lawer/s pro&essional 3ud(#ent % so#eone pain( lawer to
render le(al servi!es &or another,. This #a !reate a !on&li!t under Rule 1.7 i& the !lient
#a %e #ateriall li#ited % the lawer/s own &inan!ial interest in the &ee arran(e#ent.
C1+.
g. Rule 1.<0i1 6 Proprietary Interest in Cause of ction ) lawer !an/t a!$uire a
proprietar interest in the !ause o& a!tion e-!ept as part o& a !ontin(en! &ee in a !ivil
!ase.
h. Rule 1.<091 ) Se?ual Relations )it- Client ) a lawer shall not have sexual relations
with a !lient unless it e-isted %/& the lawer-!lient relationship !o##en!ed. This does
not impute &ir# #e#%ers.
i. 69:T;: all o& these !on&li!ts e-!ept se-ual relations imputes to the entire firm., MR
1.8(k).
9. Comments
I. Rule 1.3: Duties to Former Clients :
a. Rule 1.30a1 6 Representation @Substantially Relate&A to t-at of a Former Client ) a
lawer who has &or#erl represented a !lient shall not represent another person in the
same or substantially related matter in whi!h that person/s interests are materially
Philip Larson Page 7
Professional Responsibility: Outline
adverse to the interests o& the &or#er !lient unless the &or#er !lient (ives informed
consent, in writing.
b. Rule 1.30b1 6 Representation @Substantially Relate&A to t-at of t-e !a) Firm;s
Former Client : A lawer shall not *nowin(l represent a person in the sa#e or
su%stantiall related #atter in whi!h a &ir# with whi!h the lawer was asso!iated had
previousl represented a !lient: 1, whose interests were materially adverse to that
person 2, a%out who# the lawer had a!$uired in&or#ation prote!ted % Rule 1.6
6!on&identialit, or Rule 1.=6!, 6disadvanta(in( &or#er !lients, that is #aterial to the
#atter.
i. C2: rule should not unreasona%l ha#per lawers &ro# #ovin( &ro# one &ir# to
another or inhi%it !lient/s a%ilit to !han(e !ounsel.
ii. C.: 1.=6%, onl applies to dis$uali& the lawer i& the have a!tual *nowled(e
prote!ted % 1.6 and 1.=6!,.
iii. C/: the &ir# whose dis$uali&i!ation is sou(ht #ust show the lawer was not priv
to the in&or#ation.
a. Rule 1.30c1 6 $sin' Info to @Disa&7anta'eA a Former Client ) a lawer who has
&or#erl represented a !lient or whose &or#er or present &ir# &or#erl represented the
!lient shall not 1, use in&or#ation relatin( to the representation to the disadvantage o&
the &or#er !lient" unless the in&or#ation has %e!o#e generally known.
b. Comments
i. C+=C,: substantial relation test tpi!all #eans it is the sa#e transa!tion or le(al
dispute. :r i& there is su%stantial ris* that !on&idential in&o (ained in prior
representation would #ateriall advan!e the new !lient/s position. 8owever"
in&or#ation dis!losed to the pu%li! or to other adverse parties o& the &or#er !lient
will not dis$uali& the lawer. Re(ardin( or(ani.ations" (eneral *nowled(e o&
poli!ies will not pre!lude later representation %ut spe!i&i! &a!ts related to the
#atter will.
J. Rule 1.14: Imputation of Conflicts 6 >eneral Rule ) Bhile with a &ir#" no lawers shall
*nowin(l represent a !lient when an one o& the# pra!ti!in( alone would %e prohi%ited &ro#
doin( so % rules 1.7 or 1.= 6!urrent and &or#er !lient !on&li!ts," unless the prohi%ition is %ased
on a personal interest and does not present a si(ni&i!ant ris* o& #ateriall li#itin( the
representation o& the !lient % the re#ainin( lawers in the &ir#. Rule 1.10(a).
a. Rule 1.140b1 6 Imputation En&s )-en !a)yer !ea7es Firm E?cept )-en
@Substantially Relate&A 6 Bhen a lawer leaves a &ir#" the &ir# is not prohi%ited &ro#
representin( a !lient w/ interests #ateriall adverse to those o& a !lient represented %
the &or#er lawer unless 1, the #atter is the same or substantially related to that in
whi!h the &or#erl asso!iated lawer represented the !lient" and 2, an lawer
re#ainin( in the &ir# has in&or#ation prote!ted % rules 1.6 6!on&identialit, and 1.=6!,
6use in&or#ation to disadvanta(e o& &or#er !lient, that is #aterial to the #atter.
b. %R 1.140c1 Bai7er of Imputation ) a dis$uali&i!ation o& lawers throu(h i#putation
may be waived % the a&&e!ted !lient as stated in 1.7 6!urrent !lient !on&li!ts,.
c. Comments
i. Rule 1.5C C14 6 a lawer/s own interest !annot have an adverse affect on a
!lient/s representation. 8owever" personal !on&li!ts are not i#puted to other
lawers in the &ir#.
ii. Rule 1.5C C11 : Imputation )it-in !a)yers; Families ) 5& two lawers in
di&&erent &ir#s are related or #arried" the #a not %e on opposite sides o& the
sa#e !ase 6unless the !lient (ives in&or#ed !onsent,. This dis$uali&i!ation is not
i#puted on other #e#%ers o& the sa#e &ir#.
Philip Larson Page 8
Professional Responsibility: Outline
iii. $se of @Screenin'A to 7oi& Imputation )A !lient #a waive an i#puted
!on&li!t or !onsent to waive the !on&li!t on the !ondition that the law firm screen
the affected employee from the matter 6i.e. isolatin( the lawer &ro# parti!ipation
throu(h ade$uate pro!edures in the &ir#,.
