1. Bar Association
    Each state has a bar association. A majority of states have integrated bars, meaning that one must be a member of the bar association to practice law in the state. Administration of bar examinations, provision of continuing legal education programs, and assistance with discipline are function of the state bar association
  2. The Federal System
    Each federal court has its own bar, to which an attorney must belong in order to practice before that cour.t Federal practice is governed by federal statutes, case law, and court of agency rules. Federal government attorneys are subject to state ethics laws and rules in each state where the attorneys engage in their duties
  3. Regulation by Multiple States
    A lawyer is subject to regulation by each state in which she is admitted to practice
  4. Application. False Statements
    • In connection with the application to the bar or a bar disciplinary matter, an applicant or lawyer must
    • not knowingly make a false statement of material fact.
  5. Application. Failure to Disclose Information
    In connection with an application to the bar or a bar disciplinary matter, an applicant or lawyer must not: (i) fail to disclose a fact that is necessary to correct a misapprehension known by the applicant or lawyer to have arisen in the matter or (ii) fail to respond to ta lawful demand for information. These obligations do not apply to information protected by the ethical duty of confidentiality.
  6. Character and Fitness-Good Moral Character
    Bar applicants are required to demonstrate that they are of good moral character. If a question arises, the applicant may be asked to appear at a hearing before the admissions committee, where the applicant will be afforded procedural due process rights
  7. Character and Fitness- Relevant Conduct
    All aspects of an applicant’s past conduct are subject to review. An applicant’s criminal conduct and other acts constituting moral turpitude (false statements or concealment of past conduct to admissions committee) are grounds for denial of his application for admission. Evidence of rehabilitation will be considered. An applicant’s mere membership in an organization is insufficient to show lack of moral character.
  8. Citizenship and Residency
    A requirement that an applicant be a United States citizen or a citizen of a state is unconstitutional.
  9. After Admission-Misconduct
    A lawyer is subject to discipline not only for violating a disciplinary rule, but also for any of the following types of conduct: (a)attempting to violate a disciplinary rule (b) assisting or inducing another person to violate a disciplinary rule (c) using the acts of another person to violate a disciplinary rule (d) engaging in criminal conduct that shows dishonesty, untrustworthiness, or unfitness to practice law (e) engaging in any conduct involving dishonesty, fraud, deceit, or misrep. (f) engaging in conduct that is prejudicial to the amdin. Of justice (g) stating or implying an ability to improperly influence a govt. agency or official or to achieve results by means that violate the law or legal ethics rules (h) knowingly assisting a judge in conduct that is illegal or violates the code of judicial conduct
  10. Duty to Report Professional Misconduct
    A lawyer is subject to discipline for failing to report a disciplinary violation committed by another lawyer or judge. The ABA Model Rules limit that duty to disciplinary violations that raise a SUBSTNATIAL question as to the other lawyer’s honesty, trustworthiness, or fitness as a lawyer. This does not apply to ethical duty of confidentiality or information gained while serving as a member of substance abuse program.
  11. Disciplinary Process
    Begin when a complaint is filed with the state. If the complaint is not dismissed, the lawyer is requested to respond to the charges, and the grievance committee will investigate the charges and may hold a hearing on the matter. If the discipline is imposed, the lawyer is entitled to review of the decision by the state’s highest court
  12. Choice of Law in Disciplinary proceedings
    If the alleged misconduct is related to a proceeding that is pending before a tribunal, the ethics rules of the jurisdiction in which the tribunal sites will be applied. For any other conduct, the rules of the jurisdiction in which the conduct occurred will apply, but if the predominant effect of the doncut is in some other jurisdiction, that jurisdiction’s rules will apply
  13. Effect of Sanctions in Other jurisdictions
    Sister states accept disciplinary actions by one states as conclusive of proof of a lawyer’s misconduct, but are free to impose their own sanctions. Each federal court makes an independent evaluation, accepting as competent evidence the layer’s discipline by a state
  14. Permissible Types of Temporary Multi-Jurisdictional Practice
    If a lawyer is admitted to practice in one state, and is not disbarred or suspended form practice in any state, she may provide legal services in a second state on a temporary basis in the following situations: (a) Association with local lawyer (b) special permission to practice in local tribunal (pro hac vice or for purposes of that matter only (c) medication or arbitration services arising out of practice in home state (d) out of state practice is reasonably related to her home state practice (e) temporary practice by foreign lawyers if services are governed primarily by international law or the law of a foreign jurisdiction
  15. Permissible Types of Permanent Multi-Jurisdictional Practice
    A lawyer who is admitted in one United States or foreign jurisdiction and is not disbarred or suspended from practice in any jurisdiction, may open a law office and est. a practice in a different jurisdiction if (a) A lawyer is employed by their client only (in house corporate lawyers and govt. lawyers), but she must seek pro hac vice admission to litigate a matter in that state. A foreign lawyer must consult with a local lawyer before advising her client on the law of the United States jurisdiction (b) Legal services authorized by federal or local law
  16. Consequences of multi-jurisdictional practice
    Subject to the disciplinary rules of both jurisdictions
  17. Unauthorized practice by non-lawyers
    A person not admitted to practice as a lawyer must not engage in the unauthorized practice of law. A lawyer is subject to discipline for assisting a non-lawyer to engage in the unauthorized practice of law
  18. Practice of law includes (i) involving legal knowledge and skill (ii) which constitute advice concerning binding legal rights or (iii) traditionally performed by lawyer (settlement negotiations, drafting legal docs). It is not unauthorized practice for a non-lawyer to appear before an agency that permits non-lawyer professions (accountants) to do so, or for a non-lawyer to fill in the blanks on legal forms (real estate sales contracts).
  19. Consequences of unauthorized practice
    A non-lawyer engaged in the unauthorized practice of law may be subject to injunction, contempt, and criminal prosecution. A lawyer who assists a non-lawyer in the unauthorized practice of law is subject to discipline.
  20. Delegating Work to Non-lawyer Assistants
    A lawyer must supervise delegated work carefully and must be ultimately responsible for the results
  21. Training non-lawyers for law related work
    A lawyer may advise and instruct non-lawyers whose employment requires knowledge of the law
  22. Helping persons appear pro se
    A lawyer may advise persons who wish to appear on their own behalf in a legal matter.
  23. Assisting a Suspended or Disbarred Lawyer
    A lawyer who assists a suspended or disbarred lawyer to do work that constitutes the practice of law is subject to discipline
  24. Nature of the lawyer-client relationship
    The relationship is contractual, and the terms of such contract are derived from custom and mutual agreement
  25. Creating the lawyer-client relationship
    A lawyer-client relationship arises when a person indicates an intent that the lawyer provide legal services and the lawyer agrees or fails to clearly inform the person that he does not wish to represent her, resulting in implied assent, or when a tribunal appoints a lawyer to represent a client.
  26. Implied Assent and reasonable reliance
    A lawyer’s assent is implied when he fails to clearly decline representation and the prospective client reasonably relies on the representation. Reasonableness is a question of fact.
  27. Court appointments
    Lawyers have an ethical obligation to help make legal service available to all who need it by accepting a fair share of unpopular matters and unpopular or indigent clients. A lawyer must not seek to avoid court appointments to represent clients except for good cause. Examples of good cause are (i) to represent the client would require the lawyer to violate a law or other disciplinary rule (ii) representing the client would impose an unreasonable financial burden on the lawyer (iii) the lawyer’s personal feelings would prevent her from representing the client effectively
  28. Duty to Reject Certain Cases
    A lawyer must refuse employment when: (a) the client’s motive is to embarrass, delay or burden a third person (b) the case presents a factually or legally frivolous position (but a good faith argument that the facts are as claimed or that the law should be changed is permissible) (c) the lawyer is incompetent (or too busy) to handle the matter (d) the lawyer’s strong personal feelings may impair his ability to effective representation (e) the lawyer’s mental or physical condition would materially impair the representation
  29. Duties Owed to Prospect Client
    If no lawyer-client relationship ensues from a consultation with a prospective client,t he lawyer must (i) protect the person’s confidential information, including declining representation of others in the same or a related matter (ii) protect the prospective client’s property and (iii) use reasonable care in giving the person any legal advice
  30. Ethical Obligation to Accept Unpopular cases
    A lawyer can fulfill his obligation to assist in the provision of legal services to those in need by accepting a fair share of unpopular matters or indigent or unpopular clients
  31. When to Agree on Free
    The ABA Model Rules require a lawyer to reach a clear fee agreement with the client, preferably in writing, early in the relationship
  32. Discipline for Unreasonable Fee
    Court will not enforce a contract for an unreasonably high fee or an unreasonably high amount for expenses and the lawyer is subject to discipline for trying to exact such a fee or expenses
  33. Factors to consider Unreasonable Fee
    The time and labor required; the novelty and difficulty of the questions involved; the skill required; whether the lawyer is precluded from other work; what other lawyers in the community charge; the amount at stake and the results obtained; time limitations; the experience; reputation and ability of the lawyer; and whether the fee is fixed or contingent
  34. Items that May and May not be Billed
    The attorney must disclose the basis for charges and may not charge the client for ordinary overhead expenses. The Attorney may charge the client the actual cost of special services (computer research, secretarial overtime). The attorney may charge a reasonable amount agreed to in advance.