K. Rule 1.11: Special Conflicts of Interest for Former an& Current >o7ernment Officers an&
Employees
L. Rule 1.1+: Former Du&'eC rbitratorC %e&iatorC or ot-er T-ir&:Party Neutral
M. Rule 1.1,: Or'aniEation as Client 6 i& a lawer &or an or(ani.ation *nows an o&&i!er or
e#ploee intends to a!t in violation o& a le(al o%li(ation puttin( the or(ani.ation at ris*" he #ust
do what is reasona%l ne!essar in the %est interest o& the or(ani.ation in!ludin( re&errin( the
#atter to the hi(hest authorit. Rule 1.13(b). 5& the hi(hest authorit 64;:, doesn/t do anthin(
in violation o& law A9> the lawer reasona%l %elieves the violation will !ause in3ur to the
or(ani.ation" the lawer #a reveal in&or#ation re(ardless o& Rule 1.6. Rule 1.13(c)
(whistleblowing). A lawer representin( an or(ani.ation #a represent dire!tors and other
e#ploees" su%3e!t to Rule 1.7 6!urrent !on&li!ts,. 5& or(ani.ation/s !onsent is re$uired" it #ust
%e (iven % so#eone other than the e#ploee see*in( dual representation. Rule 1.13(g).
8owever" i& the interests o& the or(ani.ation are di&&erent than the !onstituent the lawer should
tell the !onstituent he !an/t represent hi# and that he should see* independent !ounsel. C14.
a. C+: pplication of Rule 1./ ) prote!ts !o##uni!ation with an !onstituent
!o##uni!atin( with the lawer in their or(ani.ational !apa!it.
b. C/: Relation to ot-er rules ) this Rule does not li#it or e-pand a lawer/s responsi%ilit
under Rule 1.8" 1.16" 0.0 or 1.1. 5& lawer/s servi!es are %ein( used to &urther !ri#e or
&raud" 1.66%,62, or %60, #a ena%le the lawer to dis!lose !on&idential in&or#ation. Rule
1.2d 6&or%iddin( !ounselin( in &raud, will li*el %e appli!a%le in whi!h !ase withdrawal
under Rule 1.166a,61, #a %e re$uired.
N. Rule 1.12: Client )it- Diminis-e& Capacity ) i& a !lient/s !apa!it to ade$uatel !onsider
de!isions is di#inished" the lawer #ust tr to #aintain a nor#al !lient-lawer relationship.
Rule 1.14(a). 5& the lawer reasona%l %elieves the !lient is at ris* o& su%stantial phsi!al or
&inan!ial har#" he #a ta*e reasona%le prote!tive a!tion even i& it violates Rule 1.6. Rule
1.14(bc). These #easures #a in!lude 1, !onsultin( w/ &a#il #e#%ers" 2, usin( surro(ate
de!ision#a*in( tools li*e dura%le powers o& attorne" or 0, !onsultin( w/ support (roups"
pro&essional servi!es" adult-prote!tive a(en!ies or other entities !apa%le o& prote!tin( the !lient.
C..
a. C+: lawer #ust treat !lient with respe!t and #aintain !o##uni!ation.
b. C,: when &a#il #e#%ers are involved" lawer #ust loo* to the !lient &or de!isions" not
to the &a#il #e#%ers unless prote!tive a!tion under 1.116%, is ne!essar.
c. C/: "alancin' Factors ) in de!idin( e-tent o& di#inished !apa!it" lawer should
!onsider 1, !lient/s a%ilit to arti!ulate reasonin( &or a de!ision" 2, varia%ilit o& state o&
#ind and a%ilit to appre!iate !onse$uen!es" 0, the &airness o& a de!ision" and 1, the
!onsisten! o& the de!ision with lon(-ter# !o##it#ents and values o& the !lient.
d. C<: Disclosure of Con&ition ) is prote!ted % Rule 1.6 unless it is ne!essar as part o&
a prote!tion a!tion under Rule 1.116%,.
e. C3: Emer'encies ) a lawer #a ta*e le(al a!tion &or the !lient in an e#er(en! where
health" sa&et or &inan!ial interest o& the !lient are threatened with % i##inent har#.
O. Rule 1.1.: Safe*eepin' Property ) a lawer #ust *eep !lient propert separate &ro# the
lawer/s own propert. +unds #ust %e in separate a!!ounts. Cood re!ords #ust %e *ept. Rule
Philip Larson Page 9
Professional Responsibility: Outline
1.15(a). A lawer !an deposit his own &unds in a !lient trust onl &or pain( %an* servi!e
!har(es on the a!!ount. Rule 1.15(b). Bhen re!eivin( &unds in whi!h a !lient or third part has
an interest" the lawer #ust noti& the# pro#ptl and deliver it pro#ptl. Rule 1.15(d).
a. C1: a lawer holdin( propert #ust use !are re$uired % a pro&essional &idu!iar.
P. Rule 1.1/: Terminatin' Representation ) a lawer !an/t represent a !lient 6or" i& alread
representin(" #ust withdraw, i&: 1, representation will violate the MRs or other law" 2, the
lawer/s phsi!al !ondition #ateriall i#pairs the lawer/s a%ilit to represent the !lient" or 0, the
lawer is &ired. Rule 1.16(a)
a. Rule 1.1/0b1 : Bit-&ra)al by !a)yer ) A lawer has no general, absolute right o&
withdrawal. 7oreover" it ordinaril re$uires approval o& the appointin( authorit. Rule
6.!. A lawer may withdraw i&:
1. No %aterial &7erse Effect: withdrawal !an %e a!!o#plished w/o
material adverse effect to the interests o& the !lient" Rule 1.16(b)(1).
2. Crime=Frau& E?ception: the !lient persists in !ondu!t the lawer
reasonably believes is criminal or fraudulent" Rule 1.16(b)(!) or has used
the servi!es to perpetuate a !ri#e or &raud. Rule 1.16(b)(3).