  35. Payment in Advance
    A lawyer may require her fee to be paid in advance, but she must refund any unearned part of the advance if she is fired or withdraws. A lawyer need not return a true retainer fee (money paid solely to insure the lawyer’s availability)
  36. Property for Services
    A lawyer may accept property in return for services, provided that this does not involve a proprietary interest in the cause of action or subject of litigation, but such an arrangement is subject to scrutiny to make sure the lawyer does not take advantage of the client
  37. Cutting off Services
    A lawyer must not make a fee agreement that could cut off services in the middle of the relationship and thus put the client at a disadvantage
  38. Credit arrangements and security
    An attorney may permit the client to pay a fee by credit card, to finance feeds though bank loans, or to pay by an interest-bearing promissory note. If local law permits, an attorney may use an attorney’s lien to secure payment of a fee.
  39. Contingent Fees
    United States law tolerates contingent fees, in which the lawyer receives his fee only upon favorable resolution for his client. Often a contingent fee is a percentage of the client’s recovery in the case. Generally prohibited in criminal and domestic relations cases (securing a divorce, the amount of alimony or support, or the amount of a property settlement). Must be reasonable. Written fee agreement required
  40. Written Contingent Fee Agreement Required
    A contingent fee agreement is required to be in writing signed byt eh client. The writing must speel out how the fee is to be calculated, what litigation and other expenses are to be deducted from recovery, whether deductions for expenses will be made before or after the fee is calculated, and what epxenses the client must pay.
  41. Fee sharing- Person you are sharing a fee with is not an attorney
    Allowed when: (1) money is a death benefit payable under an agreement b/t deceased lawyer and his firm (2) the purchase price for the sale of a deceased, disabled, or disappeared lawyer’s practice (3) the money is being paid into a retirement or compensation plan for firm employees (4) the money is being paid to a nonprofit organization that hired or recommended the lawyer
  42. Fee sharing-Person you are sharing a fee with is an attorney
    Allowed when: (1) the lawyer is the lawyer’s partner or associate (2) the lawyer is a former partner or associate and the sharing pursuant to a separation or retirement agreement (3) the share is proportional to the services performed by the lawyer or in any other proportion if each lawyer assumes joint responsibility; the client consents to the split in writing and; the total fee is reasonable
  43. Fee Disputes
    A lawyer may not use illegal collection methods, improperly use confidential information, or harass a client to obtain compensation.
  44. Remedies to recover a fee
    In addition to filing suit to recover a fee, a lawyer can generally use a common law or statutory charging lien. The lawyer may retain the disputed amount in a client trust account until resolution of the dispute.
  45. Forwarding or referral fees
    When one lawyer simply refers a case to a second lawyer and the first lawyer neither works on the case no r assumes responsibility for the case, the second lawyer must not pay the first lawyer a forwarding or referral fee. A lawyer may set up a reciprocal referral arrangement in which the lawyer agrees to refer clients to another lawyer or non-lawyer, provided the clients referred are informed of the arrangement.
  46. Scope of Representation generally
    The scope and objectives of representation may be defined by agreement b/t the lawyer and the client and absent a contrary agreement, the lawyer is obligated to pursue a client’s objectives in all reasonably available legal ways. A lawyer must not advise or assist a client to commit a crime or fraud, btu the lawyer may discuss the legal consequences of a proposed course of action with the client.
  47. Decisions to be made by client
    A lawyer must abide by a client’s decisions affecting the client’s substantial legal rights, including: (a) whether to accept a settlement offer (b) what plea to enter in a criminal case (c) whether to waive a jury trial in a criminal case (d) whether the client will testify in a criminal case and (e) whether to appeal
  48. Limits on Lawyer’s responsibility and authority
    A lawyer may limit the scope of the representation provided the limitation is reasonable under the circumstances and the client gives informed consent. Reasonable circumstances include (i) when disagreements exist between the lawyer and client about the means to be used to reach the client’s objectives (ii) when the client insists on the lawyer’s assistance in violating a law or legal ethics rule and (iii) when a lawyer discovers that a client has begun an illegal course of action and the conduct is continuing
  49. Client with diminished capacity- lawyer’s duties
    The lawyer has a duty to maintain a normal lawyer-client relationship and should treat the client as a client
  50. Client with diminished capacity- protective action and appointment of guardian
    When client has diminished capacity and faces a risk of substantial physical, financial, or other harm, the lawyer may take reasonable actions to protect the client, including seeking the appointment of a guardian. Under these circumstances, the lawyer has implied authority to reveal the client’s confidential information, to the extent necessary to protect the client
  51. Emergency Legal assistance to non-client with seriously diminished capacity
    Person with seriously diminished capacity facing imminent and irreparable harm to her health, safety, or financial interest consults a lawyer, that lawyer may take legal action on behalf ot he person even if a lawyer-client relationship has not been est. if the lawyer reasonably believes the person has no other representative. Normally, the lawyer would not seek compensation for emergency action taken on behalf of the non-client
  52. Communicating with client generally
    A lawyer must (i) promptly inform the client of any decision hat requires the client’s informed consent (ii) keep the client reasonably informed about the status of the matter and the means to be used to accomplish he client’s objectives (iii) respond promptly when a client makes a reasonable request for information and (iv) consult with the client if the client expects the lawyer to do something illegal or unethical
  53. Communicating with client-special circumstances
    The amount and kind of information he lawyer should give to the client depends on the client’s situation
  54. Communicating with client-withholding information with client
    A lawyer may delay the transmission of information to a client if the client would be likely to react imprudently to an immediate communication. If a court order or rule forbids a lawyer from sharing information with a client, the lawyer must comply
  55. Terminating the lawyer-client relationship generally
    The lawyer-client relationship normally continues until the end of the matter, but it can terminate prematurely int here ways (i) the client can fire the lawyer (ii) in some situations, the lawyer must withdraw and (iii) in some situations the lawyer may withdraw
  56. Client fires attorney
    The client can fire the attorney at any time, with or without cause. The client is then liable to the attorney in quantum meruit for the reasonable value of the work done. If the attorney and client had a contract for a flat fee or maximum fee, the attorney cannot recover more than the amount contracted for. If the attorney and client had a contingent fee agreement, the attorney’s quantum meruit claim does not arise until the contingency comes to pass (aka the client gets a favorable judgment or settlement)
  57. Court permission to substitute attorneys
    In a litigation matter, the local court rules typically require court permission for a client to fire her attorney, and the court may deny permission if a substitution of attorneys would cause undue delay or disruption. The court may also deny an attorney’s request to withdraw, even if there is good cause, for the same reasons.
  58. Mandatory withdrawal
    An attorney must withdraw from representation in two situations (i) the attorney’s mental or physical condition would make it unreasonable for him to continue representing the client or (ii) continued representation would require the attorney to violate a law or disciplinary rule
  59. Permissive withdrawal
    An attorney may withdraw from representation for any reason if withdrawal does not have a material adverse effect on the client’s interest or the client consents. An attorney may withdraw despite an adverse impact when the circumstances are so severe as to justify harm to the client’s interest and: (a) the client persists in criminal or fraudulent conduct (if the conduct requires the attorney’s assistance, the attorney MUST withdrawal) (b) the client has used the attorney’s services to commit a past crime or fraud (c) the client’s objective is repugnant or against the lawyer’s beliefs (d) the client breaks his promise to the attorney (e) representation imposes an unreasonable financial burden to the attorney (f) the client will not cooperate in the representation (g) other good cause for withdrawal exists
  60. Attorney’s duties upon termination of representation
    Before withdrawing, an attorney must give the client reasonable notice of his withdrawal and a chance to get another attorney. When an attorney withdraws or is fired, the attorney must refund any advance on fees not yet earned and expenses not yet spent, and must turn over all papers and property to which the client is entitled
  61. Competence generally
    In representing a client, a lawyer must act competently and with the legal knowledge, skill, thoroughness, and preparation that are reasonably necessary for the representation
  62. Legal knowledge and skill
    In determining whether a lawyer has the necessary skill to handle a matter, factors to be considered include: the complexity and specialized nature of the matter; the lawyer’s general experience and his training and experience in the field in question; the amount of preparation and study the lawyer will give to the matter; and whether it is possible for the lawyer to refer the matter to, or consult with, another competent lawyer
  63. Become competent through preparation
    A lawyer may accept representation if the requisite competence can be achieved by reasonable preparation
  64. Emergency situations
    A lawyer who is not competent in the field may assist a client in an emergency, but the assistance should not exceed what is reasonably necessary to meet the emergency
  65. Thoroughness and preparation
    A lawyer must inquire into and analyze the facts and legal elements in order to adequately prepare a matter
  66. Retaining other lawyer to assist in the matter
    Sometimes a lawyer may gain competence in a matter by consulting with other lawyers. Before a lawyer retains or contracts with lawyers outside her firm to assist in the provision of legal services to the client, the lawyer (i) must reasonably believe that the services of the outside lawyers will contribute to the competent and ethical representation of the client and (ii) should ordinarily obtain the client’s informed consent
  67. Maintain competence- CLE
    Lawyers should take reasonable steps to keep abreast of new developments in the fields in which they practice. Moreover, a lawyer must comply with all applicable continuing legal education requirements
  68. Diligence
    Once a lawyer takes on a client’s matter, the lawyer must (i) act on the client’s behalf with reasonable diligence and promptness (ii) act with dedication and zeal (iii) pursue the matter to completion (unless fired, etc.) and (iv) either terminate the relationship or act with the required diligence if there is any doubt as to whether a lawyer-client relationship exists
  69. Relationship between Disciplinary Matters and Malpractice Actions
    A malpractice action differs from a disciplinary matter in three ways (i) the forum in a malpractice action is a civil court, not a disciplinary tribunal (ii) in a malpractice action, the lawyer’s adversary is an injured plaintiff, not the state bard and (iii) the purpose of a malpractice action is to compensate the injured plaintiff, not to punish the lawyer or to protect the public from future wrongs
  70. Ethics Violations Evidence of Malpractice
    The violation of an ethics rule does not automatically mean that the lawyer has committed malpractice, nor does it create a presumption of malpractice, but courts do treat it as relevant evidence of malpractice
  71. Theories of malpractice liability
    (i)intentional tort (ii) breach of fiduciary duties (iii) breach of contract (iv) simple negligence
  72. Elements of Negligence
    Duty of due care (to her client and also to any third party who is intended to benefit from the legal services she renders to her client); Breach of duty due care (not liable for mere errors of judgment); legal causation (but for); damages
  73. Liability for Negligence of Others
    An attorney can be liable for injuries caused by negligent legal secretary, law clerk, or other person acting within the scope of his employment. Each partner in a law firm is liable for the negligence of other partners committed in the ordinary course of partnership business
  74. Contracting with client to limit malpractice liability
    A lawyer is prohibited from contracting with a client to prospectively limit her malpractice liability, unless the client is independently representing in making the contract
  75. Settling Malpractice Claims
    A lawyer must not settle a pending or potential malpractice claim with an unrepresented client or former client without first advising that person, in writing, to seek independent advice about the settlement and giving that person time to seek that advice
  76. A lawyer who has breached a duty to his client cannot escape discipline by reimbursing the client for any loss
  77. Duty of Confidentiality- generally
    As a general rule, a lawyer must not reveal any information relating to the representation of a client. A lawyer, may, however reveal such information if the client gives informed consent or any of the other exceptions discussed
  78. Relationship b/t ethical duty and A-C privilege- compulsion vs. gossip
    The A-C privilege is an exclusionary rule of evidence law that prevents the govt. form compelling the revelation of privileged communications. In contrast, the ethical duty of confidentiality prevents the attorney from voluntarily disclosing or misusing confidential information. It applies in every context where the A-C privilege does not apply. The ethical duty also requires the attorney to make reasonable efforts to protect a client’s confidential information from inadvertent or unauthorized disclosure by the lawyer, those under the lawyer’s supervision, and third parties.
  79. Relationship
  80. Relationship b/t Ethical duty and A-C privilege-Kinds of Information covered
    The A-C privilege protects only confidential communications b/t an attorney and client or their respective agents. In contrast, the ethical duty covers communications that are protected by the privilege plus any other information the attorney obtains relating to the representation, not matter what the source
  81. Relationship b/t Ethical duty and A-C privilege-Disclosure vs. Use
    The A-C privilege prevents the govt. from compelling the disclosure of privileged communications. In contrast, the ethical duty of confidentiality prohibits the lawyer form either disclosing confidential information without the client's informed consent or using confidential information to the disadvantage of a client, former client, or prospective client without the affected client's informed consent
  82. Summary of A-C privilege
    The A-C privilege prohibits a court or other governmental tribunal from compelling disclosure of confidential communications b/t an attorney and a client, or their respective agents, if the communication concerns the professional relationship
  83. A-C privilege- Client
    A client is a person or entity that seeks legal services from an attorney. The privilege covers preliminary communications leading up to an A-C relationship, even if no such relationship ultimately develops. When the client is a corporation, the privilege covers communications b/t the lawyer and a high-ranking corporate official. It also covers communications b/t the lawyer and another corporate employee if three conditions are met (i) the employee communicates with the lawyer at the direction of the employee's supervisor (ii)the employee knows that the purpose of the communication is to obtain legal advice for the corp. (ii) the communication concerns a subject within the scope of the employee's duties to act for the corporation
  84. A-C privilege- Communication
    Communication means information transmitted orally or in writing in either direction b/t the attorney and the client or their respective agents. The privilege generally does not cover the client's identify or the fee arrangement b/t the client and the attorney, unless disclosing facts is tantamount to disclosing a privileged communication. A preexisting document or thing does not become privileged simply by turning it over to an attorney. if it would be discoverable in the client's hands, it is equally discoverable in the attorney's hands. If an attorney comes into possession of the fruits of a crime, or an instrument used to commit a crime, the attorney may keep it long enough to obtain information needed to represent the client, but the attorney must then turn it over to the proper authorities
  85. A-C privilege- Confidential defined
    The communication must have been made by a means not intended to disclose the communicated information to outsiders. the presence of a third party who is there to aid the A-C relationship does not destroy confidentiality. eavesdropper can be prevented from testifying
  86. A-C privilege- Client holds privilege
    • The client (not the attorney) is the one who can claim or waive the privilege. Waiver will occur when there is a failure to claim the privilege when there is a chance to do so or when there is an intentional revelation of a significant part of the privileged communication. If the client has not waived the privilege and if someone tries to obtain privileged information when the client is not present, the attorney must claim the privilege on the client's behalf.
    • A-C privilege-Duration of privilege
    • The A-C privilege continues indefinitely, surviving termination of the relationship and even the death of the client
  87. A-C privilege-Exceptions to the privilege
    The privilege does not apply where: (a) the client seeks the attorney's services to engage in or assist a future crime or fraud (b)the communication is relevant to an issue of breach of the duties arising out of the A-C relationship (c) civil litigation arises b/t two persons who were formerly joint clients of the attorney (d) the attorney is asked for evidence about the competency or intent of a client who has attempted to dispose of property by will or inter vivos transfer
  88. Duty of Confidentiality generally
    All information relating to representation of a client protected from voluntary disclosure and form use harmful to client.
  89. Duty of confidentiality information protected
    (a)communications b/t attorney and client w/ third part present (b) relevant preexisting documents and things (c) mechanical details of attorney-client relationship (fee arrangement, client identity) (c) information concerning past frauds involving attorney's services (d) communications made when client seeks attorney's services in future crime or fraud
  90. A-C privilege generally
    Confidential communications protect against compelled testimony
  91. A-C privilege information protected
    (a) conversations b/t attorney and client (b)letters and other documents b/t attorney and client
  92. Information not protected by duty of confidentiality or A-C privilege
    (a)Information necessary to prevent reasonably certain death or substantial bodily harm (b)Client communications revealing intent to commit future crime of fraud reasonably certain to result in substantial financial harm if lawyer's services used (or to prevent or mitigate financial harm if client has already acted (d) Information relevant to dispute involving attorney's conduct (e) Information for which disclosure expressly or impliedly authorized by client (f) Information required to be disclosed by law or court order (g) information necessary to detect or resolve conflicts of interest (h) information necessary for the lawyer to obtain legal ethics advice
  93. Work Product Immunity
    Generally, material prepared by a lawyer for litigation or in anticipation thereof is immune from discovery or other disclosure unless the opposition shows a substantial need for, an inability to gather, the material without undue hardship. A lawyer's mental impressions or opinions are always immune from discovery unless immunity is waived
  94. Ethical Duty of Confidentiality and its exceptions
    (1) May disclose- Client's informed consent and implied authority (2)May reveal- Dispute concerning attorney's conduct (3) May disclose- disclosure to obtain legal ethics advice (4) May reveal- disclosure required by law or court order (5) may reveal- disclosure to prevent reasonably certain death or substantial bodily harm (6) May reveal- disclosure to prevent or mitigate substantial financial harm if the client is using or has used the lawyer's services in the matter (7) May disclose- Disclosure to detect and resolve conflicts of interest
  95. Lawyer's Representation of Current Clients with conflicting interests
    Lawyer may undertake the representation if: (1) the clients are not opposing one another in the action (2) the clients are not co-parties with conflicting interests, but if they are a. a disinterested lawyer would conclude that the client should agree to the representation b. the lawyer reasonably believes that the representation will not affect his relationship with the other client c. AND each client gave informed, written consent (3) the representation does not require that the lawyer represent a client in one case and oppose that same client in a simultaneously pending case, but if so follow a-c (4) the representation does not require the lawyer to take inconsistent legal positions to represent each client, but if so follow a-c
  96. Conflicts of Interest the General Rules
    A lawyer must not allow her personal interests, the interest of another client, or the interests of a third person to interfere with her loyalty to the client
  97. Consequences of a conflict of interest
    If a conflict of interest is apparent before a lawyer takes on a client’s matter, the lawyer must not take it on. If a conflict becomes apparent after the lawyer has taken on the client’s matter, the lawyer must withdraw. A lawyer’s failure to handle a conflict properly can have the following consequences (i) disqualification as counsel in litigated matter (ii) professional discipline (iii) civil liability for legal malpractice
  98. Imputed conflicts of interest
    Generally, lawyers who practice together in a firm are treated as a single unit for conflict of interest purposes. Whether a group of lawyers constitutes a firm depends on many factors including whether: (i) they have a formal agreement (ii) they hold themselves out as if they practice as a firm (iii) they share their revenues and responsibilities (iv) they have physical access to each other’s client files (v) they routinely talk among themselves about the matters they are handling (vi) the purpose of the particular conflict rule would be served by imputing one lawyer’s conflict to other lawyers in the group
  99. Exceptions of imputed conflicts of interest
    A conflict will generally not be imputed to other lawyers in the firm if the conflict is personal to the disqualified lawyer or involves duties owed to former clients and the disqualified lawyer is timely screened from participation in the matter is apportioned no part of the fee from the matter
  100. Conflicts of interest- current clients- concurrent conflicts of interest
    A lawyer must not represent a client if (i) the representation of one client will be directly adverse to another client of (ii)there is a significant risk that the representation of one client will be materially limited by the lawyer’s own interest or by the lawyer’s responsibilities to another client, a former client, or a third person
  101. Conflicts of interest-current clients-informed, written consent can solve some conlficts
    Despite a concurrent conflict of interest, a lawyer may represent a client if (i) the lawyer reasonably believes that he can competently and diligently represent each affected client (ii) the representation is not prohibited by law (iii) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation and (iv) each affected client gives informed, written consent-client can revoke
  102. Specific conflict situation concerning a material limitation generally
    A lawyer must not represent a client if the representation of the client may be materially limited by the lawyer’s own interests or by the lawyer’s responsibilities to another client, former client or third person, unless each affected client gives informed, written consent
  103. Specific conflict situations concerning material limitation-examples