3. @Repu'nant CauseA: the !lient insists on ta*in( a!tion the lawer &inds
repugnant or has a fundamental disagreement" Rule 1.16(b)(4).
4. Faile& Obli'ation: !lient &ails to &ul&ill an o%li(ation to the lawer
re(ardin( his servi!es and has %een (iven reasona%le warnin(. Rule
1.16(b)(5).
5. $nreasonable Financial "ur&en: the representation will result in an
unreasonable financial burden on the lawer. Rule 1.16(b)(6).
b. Rule 1.1/0&1 ) a&ter ter#ination o& representation" a lawer #ust reasona%l prote!t a
!lient/s interests" in!ludin( (ivin( noti!e and allowin( ti#e to &ind new !ounsel" and
(ivin( papers the !lient is entitled to and re&undin( an advan!e pa#ents.
c. Client Fires !a)yer ) the !lient alwas has a right to discharge a lawer at an ti#e"
with or without cause. 5& the !lient &ires the lawer" the lawer #ust withdraw. C4.
8owever" i& the !lient has severe di#inished !apa!it" the !lient #a la!* le(al !apa!it
to dis!har(e the lawer. C/.
d. %an&atory Bit-&ra)al: a lawer #ust de!line or withdraw representation i& the !lient
de#ands the lawer en(a(e in ille(al !ondu!t. C+. Tpi!all !ourt approval or noti!e to
the !ourt is re$uired %/& a lawer !an withdraw &ro# pendin( liti(ation. C,.
Q. Rule 1.15: Sale of !a) Practice ) a lawer or law &ir# #a pur!hase a law pra!ti!e i&: a,
seller !eases to en(a(e in private pra!ti!e in the area o& pra!ti!e sold" %, the entire pra!ti!e" or
area o& pra!ti!e is sold" !, the seller (ives written noti!e to ea!h !lient o& the proposed sale" the
ri(ht to retain !ounsel" and that the !lient/s !onsent to trans&er the !lient/s &iles will %e presu#ed
i& the don/t ta*e a!tion in =0 das.
a. C1: !lients are not !o##odities to %e pur!hased and sold at will.
b. C14: &ees !annot %e in!reased in order to &inan!e the pur!hase o& the pra!ti!e.
c. C11: seller #ust ensure the %uer/s !o#peten!e under Rule 1.1" a%ilit to avoid !on&li!ts
under Rule 1.7" and o%li(ation to prote!t in&or#ation under Rule 1.6 and 1.=.
R. Rule 1.1<: Duties to a Prospecti7e Client - a person who dis!usses with a lawer the
possi%ilit o& &or#in( a !lient-lawer relationship wrt a #atter is a prospe!tive !lient. Rule
1.18(a). 8owever" a person who !o##uni!ates in&or#ation unilaterally to a lawer w/o a
Philip Larson Page 10
Professional Responsibility: Outline
reasona%le e-pe!tation that the lawer is willin( to dis!uss the possi%ilit o& &or#in( a !lient-
lawer relationship is not a prospective client. C!.
a. Confi&entiality: 7oreover" even i& no !lient-lawer relationship ever develops" the
lawer that has dis!ussions with a prospe!tive !lient #ust keep that information
confidential in the sa#e wa the lawer #ust *eep the !on&iden!es o& a &or#er !lient.
Rule 1.18(b).
b. DisFualification: This #eans the lawer #a %e dis$uali&ied &ro# representin( the
opponent o& the would-%e !lient i& it !ould %e Dsignificantly harmfulE to the !lient. Rule
1.18(c). 8owever" the lawer need not dis$uali& i& %oth the a&&e!ted !lient and
prospe!tive !lient (ive informed consent, in writing or i& the lawer too* reasona%le
#easures to avoid e-posure to #ore $uali&in( in&or#ation that was reasona%l
ne!essar to deter#ine whether to represent the !lient and the dis$uali&ied lawer is
ti#el s!reened and written noti!e is pro#ptl (iven to prospe!t. Rule 1.18(d). This
would prevent i#putation. C5.
c. C1: %asi!all" prospe!tive !lients re!eive so#e %ut not all o& the prote!tion a&&orded
!lients.
d. C,: dut e-ists no #atter how %rie& the initial !on&eren!e is.
e. C2: lawer should li#it the initial interview to onl in&or#ation reasona%l ne!essar to
deter#ine whether to ta*e the !ase.
f. C.: a lawer #a !ondition the !onversation w/ a prospe!t on the person/s in&or#ed
!onsent that no in&or#ation dis!losed durin( the !onsultation will prohi%it the lawer &ro#
representin( a di&&erent !lient in the #atter.
S. Rule +.1: &7isor - The lawer must give candid advice" and provide independent pro&essional
3ud(#ent. in!ludin( the lawer/s opinion o& what the !ourt is li*el to do and the pra!ti!al e&&e!ts
o& su!h a rulin(. The lawer #a also advise the !lient on e!ono#i!" politi!al" so!ial and #oral
!onsiderations. MR !.1. Lawers should #a*e re&errals to !o#petent pro&essionals in other
&ields. C4.
a. C1: a lawer should not %e deterred &ro# (ivin( advi!e he %elieves will %e unpalata%le to
the !lient. Te!hni!al le(al advi!e !an so#eti#es %e inade$uate C+.
%. C2: a lawer #a re!o##end !onsultation w/ a pro&essional in another &ield.
c. C.: in so#e !ases" Rule 1.4 #a re$uire the lawer to o&&er advi!e even when it is not
as*ed &or.
T. Rule +.,: E7aluation for $se by T-ir& Persons ) a lawer !an provide an evaluation o& a
#atter a&&e!tin( the !lient &or use % a third part i& the lawer reasona%l %elieves that #a*in(
the evaluation is !o#pati%le with other aspe!ts o& the !lient relationship. Rule !.3(a). 8owever"
i& the lawer *nows the evaluation is li*el to adversel and #ateriall a&&e!t the !lient/s
interests" he !an/t provide the evaluation w/o the !lient/s in&or#ed !onsent. Rule !.3(b).
a. C.: in&or#ation relatin( to an evaluation is prote!ted % Rule 1.6.