    (i)representing co-parties in cim. Litigation- the interests are likely to diverge, a lawyer should try not to defend two people in a criminal case (ii)co-parties in civil litigation- a lawyer may represent two plaintiffs/defendants whose interest are potentially in conflict if (i) the lawyer concludes that she can effectively represent both clients and (ii) the lawyer obtains the informed, written consent of both (iii) representing two clients w/ inconsistent legal positions in 2 unrelated cases- absent informed, written consent of both clietns, a lawyer must not represent if there is a substantial risk of martially limited (iv)unnamed members of a class do not count as clients (v) representing multiple clients in nonlitigation matters- consider relevant factors (vi) handling conflicts in nonlitigation matters- A lawyer may represent two clients whose interests are potentially in conflict if (i) the lawyer concludes they can do it effectively and (ii) the lawyer obtains informed, written consent (vii) in litigation between two former join clients of a single lawyer, neither client can cliam the A-C privilege- lawyer should explain whatever one client discloses will be shared with other client (viii) A conflict may be created by lawye’rs own financial interest or by his relationship with another lawyer or client
  104. Conflicts of interests- business transactions with client and money or property interest adverse to client
    A lawyer must not enter into a business transacitonw ith a client or knowingly acquire an ownership, possessory, security, or money interest that is adverse to a client unless all of the following conditions satisfied (i) terms of tranaciton are fair to client (ii) terms are fully disclosed in writing, expressed in a manner that the client can reasonably understand (iii) the client is advised in writing that he should get the advice of independent lawyer about the arrangement before entering into it and (iv) client gives informed consent, in a writing that client signs- this rules doesn’t apply to standard commercial trandations in public
  105. Misuse of lcient’s confidential information
    A lawyer must not use a client’s confidential information to the lcient’s disadvantage or to benefit the lawyer or someone else, unless the client gives informed consent or some other exception to the duty of confidentiality applies
  106. Gifts to lawyer form client who is not a relative-soliciting substantial gift
    A lawyer is prohibited from soliciting a substantial gift from a client who is not the lawyer’s relative. A lawyer may, however, accept a small gift from a client, such as a token of appreciation or an appropriate holiday gift. A lawyer may accept a substantial gift form a client, although the gift may be voidable for undue influence
  107. Gifts to lawyers- preparing legal instrument that creates substantial gift
    A lawyer must not prepare a legal instrument in which the client gives the lawyer or his relatives a substantial gift, except when the client is a relative
  108. Gifts to lawyer-s lucrative appointments
    A alweyr is not prohibited form seeking tohave himself or his law partner or associate named as executor of an estate or counsel to the executor or to some other fee-paying posisiotn. However, the genral conflict of interest principles do prohibit such efforts if the laweyr’s advice is tainted by the lawery’s self-interest
  109. Acquiring literary or media rights concerning a client’s case
    • A lawyer must not acquire literary or media rights to a story based in substantial part on the alweyr’s represenatiaon of a client. However, a lawyer may acquire such rights after the licnet’s legal matter is entirely completed, including appeals
    • Financial assistance to client in litigation- generally
    • A lawyer must not financially assist a client whose litigation is pending or contemplated
  110. Financial assistance to client in litigation- advancing litigation expenses
    A lawyer may advance court costs and other litigation expenses on the client’s behalf, and repayment may be contingent on the outcome of the case
  111. Financial assistance to client in litigation- paying costs and expense for indigent client
    A lawyer may pay the court costs and litigation expenses for an indigent client, without any provision for repayment
  112. Financial assistance to client in litigation- other financial help is prohibited
    A lawyer is subject to discipline for giving a client other financial help in the context of pending or contemplated litigation
  113. Aggregate settlement agreements
    A lawyer who represents several co-parties in a matter must not participate in the making of an aggregate settlement agreement unless (i) the clients come to an agreement about how the aggregate sum will be shared (ii) the lawyer discloses to each client all terms of the sharing agreement includignt he total amount that will be paid, the existence and nature of all claims, defenses, and pleas involved in the settlement, the details of every other client’s participation in the settlement and how and by whom the lawyer’s fees will be paid (iii) each client gives informed, written consent
  114. Class Action settlements
    In a class aciotn, the alweyr who represents the class ordinarily doesnot have a complete lawyer-client relationship with the unnamed members of the class. At settlement time, the class’s lawyer must follow all of the class action rules concerning notice and other procedural requirements that protect the unnamed class members
  115. Aggregate settlement of a criminal case
    The same rules apply to an aggregate settlement in a civil case also apply to joint pleas bargain in a criminal case.
  116. Waivign malpractice liability- prospective waiver or limit of malpractice liability
    A lawyer rmust not make an agreement with a client that prospectively waives or limits the lawyer’s liability for legal malpractice unless the client is independently represented in making the agreement. A lawyer may however (1) practice in a limited liability entity 2) reasonably limit scope of representation 3) arbitrate legal malpractice claims
  117. Settling malpractice claims
    A lawyer may settle a malpractice claim or potential claim made by his client, but only if the lawyer first advises the client in writing to seek the advice of an independent lawyer about the settlement
  118. Proprietary interest in subject of litigation
    A lawyer must not acquire a proprietary interest in the client’s cause of action or the subject matter of the litigation. Contingent fees and attorney’s liens are exceptions to this rule, even though each gives the lawyer a type of interest in the subject of the litigation
  119. Compensation from a third person
    A lawyer must not accept compensation roma third person for representing a client unless (i) the client gives informed consent (ii) the third person does not interfere with the lawyer’s judgment in representing the client (iii) the arrangement does not compromise the client’s confidential information
  120. Conflicts between client’s interest and third person’s interest
    When the interest of a third person creates a substantial risk of materially limiting the lawyer’s ability to represent the client effectively, the lawyer may represent the client if (i) the lawyer reasonably believes that the third person’s interest will not adversely affect the representation and (ii) the client gives informed, written consent
  121. Conflicts raised by liability insurance
    Liability insurance policies commonly provide that the insurance company will select and pay for a lawyer to defend the policyholder in suits arising out of events covered by the policy. No matter whom the defense lawyer represents, the lawyer’s ethical obligations are governed by the rules of professional conduct, not by the insurance company
  122. Duties to former clients-continuing duty of confidentiality
    An attorney has a continuing duty to preserve information gained in confidence during the representation, even after the representation ends
  123. Duties to former clients-opposing former client
    A lawyer who has confidential information from a former client must not oppose that former client in any matter to which the confidential information would be relevant and must not use that information to the former client’s disadvantage, unless the former client gives informed, written consent
  124. Using confidential information to former client’s disadvantage
    A lawyer must not use confidential information to a former client’s disadvantage without the informed, written consent of the former client. This rule is inapplicable to commonly known information or information the lawyer would be permitted to reveal under an exception to the duty of confidentiality
  125. Opposing former client in substantially related matter
    Absent ifnorme,d written consent of the former client, a lawyer msu tnto represent a client whose interests are matierally adverse to those of the former client in aamtter that is substantially related ot a matter in twhich the lawyer reprsetned the former client
  126. Clients of Former firm
    A lawyer whose firm formerly represented a client in a matter and qho acquired protected confidential information or information pertaining to the representation may not thereafter represent another person in the same or a substantially related matter if that person’s interests are materially adverse to those of the former client, unless the former client gives informed, written consent
  127. Disqualification of a lawyer’s new firm
    If a lawyer is disqualified from representing a client, and the lawyer joines a new firm, the new firm may be disqualified as well unless (i) the lawyer is properly secreened and does not share fees ormt eh matter and (ii) the former client is given notice
  128. Disqualification of a lawyer’s former firm
    A lawyer’s former firm is prohibited form representing person with interests materially adverse to those of a client of the formerly associated lawyer if (i) the matter is the same of substantially related to that in which the formerly associated lawyer represented the client and (ii) a lawyer remaining in the firm ahs information protected by 1.6 and 1.9 ©
  129. Conflict rules for current and former gov.t officers and employees-federal and state conflict of interest laws
    Lawyers who move between govt. and private jobs must comply not only with the legal ethics rules, but also with various state and federal conflict of interest statutes and regulations
  130. Private work following govt. work on the same matter
    A lawyer who leaves govt. service and enters private practice must not represent a private client in a matter in which the lawyer participated personally and substantially while in govt. service, unless the govt. agency gives informed, written consent. Personally and substantially means that the lawyer worked on the matter herself and that her work was more than trifling
  131. Imputed disqualification
    If a lawyer is disqualified by the above rule, the other alwyers in her firm are also disqualified unless (i) the former govt. lawyer is timely screened off from the case (ii) the former govt. lawyer is not apportioned a part of the fee earned in the case and (iii) written notice is given to the agency to enable it to make sure the above conditions are met
  132. Subsequent Use of information gained during govt. service
    A govt. lawyer who receives confidential govt. information about a person must not later represent a private client whose interests are adverse to that person, when the information could be used to harm that person
  133. Govt. service- personal and substantial rule applies