U. Rule +.2: !a)yer Ser7in' as T-ir&:Party Neutral ) a lawer is a third-part neutral when
he assists two or #ore people not !lients to rea!h a resolution o& a dispute. This in!ludes
ar%itration" #ediation" et!. Rule !.4(a). A lawer a!tin( as a third-part neutral #ust in&or# the
parties that he is not representin( the#. Rule !.4(b). A lawer a!tin( as an ar%itrator !annot
then represent a !lient in the sa#e #atter Rule 1.1!.
V. Rule ,.1: %eritorious Claims an& Contentions ) a lawer !an/t %rin( &rivolous !lai#s or
de&enses without a %asis in law. The lawer !annot a%use le(al pro!edure. C1. Lawers #ust
#a*e (ood &aith ar(u#ents in support o& their !lient/s positions. C+.
Philip Larson Page 11
Professional Responsibility: Outline
W. Rule ,.+: E?pe&itin' !iti'ation ) a lawer #ust #a*e reasona%le e&&orts to e-pedite liti(ation
!onsistent w/ the !lient/s interests. Reali.in( &inan!ial %ene&its &ro# i#proper delas is 9:T a
le(iti#ate interest. C1.
X. Rule ,.,: Can&or To)ar& t-e Tribunal ) a lawer shall not *nowin(l 1, #a*e a false
statement of fact or law to a tribunal or fail to correct a false statement of material fact or law
previousl #ade % the lawer" 2, fail to disclose to the tri%unal legal authority in the controlling
jurisdiction *nown to the lawer to %e dire!tl adverse to the position o& the !lient and not
dis!losed % opposin( !ounsel" 0, offer evidence the lawer *nows to %e &alse. Rule 3.3(a).
9ote: this onl applies when the lawer D*nowsE the eviden!e is &alse. Reasona%le %elie& that it
is &alse does not pre!lude its presentation. C<. 69ote: per Rule 0.06!," this tru#ps Rule 1.6,
a. Rule ,.,0b1 : Duty to Disclose a Client;s Inten&e& Crime of Frau& ) a lawer #ust
ta*e reasona%le re#edial #easures" in!ludin( potentiall dis!losin( to the tri%unal" i& she
*nows that her !lient intends to en(a(e in" is en(a(ed in" or was previousl en(a(ed in
criminal or fraudulent !ondu!t related to the pro!eedin(. Rule 3.3(b). 69ote: per Rule
0.06!," this tru#ps Rule 1.6,
%. Comments
i. C1: also applies to an!illar pro!eedin(s !ondu!ted per tri%unal/s authorit.
ii. C+: purpose is to prevent lawers &ro# under#inin( the inte(rit o& the
ad3udi!ative pro!ess. Lawer !annot let the !ourt %e #isled % &lase state#ents
o& law.
iii. C,: tpi!all" !ourt do!u#ents represent assertions o& the !lient" not o& the
lawer. 5& the lawer asserts it on his own *nowled(e" it #ust %e true or the
lawer #ust %elieve it to %e true a&ter reasona%l dili(ent in$uir. Rule 1.26d, 6no
!ounselin( !lient to !o##it &raud, applies to liti(ation.
iv. C2: Narrati7es ) i& the 3urisdi!tion allows narrative state#ents" this is &ine.
v. C3: Criminal Trial B-ere D Bants to Testify : 5n a !ri#inal trial" a lawer #ust
honor >/s de!ision to testi&.
vi. C1,: o%li(ation to re!ti& &alse eviden!e and &alse state#ents o& law and &a!t end
at the !on!lusion o& the pro!eedin(. 6e.(. &inal 3ud(#ent a&&ir#ed on appeal,.
vii. C1.: Bit-&ra)al ) tpi!all i& a lawer dis!loses !lient in&or#ation under Rule
0.0" the relationship will deteriorate to a point where the lawer #ust withdraw
under Rule 1.166a,.
Y. Rule ,.2: Fairness to Opposin' Party an& Counsel 6 a lawer shall not a, o%stru!t a
part/s a!!ess to eviden!e havin( potential evidentiar value" %, &alsi& eviden!e" !, *nowin(l
diso%e an o%li(ation under the rules o& the !ourt" d, #a*e &rivolous dis!over re$uests or &ail to
#a*e a dili(ent e&&ort to !o#pl with a dis!over re$uest" e, in trial" allude to a #atter the lawer
does not reasona%l %elieve is relevant or supported % eviden!e" &, re$uest a person other than
a !lient re&rain &ro# (ivin( relevant in&or#ation" unless the person is 1, an a(ent o& the !lient"
and 2, the lawer reasona%l %elieves the person/s interests will not %e adversel a&&e!ted %
re&rainin(.
Z. Rule ,..: Impartiality an& Decorum of t-e Tribunal : a lawer shall not a, see* to
in&luen!e a 3ud(e" 3uror" or prospe!tive 3uror % #eans prohi%ited % law" %, !o##uni!ate e-
parte 6w/o noti!e to other part, with su!h a person durin( the pro!eedin( unless authori.ed" !,
!o##uni!ate with a 3uror a&ter dis!har(e o& the 3ur i& 1, the !o##uni!ation is prohi%ited" 2, the
3uror does not want to !o##uni!ate" and 0, the !o##uni!ation involves #isrepresentation"
!oer!ion" duress or harass#ent.
Philip Larson Page 12
Professional Responsibility: Outline
a. C1: a lawer should not i#properl in&luen!e the tri%unal.