    If a lawyer worked personally and substantially on a matter in private practice, the lawyer must not work on that same matter when she later enters govt. service, whether or not the later work would be adverse to a former client. However, informed, written consent can solve the conflict
  134. Govt. service- negotiating private employment
    When a person in govt. service is currently working personally and substantially on a matter, she must not negotiate for private employment with any party or lawyer who is involved in the matter (exception for law clerks)
  135. Switching form judicial service to private law practice
    The general rule is that a lawyer must not represent a private client in a matter in which the lawyer previously participated personally and substantially while serving as a judge or other adjudicative officer (or as a law clerk to such person) or as an arbitrator, mediator, or other third-party neutral unless all parties to the proceeding give informed, written consent
  136. Conflicts involving former judges, arbitrators and the like- screening
    If a lwyer is disqualified under the rule, other lawyers in the firm are also disqualified unless the following conditionsa re met (i) the lawyer is timely screened off from the matter (ii) the lawyer is not apportioned any part of the fee earned nt he matter (iii) written notice is given to the parties and the approporaite tribunal so that they can ensure that the above conditions are met
  137. Law clerks negotiating for private employemtn
    A law clerk to a judicial officer must notify the officer before negotiating for private employment with a party in a matterin which the law clerk is participating personally and substantially- everyone else forbidden to negotiate for private employemtn with a aprty in a matter in which they are participating personally and substantially
  138. Prospective client confidentiality
    The lawyer must not reveal or use information learned during a consultation unless an exception to the duty of confidentiality applies. The lawyer who obtains confidential info. During a consultation with a prospective client must not later represent a different person in the same or a substantially realted matter if the confidential information could significantly harm the prospective client. The conflict is imputed
  139. How to overcome prospective client conflict
    One way to overcome a prospective client conflict is to obtain informed, written consent from the affected client and the prospective client. A second way is to: (1) demonstrate that the lawyer took care to avoid exposure to any more confidential information than was necessary to determine whether to represent prospective client (2) demonstrate that disqualified lawyer is timely screened from any participation in the matter and will not share fee and (3) give written notice to the prospective client
  140. Duty of Loyalty to organization
    • A lawyer owes a duty of loyalty to the organization, not to the people (stockhodlers, officers, directors,
    • etc) who are its constituents
  141. Conflicts between organization and its constituents
    When the interests of the organization and one of its constituents are in conflict, the lawyer for the organization should caution the person in question hat she presents the organization, not the person
  142. Protecting organization’s interests
    When a person associated with the org. advocates an action that may cause it substantial injury, a lawyer must protect the interests of the organization. The lawyer must report the action to a higher authority in the org., and if necessary the highest authority. If the highest authority fails to take timely, approp. Action, the lawyer may report the relevant information to appropriate perosns outside of the organization. The lawyer is only authorized to do so to the extent the laywer reasonably belieces is necessary to prevent subst. injury to the org. When a lawyer is hired by the org. to investigate, the lawyer may not report any information outside the org.
  143. Representing both organization and an associated person
    The lawyer for an organization may represent both the organization and one of its constituents if the ordinary conflict of interest rules are satisfied
  144. Serving as both director and lawyer
    A lawyer may serve as both a director and a lawyer for an org. but the dual role can create conflicts of interest. If there is a substantial risk that the dual role will compromise the laweyr’s professional judgment, the lawyer should either resign as director or not act as the organization’s lawyer
  145. Securities lawyer’s duties under Sarbanes-oxley
    The rules apply to alweyrs who represent an issuer of securities and who practice before the SEC (includes lawyers who gives advice)
  146. Reporting requirement under Sarbanes-oxley
    If a securities alweyr becomes aware of credible evidence that her client is materially violating a federal or state securities law, she must report the evidence to her client’s chief legal officer. The same reporting duty applies to credible evidence that one of her client’s personnel has breached a fiduciary duty under federal or state law, or has committed a similar material violation of federal or state law
  147. Violation found-appropriate response required- arbanes-oxley
    If the CLO concludes that a violation occurred, the CLO make take all reasonable steps to get the client to make an appropriate response.
  148. Appropriate response not taken
    When the lawyer believes that the CLO did not achieve an appropriate response formt eh client, the securities lawyer must report the evidence to either the client’s board of directors, the audit committee of the board, or a committee made up of outside directors (Sarbanes-oxley- mandatory vs. ABA- gives lawyer discretion)
  149. Revealing confidential info- securities
    A securities lawyer may reveal to the SEC any confidential information aht is reasonably necessary to (i) stope the client from committing a violation that will cause substantial financial injury to the client or its ivnestors (ii) rectify such a financial injury if the laweyr’s services were used to further the violation (iii) prevent the client from committing or suborning perjury in SEC matter or any matterwithin jurisdiction of any branch of fed. Govt.
  150. Compliance with rules- securities
    A lawyer who ocmplies with Sarbanes-oxley rules cannot be held ivilly liable for doing so and cannot be disciplined under an inconsistent state rule
  151. Safeguarding the client’s money and property in general
    A lawyer is subject to discipline for misappropriating or borrowing a client’s money or property or for commingling it with her own money or property
  152. Client trust fund account
    All money that a lawyer receives on behalf of a client must promptly be placed ina client trust fund account, separate from the lawyer’s own personal and business accounts
  153. Type of account
    The client trust fund account must be located nt eh satate where the lawyer practices (or elsewhere with the client’s consent).a lawyer may pu her own money into the client trust fund account to pay bank service charges
  154. Large sum held for long period
    If the lawyer is entrusted with a large sum for a long period, it hsoudl go into a separate interest-bearing account and the interest belongs to the client fro whom it is held
  155. Small sums for short period
    The lawyer should put it into a pooled client trust account, which is typically a checking account that holds money entrusted by numerous clients
  156. IOLTA
    If a client entrusts a lawyer with a sum that is too small to earn any net interes, the lawyer must put it into a pooled checking ccoutn that earns intersts. Aft er the bank deducts its service charges formt he interest, the bank sends the remaining interest to the state bar or to legal foundation
  157. Advances
    Advances for costs and expenses and legal fees not yet earned must be put into a trust account.t he lawyer may make withdrawals as fees are earned if there is no dispute concerning the laywer’s right to do so
  158. Funds in which both client and lawyer have interest
    When a lawyer receives funds that are to be used, in part, to pay the lawery’s fee, they msut be put into a trust account until there is an acocuntinga nd severance of the respective amoutns due the lawyer and the client
  159. Funds in which a third party has an interest
    A lawyer may refuse to surrender funds to a client until a third party who has an interest in those funds has been paid
  160. Safeguarding property
    A lawyer must identify a client’s property as belonging to the client and must put it in a safe place. Lawyers are required to hold the property of others with the care required of a professional fiduciary. A lawyer cannot use the lcient’s property for her own purposes, and must promptly take reasonable steps necessary to safeguard the client’s property
  161. Duty to notify, keep records, render acocuntings, and pay over promptly
    A lawyer must keep complete, accurate, and upt o date records of money or property received on behalf of a client, must render periodic accountings ot the licent, must notify the client promptly when money or proeprlty has been received on the lcient’s behalf and must promptly pay over money or deliver property when it is due to the client or a third party
  162. Lawyer as advisor to the client-duty to render candid advice
    A lawyer must exercise independent judgment and render candid advice to the client A lawyer may give a client not only legal advice, but also moral, economic, social, or political advice when relevant to the lcient’s situation. When appropriate, a lawyer may volunteer advice without being asked
  163. Evaluation for use by third persons
    May do so if lawyer reasonably believes that making the evaluation is compatible with lateyer’s other repsonsibilities to the client. If th elwayer knows that the evaluation will amterially harm the client, the lawyer must obtain the lcients informed consent before making the evaluation
  164. Evaluation for use by third persons- liability
    A lawyer may be liable to a third peron for a negligent evaluation fo a client’s affairs
  165. Lawer as a negotiator
    A lawyer must not make a false statement of material fact. However, a lwyer need not volunteer facts that would be detrimental to the lcient’s position or correct an opponent;s misapprehension regarding the strength of his client’s case. A key factor in determeing whether ta statement contains a material fact is wehther the opponent would be reasonable in relying ot he statement
  166. Lawyer as a third party neutral
    A lawyer servies as a third party neutral when she assists two or more nonclieetns in resovling a dispute between them (arbitrator, mediator). When a lawyer serves as a third party neutral, she is subject not only to the ordinary rules of elga ethics, but also to various code of conduct devised by groups such as American arbitration association
  167. Lawyer as third party neutral-wanring to clients
    A lawyer who serves as a third party neutral does not represent any of the parties. Because a paryt may erroneously believ that the lawyer is protecting his interests, the lawyer must explain the situation to the unrepresented party.