AA. Rule ,./: Trial Publicity ) a lawer shall not #a*e e-tra3udi!ial state#ents the lawer
*nows or reasona%l should *now will %e disse#inated to the pu%li! in a #anner that will have a
su%stantial li*elihood o& #ateriall pre3udi!in( an ad3udi!ative pro!eedin(. Rule 3.6(a).
a. E?ception: A lawer #a state
i. 1, the !lai#" o&&ense or de&ense involved and the identit o& the persons"
ii. 2, in&o in the pu%li! re!ord"
iii. 0, that an investi(ation is in pro(ress.
iv. 1, the result o& an step in liti(ation.
v. 2, a re$uest &or assistan!e in o%tainin( eviden!e
vi. 6, a warnin( o& dan(er re(ardin( the %ehavior o& a person involved i& there is
reason to %elieve there e-ists a li*elihood o& su%stantial har# to a person or the
pu%li! interest.
vii. 7, 5n a !ri#inal !ase" the lawer #a also state: 1, the identit" residen!e"
o!!upation" and &a#il status o& the a!!used" 2, in&or#ation ne!essar to aid in
apprehension" 0, &a!t" ti#e and pla!e o& arrest" 1, the identit o& investi(atin( and
arrestin( o&&i!ers. Rule 3.6(b).
viii. &7erse Publicity: a lawer #a also #a*e a state#ent to !ounter adverse
pu%li!it not initiated % the lawer or the lawer/s !lient. The state#ent #ust %e
li#ited to the de(ree ne!essar to #iti(ate the adverse pu%li!it.
b. Comments
i. C1: ri(ht to a &air trial re$uires !urtail#ent o& so#e ri(ht o& &ree e-pression.
8owever" the pu%li! has a ri(ht to *now a%out threats to its sa&et.
ii. C.: su%3e!ts relatin( to the !hara!ter" !redi%ilit" reputation or !ri#inal re!ord o&
a part are #ore li*el than not to have a #aterial pre3udi!ial e&&e!t. Ai#ilarl"
results o& a test or e-a#ination !ould pre3udi!e. Anthin( that would li*el %e
inad#issi%le is li*el to pre3udi!e. The &a!t that a > has %een !har(ed w/ a !ri#e
should in!lude a state#ent e-plainin( that this is 3ust an a!!usation.
iii. C/: !ri#inal trials are 7:AT A;9A5T5<; to e-tra3udi!ial spee!h.
BB. Rule ,.5: !a)yer as Bitness ) a lawer shall not represent a !lient in a trial in whi!h
he will li*el %e a ne!essar witness unless 1, his testi#on is un!ontested" 2, testi#on relates
to the nature and value o& le(al servi!es rendered in the !ase" 0, dis$uali&i!ation o& the lawer
would result in su%stantial hardship on the !lient. Rule 3.7(a). A lawer #a a!t as an
advo!ate in a trial in whi!h another lawer in the &ir# is li*el to %e a witness unless pre!luded
% Rule 1.7. Rule 3.7(b).
a. C,: 6a, prohi%its a lawer &ro# %ein( %oth an advo!ate and a witness
b. C/: i& the testi#on is li*el to !on&li!t with the testi#on o& the !lient" Rule 1.7 is an
issue. 5& a !on&li!t e-ists" lawer #ust se!ure in&or#ed !onsent o& !lient in writin(.
CC. Rule ,.<: Special Responsibilities of a Prosecutor
DD. Rule ,.3: &7ocate in Nona&9u&icati7e Procee&in's )
EE. Rule 2.1: Trut-fulness in Statements to Ot-ers - 5n the !ourse o& representin( a
!lient" a lawer shall not a, #a*e a false statement of material fact or law to a third person" or %,
fail to disclose a material fact when ne!essar to avoid assistin( in a !ri#inal or &raudulent a!t
% a !lient" unless dis!losure is prohi%ited % Rule 1.6 6!on&identialit,. Bhen not Drepresentin(
a !lientE" dishonest is (overned % Rule 8.1 6#is!ondu!t % lawers,.
Philip Larson Page 13
Professional Responsibility: Outline
a. C1: (enerall no a&&ir#ative dut to in&or# opposin( part o& relevant &a!ts. >ishonest
!ondu!t that does not !onstitute a &alse state#ent is handled % Rule 8.1.
%. C+: esti#ates o& pri!e or value pla!ed on a su%3e!t o& transa!tion and a part/s
intentions are #aterial &a!ts.
c. C,: lawer !an/t !ounsel !lient to !o##it &raud. Rule 1.!(d).
FF.Rule 2.+: Communication )= Person Represente& by Counsel : A lawer #a not
communicate with another person a%out the su%3e!t o& the representation who# the lawer
knows to be represented by counsel unless that person/s lawer !onsents or the
!o##uni!ations are authori.ed % law or !ourt order. Rule 4.!. This rule applies even i& the
represented part initiates the !o##uni!ation. C3. 5n the !ase o& a represented organiation"
this rule prohi%its !o##uni!ation with !onstituents that supervise" dire!t or re(ularl !onsults w/
the or(ani.ation/s lawers !on!ernin( the #atter or who has the authorit to o%li(ate the
or(ani.ation wrt the #atter %ut not &or#er !onsituents. C7. Note: this does not prohi%it
!o##uni!ation with a represented person !on!ernin( #atters outside the representation.
a. C+: this applies to an person represented % !ounsel in the #atter" not 3ust parties.