  168. Lawyer as a third party netural- conflics of interests
    A lawyer who serves as a third party neutral in a amttermus tno therafter become the lawyer for anyone involved in the matter, unless all of the parties give their informed, written consent. Such a conflict is also imputed to lawyers in the disqualified firm, but may be cured by screening the disqualified lawyer and notifying th eparites in writing about the screening arrangmenet. Partisan arbitrators- no conflict arises
  169. Meritorious claims and contentions only
    A lawyer is subject to discipline for bringing a frivolous proceeding or taking a frivolous position on an issue in a proceeding. A frivolous psotion is one that cannot be supported by good faith argument under existing law and acannot be supported by a good faith argument for changing the law. This rule does not prohibit a lweyr for a criminal defendenatn from conducting the defense so that the prosecutor must prove every necessary element of the crime
  170. Duty to expedite litigation
    A lawyer has an affirmative duty to expedite litigation. The duty to expedite does nto require the lawyer to take acionts that would ahrm the client’s interests, but realizing financial or other gain from delay is not a legitimate one
  171. Duty of candor about applicable law
    An attorney is subject tto discipline for knowingly making a false statement of law to the cour tor failing ot correct a previously made false statement of material law. An attorney must dislose a legal authority in the controlling jurisdicitont aht is directly adverse to the client’s position and that has not been disclosed by the adversary
  172. Duty of candor about facts of the case
    An attorney is subject tto discipline for knowingly making a false statement of fact to the cour tor failing ot correct a previously made false statement of material fact. An attorney’s failure to speak out is, in some contexts, tht eequivalent of an affirmative misrepresentation.
  173. No obligation to volunteer harmful facts
    An attorney generally has not duty to volunteer a fact that is harmful to his client’s case, except that a lawyer in an ex parte proceeding must inform the tribual of all material facts known to the lawyer that will help the tribunal make an informed decision
  174. Using false evidence
    A lawyer is subject to discipline for offering evidence that the lawyer knows is false and may refuse to offer evidence that she reasonably believes is false, except for a dcriminal defendant’s testimony on his own behalf. If a lawyer has offered a piece of evidence and later discovers that it is false, she must (i) talk to the client confidentially, and try to persuade him to rectify the situation (ii) if she fails, seek to withdraw and (iii) if withdrawal is not permitted or will not remedy the situation, the lawyer must make disclosure to the court- this obligation ceases at the end of proceedings, which includes appeals
  175. False Testimony by criminal defendant
    When a client insists on testifying to something that the lawyer knows is false, the criminal defense lawyer should follow the three steps: she must (i) talk to the client confidentially, and try to persuade him to rectify the situation (ii) if she fails, seek to withdraw and (iii) if withdrawal is not permitted or will not remedy the situation, the lawyer must make disclosure to the court- this obtligation ceases at the end of proceedings, which includes appeals
  176. Other corruption of an adjudicative proceeding
    A lawyer who represents a client in an adjudicative proceeding must take appropriate measures to prevent any person from committing criminal or fraudulent conduct that will corrupt the proceedings. Examples of such are (i) hiding or destroying evidence (ii) bribing a witness (iii) intimidating a juror (iv) buying a judge and (v) failing to obey a law or court order to disclose information
  177. Duty of fairness- opponent’s access to evidence
    A lawyer must not suppress or tamper with evidence
  178. Falsifying Evidence and Assisting in perjury
    A lawyer must neither falsify evidence nor counsel or assist a witness to testify falsely
  179. Paying witnesses
    A lawyer must not offer an inducement to a witness that is prohibited by law. Except when local law prohibits, the following payments to witnesses are proper: (a) travel, meals, lodging expenses (b) compensation for time lost from the witness’s job (c) Reasonable fees to expert witnesses, but these may not be contingent on the outcome of the case or the content of the expert’s testimony
  180. Securing absence or noncooperation of witness
    A lawyer must not advise or cause a person to secrete himself or to flee the jurisdiction for the purpose of making him unavailable as a witness. However, a lawyer may advise a person not to voluntarily give information to an opponent or other party if the person is a client or relative, employee, or agent of a client and the lawyer reasonably believes that the person’s interests will not be harmed by not volunteering the information
  181. Violating court rules and orders
    A lawyer must not knowingly violate a rule of procedure, a rule of evidence, a rule of court, or an order made by the cour,t but a lawyer may refuse to obey such a rule or order in making a good faith challenege to its validity
  182. Abusing discovery procedures
    A lawyer must not make frivolous discovery requests or fail to make reasonable efforts to comply with a legally proper discovery request made by an adversary
  183. Chicanery at Trial
    A lawyer is subject to discipline for chicanery at trial, including: (a) referring to inadmissible material (b) asserting personal knowledge of contested facts and (c) asserting personal opinions about the justness of a cause, credibility of a witness, culpability of a civil litigant, or guilt or innocence of an accused
  184. Using Threats to Gain Advantage in Civil Case
    A lawyer may bring, or threaten to bring criminal charges against her adversary in order to gain an advantage for her client in a civil case if the criminal and civil matters are closely related and the civil case and criminal charges are warranted. However, a lawyer must not threaten to report adversary counsel for a disciplinary violation to gain such an advantage. Disciplinary violations cannot be used as bargaining chips
  185. Improper influence
    A lawyer must not seek to influence a judge, court official, juror, or prospective juror by improper means
  186. Improper Ex Parte Communication
    While a proceeding is pending in a tribunal, a lawyer must not have an ex parte communication with a judge, court official, juror, or prospective juror except when authorized by law or court order
  187. Judges and Court officials
    A written communication to a judicial officer is not ex parte if a copy of the communication is timely sent to the opposing parties. A lawyer must however not communicate orally on the merits of a matter with a judicial officer without giving adequate notice to her adversary
  188. Jurors and prosecptive jurors
    In general, before and during the trial of a case, a awlery connected with the case must not communicate on any subject with a juror or prospective juror. She maydiscreetly investigate membes of a jury panel for limited reasons. After the tril is voer and the jury is discharged, a lawyer must not communicate with a former jury member if (i) local law or a court order prohibits such communication (ii) juror has told the alweyr that he does not want to communicate (iii) the communication involves misrepresentation, coercion or harassment. Even a lawyer who is not connected with the case must not communicate with a juror about the case during trial
  189. False statements about jduges or candidates for public legal office
    A laywer must not make a statement that the lawyer knows is false about the qualifications or integrity of a judge, hearing officer, public legal official , or a candidate for judicial or other legal office
  190. Trial publicity
    A lawyer connected with the case is prohibited from making out of court public statements that the laywer reasonably should know will have a substantial likelihood of materially prejudicing the case
  191. Right of reply
    Despite the trial publicity rule, a lawyer may make a public statement that a reasonable lawyer would believe is required to protect a client from substantial undue prejudicial effect of recent publicity not initiated by the lawyer or the lawyer’s client
  192. Additional constraint on criminal prosecutos
    A prosecutor must not make extrajudicial comments that have a substantial likelihood of heightening public condemnation of the accused
  193. Dry facts about case permitted
    A laywer connected with the case may publicly state dry facts about the case including (i) information already in the public record (ii) what cliam and defense are involved (iii) the names of the people involved (iv) the scheduling or result of any step in litigation (v) the fact that an investigation is ongoing (vi) warning of danger if appropriate (vii) routine booking information about a criminal defendant
  194. Rules apply to assoicated lawyer
    Rules of trial publicity apply equally to other lawyers who are associated ina alw firm or agency with the lawyers participating in the case’
  195. Ethical limitations imposed- trial counsel as witness
    A lawyer must not act as an advocate at a trial in which she is likely to be a necessary witness
  196. Ethical limitations- trail counsel as witness exceptions
    A lawyer witness may continue as tirl counsel if: (a) her testimony will concern an uncontested matter or a mere formality (b) her testimony will concern only the nature and value of the legal services rendered in the case (c) her withdrawal as trial counsel would cuase a substantial hardship on her client or (d) another lawyer in her firm is likely to be called as a witness (unless to contine would be a conflict of interest)
  197. Special responsibilities of prosecutor generally
    A prosecutor must assure that a defendant is tried by fair procedures and that guilt is decided on proper and sufficient evidence
  198. Prosecutor- must have probable cause
    A prosecutor must not proceed with a charge that she knows is not supported by probable cause
  199. Prosecutor- protecting accused’s right to counsel
    A prosecutor must make reasonable efforts to assure that the accused is advised of the right to counsel, advised of the procedure for obtaining counsel, and given a reasonable opportunity to obtain counsel
  200. Prosecutor- securing waiver of pretrial rights
    A prosecutor must nto seek to obtain from an unrepresented accused a waiver of important pretrial rights
  201. Prosecutor- disclosing evidnec ethat may held defense
    A prosecutor must timely disclose to the defense all evidence and information known to the prosecutor that tends to negate the guilt of the accused or mitigate the degree of the offense
  202. Prosecutor- disclosing evidence that may mitigate punishment
    When a convicte dperosn is to be sentenced, the prosecutor must disclose to the defense and the court all unprivileged mitigating information known to the prosecutor
  203. Prosecutor-disclosing evidence to remedy conviction
    A prosecutor must promptly disclose new, credible, and material evidence that creates a reasonable likelihood that a defendant was wrongly conficted. Further the prsecutor must seek to remedy the conviction of a defendant in his jurisdiction if he knows of clear and convincing evidence that the defendant was innocent
  204. Prosecutor-public statements about pending matters
    Except for statemenst necessary to inform he public of the nature and extent of the prosecutor’s action and that serve a legitimate law enformcent purpose, a prosecuot rmust not make extrajudicial statements that have a substnail likelihood of heightening public condemnation of the accused. The prosecutor must take reasonable care to prevent investigators, police, employess and other subordiates from making such statements
  205. Appearances in representative capacity
    When a lawyer appears on behalf of a client before a legislative body or administrateive agency, the lawyer must disclose that he is acting in a representative capacity
  206. Attorney Communications with third parties
    • the third party represented by counsel? NO- They attorney may communicate with the third party as long as the attorney (1) does not imply that she is disinterested (2) takes steps to clear up misunderstandings about her role of which she is or should be aware and (3) does not purport to give advice other than to get an attorney if the third aprty’s interest are likely to conflict with those of the client
    • Attorney Communications with third parties
    • the third party represented by counsel? YES- Does the communication concern the subject matter of the representation? Yes- has the third party’s counsel consented? No- Does the law allow the communication? If no, the attorney may not communicated directly with the third party. If no, yes, yes to any question, the attorney may communicate with the third party as long as the communication is not intended to embarrass, delay, or burden the rthird party and the method of communication does nto violate the third party’s rights
  207. Must not make false statements of material fact or law
    When dealing with third person, a lawyer must not make false statements of material fact or law. Conventional puffery is permitted
  208. Must disclose material fact to avoid client’s crime or fraud
    A lawyer must disclose material facts to third peron when necessary to avoid assisting the client in a crime or fraud-unless the lawyer is forbidden to do so by the ethical duty of confidentiality in which case the ABA model rules require the lawyer to withdraw
  209. Communication with persons represented by counsel- when communication forbidden
    A lawyer must nto communicate about a matter with a person the lawyer knows is represented by counsel int hat matter, unless that perons’s counsel consetns, or unless the law or a court order authorizes the communication. This is true even if the represented person initiates or consents to the communication
  210. Communicating with persons represented by counsel- organizations
    Corporations and other orgnaizations are perosns for the purose of this rule. A lawyer must get the consent fo the organization’s counsel before communicating with a present organization constitutent (i) who supervises, directs, or regularly consults with the organization’s lawyer about the matter (ii) whose conduct may be imputed to the organization under civil or criminal law (iii) who has authority to obligate the orgnaizaiton concerning the matter. If the constituent is represented by their own counsel then onsent by that counsel is sufficient. Consent is not needed before talking toa former constitutent of the organization.
  211. Communications with third persons aloe dby rules
    A lawyer may communicate with a represented personw hen authorized by law or court oder or when the communication does not concern the subject of the representation. Representated aprties are not prohibited form communicating directly. A lawyer is not prohibited form interviewing the intended unrepresented witnesses of the opposing party
  212. Dealing with unrepresented persons
    If a lawyer knows that his client’s interests are likely to be in conflict with those of the unrepresented person, he must not give legal advice to that person
  213. Tmers and definitions of law firms
    Partner- party to the firm’s partnership agreement; associate- salary; of counsel- continuing relationship with a law firm; general counsel- in house
  214. Partners’ duty to educate and guide in ethics matters
    A lawyer who directly supervises another rlaweyr’s work must reasonably assure that the other lawyer adheres to the rules of professional conduct
  215. Ethical responsibility for another lawyer’s misconduct
    A lawyer is subject to dsicpline for a disciplinary violation committed by a second lawyer if (i) the first lawyer ordered it or knowingly ratified it or (ii) the first lawyer is a partner or manager or has direct supervisory responsibility over the second lawyer and learns of the misconduct at a time when it can be remedied but fails to take reasonable remedial action
  216. Responsibilities of subordinate lawyer
    If a supervisory lawyer orders a subordinate lwyer to commit a clear ethics violation, the subordinate lawyer will be subject to discipline if he carries out the order. A subordinate lawywer wil not be subject to discipline, however, for following a supervisory alwery’s reasonable resolution of a debatable ethics question
  217. Duty to educate and guide nonlawywer in ethics matters
    A lawyer should instruct and guide her nonlawyer assistances (within or outside the firm) concerning legal ethics and should be ultimately responsible fro their work
  218. Duty of partners and direct supervisors
    Law firm partners and maangers and other direct supervisors must make reasonable efforts to assure that their nonlawyer employees act ethically
  219. Ethical responsibility for nonlawyers misconduct
    A lawyer is subject to discipline when a non-lawyer does something that would violate a disciplinary rule if (i) the lawyer order the conduct or knew about it and ratified it or (ii) the lawyer is a prtner or manager or has direct supervisory responsibility over the non-lawyer and learns about the misconduct at a time when it can ebe remedied but fails totake reasonable remedial action
  220. Feesplitting with non-lawyers- generally
    A lawyer must not share her legal fee with a non-lawyer
  221. Fee splitting with non-lawyers- death benefits permitted
    The lawyer sin a firm may agree that when one of them dies, the others will pay a death benefit over a reasonable period of time to the dead lawyer’s suervicors
  222. Compensation and retirement plans for non-laweyr meployees
    The non=lawyer employees of a firm may be included ina compensation or retirement plan even thought eh plan is based on profit-sharing arrangement
  223. Sale of alw practice
    One lawyer’s practice can be sold to another lawyer. One who buys the practice ofa dead, disabled, or disappeared lawyer may pay the purchase rpcie to the estate or representatives of the lawyer
  224. Sharing court-awarded fee with non-profit org.
    When a court awards attorneys’ fees to the winning lawyer in a case, the lawyer may share the fee with a non-profit organization aht hired or recommended him as counsel
  225. Partneship with non-lawer ot practice law
    A lawyer must not form a partnership with a non-lawery if any part of the partnerhisp activities will constitute the practice of law
  226. Non-lawyer involvement in incorporated firm or other association
    A lawyer must not practice in an incorporated firm or association if a non-lawyer owns any interest in the firm or association, is a director or officer of the firm or association, or has the right ot direct or control the professional judgment of a lawyer
  227. Interference with lawyer’s professional judgment
    A lawyer must not allow a person who recommends, employs, or pays her for servicing a client to direct or regulate the lawyer’s professional judgment
  228. Restrictions on right to practice prohibited
    A lawyer’s right to practice after termination of a partnership or employment relationship cannot be restricted except for an agreement concerning benefits upon retirement. Likewise, restrictions on the lawyer’s right to practice as part of a settlement agreement are prohibited.
  229. When sale of law practice permitted
    A law practice or a field of law practice, including goodwill, may be sold if (i) the seller ceases to engage in private practice o flaw or the sold field of practice in the area in which the practice has been conducted (ii) the entire practice or field or practice is sold to one or more lawyers or firms and (iii) written notice is given to the seller’s clients. The seller must exercise competence in finding a qualified buyer.