%. C2: parties to a #atter !an !o##uni!ate dire!tl w/ ea!h other" and a lawer #a
advise
c. C5: a lawer #a !o##uni!ate w/ &or#er e#ploees o& a &ir# involved in the liti(ation.
d. C<: lawer #ust have a!tual *nowled(e the person is represented % !ounsel. 5n this
!ase" the lawer is (overned % Rule 1.0 6dealin( w/ unrepresented persons,
GG. Rule 2.,: Dealin' )= $nrepresente& Person : A lawer #a not imply he is
disinterested and #ust #a*e sure the person understands the lawer/s role in the #atter. The
lawer #ust #a*e reasona%le e&&orts to !orre!t a #isunderstandin(. A lawer !an/t (ive le(al
advi!e to an unrepresented person" other than the advi!e to se!ure !ounsel" i& he *nows the
interests o& the person have a reasona%le possi%ilit o& %ein( in !on&li!t w/ those o& his !lient.
a. C1: Rule 1.106&, sas a lawer &or a !o#pan #ust #a*e !lear his role is understood %
those he !o##uni!ates with.
b. C+: the lawer #a ne(otiate ter#s o& a transa!tion or settle a dispute w/ the
unrepresented part.
HH. Rule 2.2: Respect for Ri'-ts of T-ir& Persons ) a lawer #a not use #eans that
have no purpose %ut to e#%arrass" dela or %urden a third person. Rule 4.4(a). A lawer who
re!eives a do!u#ent related to the representation he *nows was inadvertentl sent should
pro#ptl noti& the sender. Rule 4.4(b). Bhether the lawer #ust return the do!u#ent is a
#atter o& law.
a. C+: Ddo!u#entE in!ludes e-#ail and other ele!troni! #odes o& !o##uni!ation.
II. Rule ..1: Responsibilities of PartnersC %ana'ersC an& Super7isory !a)yers ) the #ust
#a*e reasona%le e&&orts to ensure lawers !on&or# to the 7odel Rules. A supervisin( lawer
#ust #a*e reasona%le e&&orts to ensure other lawers !on&or# to the Rules. A lawer is
responsi%le &or another/s violation i& the lawer 1, orders the !ondu!t" 2, has dire!t supervisor
authorit over the other lawer and *nows o& the !ondu!t at a ti#e when the !onse$uen!es
!ould %e avoided.
DD. Rule ..+: Responsibilities of a Subor&inate !a)yer 6 a lawer is %ound % the Rules even i&
he is a!tin( at the dis!retion o& another.
Philip Larson Page 14
Professional Responsibility: Outline
KK. Rule ..,: Responsibilities Re'ar&in' Nonla)yer ssistants ) when nonlawers are
e#ploed" the &ir# #ust #a*e reasona%le e&&orts to ensure the &ollow the Rules" parti!ularl
when a dire!t supervisor. A lawer is responsi%le &or their !ondu!t i& 1, he orders the !ondu!t"
or 2, he has dire!t supervisor authorit over the person and *nows o& the !ondu!t at a ti#e
when the !onse$uen!es !ould %e avoided.
LL. Rule ..2: Professional In&epen&ence of a !a)yer ) a lawer shouldn/t share le(al
&ees w/ a nonlawer
%%. Rule ...: $naut-oriEe& Practice of !a)G %ulti9uris&ictional Practice of !a)
NN. Rule ../: Restrictions on Ri'-t to Practice )
OO. Rule ..5: Responsibilities Re'ar&in' !a):Relate& Ser7ices
PP.Rule /.1: Holuntary Pro "ono Publico Ser7ice
II. Rule /.+: cceptin' ppointments
RR. Rule /.,: %embers-ip in !e'al Ser7ices Or'aniEations ) a lawer #a serve as a
dire!tor o& a le(al servi!es or(ani.ation" apart &ro# the law &ir# in whi!h the lawer pra!ti!es"
even i& the serve persons havin( adverse interests to a !lient o& the lawer.
SS. Rule 5.1: Communication Concernin' a !a)yers Ser7ices ) a lawer !an/t #a*e &alse
or #isleadin( !o##uni!ations a%out the lawer or the lawer/s servi!es. A !o##uni!ation is
&alse or #isleadin( i& it !ontains a #isrepresentation o& &a!t or law" or o#its a &a!t ne!essar to
#a*e the whole state#ent not #ateriall #isleadin(.
a. C1: this in!ludes advertisin( per#itted under 7.2.
b. C+: even truth&ul state#ents are prohi%ited i& the are #isleadin( 6e.(. i& it o#its a
#aterial &a!t or there is a su%stantial li*elihood it will lead a reasona%le person to
&or#ulate an in!orre!t !on!lusion,.
c. C,: ads that report a lawer/s a!hieve#ents on %ehal& o& !lients is #isleadin( i& it
!reates an un3usti&ied e-pe!tation that the sa#e results !ould %e o%tained &or other
!lients in si#ilar !ir!u#stan!es" w/o re&eren!e to the spe!i&i! &a!tual and le(al
!ir!u#stan!es. 4o#parin( rates #a also %e #isleadin( i& the !an/t %e su%stantiated.
TT. Rule 5.+: &7ertisin' ) Au%3e!t to Rule 7.1 and 7.0" a lawer #a advertise servi!es
throu(h written" re!orded or ele!troni! !o##uni!ation. Rule 7.!(a). 8owever" a lawer !an/t
(ive anthin( o& value to a person &or re!o##endin( the lawer/s servi!es e-!ept 1, to pa
reasona%le !osts o& ads" 0, to pa &or a law pra!ti!e per Rule 1.17" 1, in re&erral a(ree#ents
with a nonlawer where the a(ree#ent is i, not e-!lusive" and ii, the !lient is in&or#ed o& the
re&erral a(ree#ent. Rule 7.!(b). 8owever" these arran(e#ents should not %e inde&inite and
should %e reviewed periodi!all. C<. An advertise#ent #ust also in!lude the na#e and
address o& at least one lawer responsi%le &or the !ontent. Rule 7.!(c).
a. C,: Rule 5.,0a1 prohi%its soli!itation o& a prospe!tive !lient throu(h real-ti#e ele!troni!
e-!han(e not initiated % the prospe!t.
%. C.: a lawer !an pa pu%li!ists" PR people" %us-dev sta&&" and we%site desi(ners.
c. C5: a lawer that a!!epts re&errals #ust a!t reasona%l to ensure the a!tivities o& the
re&errer are !o#pati%le with Rule 7.1" 7.0" et!. 6advertisin( !an/t %e &alse" #isleadin("
et!.,.
Philip Larson Page 15
Professional Responsibility: Outline
d. C<: re&erral arran(e#ents !annot a&&e!t the lawer/s pro&essional 3ud(#ent as to #a*in(
re&errals or as to providin( le(al servi!es" per Rule 2.1 6advisor #ust have independent
pro&essional 3ud(#ent,. 4on&li!ts are (overned % Rule 1.7.
UU. Rule 5.,: Direct Contact )= Prospecti7e Clients ) a lawer shall not % in-person"
live telephone" or real-ti#e ele!troni! !onta!t soli!it e#plo#ent &ro# a prospe!t when a
si(ni&i!ant #otive is the lawer/s pe!uniar (ain" unless the person !onta!ted: 1, is a lawer" 2,
has a &a#il or !lose personal or prior pro&essional relationship w/ the lawer. Rule 7.3(a).
;ven i& allowed under 6a," a lawer !an/t soli!it e#plo#ent &ro# a prospe!t usin( written"
re!orded or ele!troni! !o##uni!ation or % in-person" telephone or ele!troni! !onta!t i&: 1, the
prospe!t has #ade *nown to the lawer he does not want the soli!itation" 2, the soli!itation
involves !oer!ion" duress or harass#ent. Rule 7.3(b). 7oreover" ever written" re!orded or
ele!troni! !o##uni!ation &ro# a lawer soli!itin( e#plo#ent #ust !ontain the words
DAdvertisin( 7aterialE on the outside o& the envelope and at the %e(innin( o& an re!orded
!o##uni!ation" unless it is with a lawer" &a#il #e#%er or so#eone the lawer has a !lose
personal relationship with. Rule 7.3(c). A lawer !an parti!ipate in a (roup le(al servi!e plan
operated % an or(ani.ation not owned or dire!ted % the lawer" even i& the use in-person
soli!itation o& #e#%erships or su%s!riptions. Rule 7.3(d). 8owever" the lawers should %e
reasona%l sure the plan sponsors !o#pl w/ Rules 7.1" 7.2 and 7.06%,. C<.
a. C1: prospe!ts #a &eel overwhel#ed and lawers should not use undue in&luen!e"
inti#idation or over-rea!hin(.
b. C,: %alan!e %/w &ree &low o& in&or#ation and usin( undue in&luen!e #eans that dire!t in-
person soli!itation is prohi%ited %/! it is li*el a !lient/s #a %e overwhel#ed.
c. C2: it is less li*el the lawer would use a%usive pra!ti!es with a &a#il #e#%er" &or#er
!lient or so#eone he is !lose with or i& the person !onta!ted is a lawer.
d. C5: the re$uire#ent o& DAdvertisin( 7aterialE does not appl to !o##uni!ations sent in
response to re$uests % potential !lients or their spo*espersons. Ceneral
announ!e#ents su!h as !han(es in o&&i!e lo!ation also are not !overed.
HH.Rule 5.2 Communication of Fiel&s of Practice an& SpecialiEation
WW. Rule 5..: Firm Names an& !etter-ea&s ) a lawer !an/t use a &ir# na#e" letterhead or
other desi(nation in violation o& Rule 7.1 6&alse or #isleadin( advertisin(,.
JJ. Rule 5./ Political Contributions to Obtain >o7ernment !e'al En'a'ements or
ppointments by Du&'es )
YY. Rule <.1: "ar &mission an& Disciplinary %atters ) an appli!ant &or ad#ission to
the %ar" or a lawer in !onne!tion with a %ar ad#ission" !annot a, *nowin(l #a*e a &alse
state#ent o& #aterial &a!t or %, &ail to dis!lose a &a!t ne!essar to !orre!t a #isapprehension"
e-!ept as !overed % Rule 1.6.
a. C1: there&ore" a %ar appli!ant !an %e dis!iplined later &or #a*in( a &alse state#ent on
the appli!ation. 7oreover" the #isunderstandin( need not have %een !reated % the
lawer %ut 3ust one o& whi!h he D%e!o#es aware.E
ZZ. Rule <.+: Du&icial an& !e'al Officials ) a lawer !an/t *nowin(l #a*e a &alse
state#ent or #a*e a state#ent with re!*less disre(ard &or its truth re(ardin( the $uali&i!ations
or inte(rit o& a 3ud(e" ad3udi!ator o&&i!er or pu%li! le(al o&&i!er" or a !andidate &or ele!tion to a
3udi!ial or le(al o&&i!e.
AAA. Rule <.,: Reportin' Professional %iscon&uct ) a lawer who *nows that another
lawer has !o##itted a violation o& the Rules that raises a su%stantial $uestion as to that
lawer/s honest" trustworthiness or &itness as a lawer in other respe!ts" #ust in&or# the
Philip Larson Page 16
Professional Responsibility: Outline
pro&essional authorit unless it is !overed under Rule 1.6. Rule 8.3(ac). A lawer who *nows a
3ud(e has !o##itted a violation o& the rules o& 3udi!ial !ondu!t that raises a su%stantial $uestion
as to the 3ud(e/s &itness &or o&&i!e should in&or# the authorities. Rule 8.3(b).
a. C1: this is a%out sel&-re(ulation.
b. C+: while a lawer does not have to dis!lose !ondu!t prote!ted % Rule 1.6" the lawer
should en!oura(e the !lient to !onsent to the dis!losure where prose!ution would not
su%stantiall pre3udi!e the !lient/s interests.
!. C2: the dut to report does not appl to a lawer retained to represent a lawer whose
pro&essional !ondu!t is in $uestion.
BBB. Rule <.2: %iscon&uct:) it is #is!ondu!t &or a lawer to a, violate the 7Rs" or
*nowin(l assist another to do so" %, !o##it a criminal act that re&le!ts adversel on the
lawer/s honest" trustworthiness" or &itness as a lawer" !, en(a(e in !ondu!t involvin(
dishonesty, fraud, deceit or misrepresentation" d, en(a(e in !ondu!t prejudicial to the
administration of justice" e, state or i#pl an a%ilit to improperly influence a government official"
and &, *nowin(l assist a 3ud(e in !ondu!t in violation o& the rules o& 3udi!ial !ondu!t. Rule 8.4.
a. C+: #an *inds o& ille(al !ondu!t re&le!ts adversel on the lawer/s &itness to pra!ti!e
law" su!h as !o##ittin( &raud or will&ull &ailin( to &ile a ta- return. 7atters involvin(
violen!e" dishonest" %rea!h o& trust" or serious inter&eren!e with ad#inistration o& 3usti!e
are in this !ate(or. A pattern o& repeated o&&enses" even #inor ones" !an indi!ate
indi&&eren!e to a le(al o%li(ation.
b. C,: a lawer who #ani&ests %ias or pre3udi!e %ased on ra!e" se-" reli(ion" national
ori(in" disa%ilit" a(e" se-ual orientation or so!io-e!ono#i! status is en(a(in( in !ondu!t
pre3udi!ial to the ad#inistration o& 3usti!e under Rule 8.16d,
CCC. Rule <..: Disciplinary ut-orityG C-oice of !a) ) a lawer ad#itted to pra!ti!e in a
3urisdi!tion is su%3e!t to the dis!iplinar authorit o& the 3urisdi!tion" re(ardless o& where the
lawer/s !ondu!t o!!urs.
Philip Larson Page 17
Professional Responsibility: Outline
dve!se..............5" 6" 7" 8" 10" 11" 12" 13" 15" 17
dve!#ise$en#s...........................................15" 16
%usiness &!ansac#ions................................4" 6" 7
'andid....................................................6" 11" 12
'o$pe#ence....................................3" 4" 6" 10" 11
confiden#ial...............................................8" 9" 11
'onflic# of (n#e!es#.........................6" 7" 9" 13" 14
'!i$e o! )!aud.....3" 4" 5" 7" 9" 10" 12" 13" 14" 17
'u!!en# 'lien#s...............................................6" 7
*ela+............................................................4" 14
*iligence..................................................4" 6" 12
*i$inished 'apaci#+................................3" 9" 10
*isadvan#age..............................................5" 7" 8
*isin#e!es#ed.....................................................14
,cono$ic" poli#ical" social and $o!al..............11
,$e!genc+.....................................................3" 9
)ac#o!s....................................................3" 4" 6" 9
)ailu!e #o *isclose.......................5" 7" 12" 13" 16
)a$il+................................................8" 9" 13" 16
)ees....................................................4" 5" 10" 15
'on#ingenc+..............................................4" 7
)o!$e! 'lien#s.................5" 6" 7" 8" 9" 11" 14" 16
-if#s....................................................................7
.ones#+" &!us#/o!#hiness" o! )i#ness.........16" 17
($pu#a#ion............................................7" 8" 9" 11
(ndependen# 0!ofessional 1udg$en#.7" 9" 11" 15"
16
(nfluence.........................................12" 13" 16" 17
(nfo!$ed 'onsen#...................4" 5" 6" 7" 8" 11" 13
Misleading..................................................15" 16
0!epa!a#ion.........................................................3
0!even#ing *ea#h................................................5
0!o$p#l+.......................................4" 6" 10" 11" 14
0!ope!#+................................................4" 5" 9" 10
0!ospec#ive 'lien#s...........5" 6" 10" 11" 12" 15" 16
Refe!!al.......................................................15" 16
Repugnan# 'auses............................................10
Rule 1.1............3" 4" 5" 6" 8" 9" 10" 11" 12" 14" 15
Rule 1.10........................................................6" 8
Rule 1.11............................................................9
Rule 1.12......................................................9" 11
Rule 1.13..................................................4" 9" 14
Rule 1.14........................................................3" 9
Rule 1.15............................................................9
Rule 1.16....................................3" 4" 5" 9" 10" 12
Rule 1.17....................................................10" 15
Rule 1.18............................................5" 6" 10" 11
Rule 1.2..................................3" 5" 6" 7" 9" 12" 14
Rule 1.3..............................................................4
Rule 1.4........................................................4" 11
Rule 1.5..............................................................4
Rule 1.6..................5" 8" 9" 10" 11" 12" 13" 16" 17
Rule 1.7................................6" 7" 8" 9" 10" 13" 16
Rule 1.8..............................................4" 5" 6" 7" 9
Rule 1.9..................................................5" 6" 7" 8
Rule 2.1......................................................11" 16
Rule 2.3............................................................11
Rule 2.4............................................................11
Rule 3.1............................................................11
Rule 3.2............................................................12
Rule 3.3............................................................12
Rule 3.4............................................................12
Rule 3.5............................................................12
Rule 3.6............................................................13
Rule 3.7............................................................13
Rule 4.1............................................................13
Rule 4.2............................................................14
Rule 4.3............................................................14
Rule 4.4............................................................14
Rule 7.1......................................................15" 16
Rule 7.2............................................................15
Rule 7.3......................................................15" 16
Rule 8.1............................................................16
Rule 8.2............................................................16
Rule 8.3............................................................16
Rule 8.4................................................13" 14" 17
Rule 8.5............................................................17
2cope of Rep!esen#a#ion.....................................3
2ubs#an#iall+ Rela#ed......................................7" 8
2upe!viso!s.............................................6" 14" 15
3n!ep!esen#ed 0a!#ies......................................14
4i#hd!a/al.................................3" 5" 6" 9" 10" 12
5ealous...............................................................4
Philip Larson Page 18