  230. Protection of seller’s clients After sale
    The purchased must undertake all client matters in the practice and not just those that generate substantial fees. Also, client’s fees cannot be increased because of the sale. The purchaser must honor existing fee agreements made by the seller
  231. Law-related ancillary services
    Lawyers are permitted to provide law-related services (financial planning, accounting, lobbying, title insurance) to both clients and non-clients. Even though law-related services are not elgal services, a wlyer who provides such services is subject to the Rules of Professional Conduct in two situations: (1) non-legal services and legal services provided together (2) non-legal services provided by entity that is controlled by the lawyer- must make sure the client understand they are not legal services and rules of professional conduct do not cover those services and if the lawyer doesn’t do that then the lawyer is subject to the rules of professional conduct
  232. Pro Bono service
    Every lawyer has a professional responsibility to provide legal service to people who cannot afford it. ABA Model Rule 6.1 recommends a minimum of 50 hours per year of uncompensated legal work for poor people or organizations that serve the needs of poor people
  233. Membership in legal services organizations
    Lawyers are encouraged to support and work for legal services organizations that provide legal assistance to poor people. But conflicts of interest may arise between people thus served and a lawyer’s regular paying clients
  234. Membership in legal services organizations- may serve as director, officer, or member
    A lawyer may serve as a director, officer, or member of a legal services organization, even though the organization serves persons whose interests are adverse to those of the lawyer’s regular clients
  235. Limitations on serving as a director, officer or member
    A lawyer must not knowingly participate in a decision or action of the organization if doing so (i) would be incompatible with the lawyer’s obligations to a client under the general conflict of interest rules or (ii) would adversely affect the representation of one of the organization’s clients
  236. Quick-advice programs
    A lawyer may participate in a quick-advice program sponsored by a court or nonprofit organization, such as a legal-advice hotline, advice-only clinic, or program that shows people how to represent themselves in a small claims court. A lawyer-client relationship exists between the lawyer and person who obtains the quick advice, but neither the lawyer nor person expects the relationship to continue past the quick-advice stage
  237. Client consents to short-term, limited legal service
    The lawyer must obtain the client’s informed consent to the limited scope of the relationship. If the lawyer’s quick advice is not enough to set the client on the right track, the lawyer must advise the client to get further legal help
  238. Conflict of interest rules are relaxed in quick advice program
    The conflicts of interest rules are relaxed somewhat in a quick-advice situation, but the remainder of the rules of professional conduct fully apply. Because a lawyer who participates in a quick-advice program ordinarily has no time to do an ordinary conflict of interest check, the conflicts principles regarding current and former clients do not apply unless the lawyer actually knows that giving the quick advice creates a conflict of interest. Imputed conflict rule is also relaxed
  239. Conflicts rules apply fully if quick advice leads to regular representation
    If a person who has received quick advice form a lawyer then wants to hire that lawyer to render further service in the matter, the ordinary conflict of interest rules apply to that further service
  240. Activities that may harm client
    A lawyer may serve as director, officer, or member of a law reform group, even though a reform advocated by the group may harm one of the lawyer’s clients
  241. Activities that may benefit client
    When a lawyer is working on a law reform project and is asked to participate in a decision that could materially benefit one of the laweyr’s clients, the lawyer must disclose that fact- but the lawyer need not identify the client
  242. Political contributions to obtain govt. employment
    A lawyer or firm must not accept gov.t legal employment or a judicial appointment if the lawyer or firm makes a political contribution for the purpose of obtaining such employment or appointment. Exceptions. This rule does not apply to employment or appointments(i) for uncompensated services (ii) made on the basis of a lawyer’s experience and following a process that is free form influence based on political contributions or (iii) made on a rotating basis from a list compiled without regard to political contributions
  243. Background of advertising and solicitation
    Advertising is a communication with the public at large. Solicitation is a lawyer’s individual contact with a layperson designed to entice the layperson into hiring the lawyer. States may not completely prohibit all lawyer advertising
  244. False and misleading ads and in-person solicitation may be banned
    A state may prohibit all lawyer advertising that is false or misleading and may forbid in-person solicitation for profit. To prevent misleading commercial speech, the govt. May require commercial advertisers to make certain disclosures if such a requirement is not unduly burdensome and is reasonably related to the state’s interest in preventing deception
  245. Regulation of truthful, non-deceptive advertising
    Regulation of commercial speech is subject to intermediate constitutional scrutiny, which means that it may be regulated only if (i) the govt. asserts a substantial interest (ii) the govt. demonstrates that the restriction directly and materially advances the interest and (iii) the regulation is narrowly drawn
  246. Advertising basic rule
    A lawyer subject to discipline for any type of statement about the lawyer or his services that is false or misleading. A statement can be false or misleading if it omits material information, creates unjustified expectations, or makes unsubstantiated comparisons
  247. Limit on advertising
    In addition ot the basic rule on false or misleading statements (a) communciations about fields of law in which a lawyer practices must comply (b) before naming sample clients in an ad, a lawyer should obtain their consent (c) every ad must include the name and office address of at least one lawyer or law firm that is responsible for its content
  248. Payments for recommending a lawyer’s services
    Except in connection with the sale of a law practice, a lawyer must nto pay people for recommending him. But he may pay people for desiging and running ads and may pay referral fees to approved lawyer referral services. Also, legal aid offices and group legal service plans may advertise the servies they provide
  249. Reciprocal referral arrangement’s
    A lawyer may set up a reciprocal referral arrangement with another lawyer or with a non-lawyer professional. A reciprocal arrangement must not be exclusive, the referred client must be told about the arrangement, and the agreement must not interfere with the lawyer’s professional judgment as to making referrals or providing substantive legal services. Reciprocal referral arrangements should not be of indefinite duration and should be reviewed periodically to make sure that they comply with ABA rules.
  250. Types of information that may be disseminated
    A lawyer may publicly disseminate information concerning the name of the lawyer or her firm, the lawyer’s or firm’s address, e-mail address, website, and telephone number, the kinds of services the lawyer will undertake, the basis on which fees are determined, any foreign language ability, names of references
  251. Solicitation generally
    A lawyer must not seek fee-paying work by initiating personal or live telephone contact, or real-time electronic contact, with a non-lawyer prospect with whom the lawyer has no family, close personal, or prior professional connection
  252. Use of agents to solicit
    A lawyer must not use agents to solicit in a manner that the lawyer could not herself solicit
  253. Offers of free legal service
    The solicitation rule applies only when the lawyer’s pecuniary gain is a significant motive for the solicitation. Thus, offers of free legal service, made without hope of pecuniary gain, are permitted
  254. Initiating personal contacts with family, clients, and former clients
    A lawyer may initiate an otherwise forbidden contact with a family member, close friend, present or past client, or another lawyer
  255. Targeted direct-mail soliciations
    Absent actual knowledge that the target of the solicitation does nto wish to receive commicaitons formt eh lawyer, a lawyer is not prohibited form sending truthful, non-deceptive letters to persons known to face a specific legal problem
  256. Harassment prohibited
    A lawyer must not use coercion or harassment in solicitation and must not solicit anyone who has indicated that he does not wish to be solicited
  257. Must label solicitations as advertising
    Written, electronic, or recroded communications with perosns who are known to need specific legal services msut be labeled as advertising material. This rule does not applyt oa lawyer’s communication with relatives, close friends, present and former clients, and other lawyers
  258. Group and prepaid legal service plan
    A lawyer may personally contact a group that proposes to adopt a prepaid or group legal service plan. Furthermore, the plan may itself make personal and live telephone contact with prospective subscribers who are not known to need specific legal services
  259. Certified specialists
    Some states and private organizations certify lawyers as specialists in a field of law. A lawyer who has been certified as a specialist in a field may state that fact to the public if the certifying body is identified and if it has been approved by the state or ABA
  260. Statement of fields of practice
    In public ommunications, a lawyer may state that he does (or does not) practice in paritualr fields of law, as long as he does nto state or imply that he is a certified specialist
  261. Patent and admiralty lawyers
    Lawyers who particice admiralty law may clal themselves protors in admiralty or something similar and lawyer who have been admitted to practice before the united state PTO may call themselves patent attorneys
  262. Names of law firms
    Private law partnerships may bear the names of one or more of the partners. When a parner dies or retires, his name may remain on the letterhead of the successor parternship. In addition, trade names if theythey are not misleading and do not imply a connection to a charity or govt. agency
  263. Mutlistate firms
    A law firm having officesi n more than one jurisdiction may use the same name, internet address, or orhter professional designation in each jurisdiction. However, when the laywer sin a particular office are identified, the identification must indicate the jurisdictional limitations on those lawyers who arenot licensed in the jurisdiction where that office is located
  264. Using names of lawyers who have entered public service
    A private law firm must nto use the name of a lwyer who holds public office during any susbtnatial period in which the lawyer is not regularly and actively participating in the firm
  265. False implications of partnership
    Lawyer must not imply that they are partners or are otherwise associated with each other in a law firm unless they really are
  266. Associated and affiliated law firms
    Two firms may hold themselves out as associated or affiliated if they havea close, regualtr, ongoing relationship and if the designation is not misleading
  267. Federal judges
    Federal judges are appointed by the president with the advice and consent of the senate. They hold office for life during good behavior. A federal judge can be removed from office by impeachment
  268. State judges
    In some states, jduges are appointed by the governor or the state legislature, while in others they are elected by the voters. In still others, judges are initially appointed and later retained or rejected by the voters
  269. Code of judicial conduct
    Serves as the model for state and federal judiciaries in formulating their own standards of judicial conduct. Binding on the judges and all persons who perform judicial functions in a jurisdiction where the CJC has been adopted
  270. Compliance with Law and Promotion of Public Confidence in the Judiciary
    A judge must comply with the law. At all times a judge must act so as to promote public confidence in the independence, integrity, and impartiality of the judiciary
  271. Test for Appearance of impropriety
    An appearance of impropriety arises when a judge’s conduct would create a reasonable perception that she has violated the CJC or acted in some other manner that reflects adversely on her honesty, impartiatliy, temperament, or fitness as a judge
  272. Community Outreach
    To promote public understanding of and confidence in the administration of justice, a judge should initiate and participate in community outreach activities
  273. Abuse of judicial prestige
    A judge must not abuse, or permit others to abuse, the prestige of her officer to advance her personal or economic interests or those of others
  274. References and recommendations
    Based on personal knowledge, a judge may act as a reference or provide a recommendation for someone
  275. Impartial, competent, and diligent performance of judicial duties- generally
    The CJC requires a judge to perform the duties of judicial office impartially, competently, and diligently
  276. Judicial duties
    Judicial duties take precedence over all the jdug’es other activies
  277. Hearing and deciding assigned matters
    A judge must hear and decide all amtters assigned to her unless disqualification is required
  278. Impartiality and fairness
    A judge must uphold and applyt eh law, and must perform her duties fairly and impartially
  279. External influences on judicial conduct
    Family, social, political, or financial interests must not influence a judge’s conduct or judgment
  280. Competence, diligence, and cooperation
    A judge must perform her jduciail and administrative duties competently and diligently. Also, a judge must cooperate with other jduges and court officials in the administration of court business
  281. Ensuring right to be heard
    A judge must allow every person with a legal interest in a proceeding the right to be heard according to law. Although a judge may encourage settlements, he mus tnto act so as to coerce a settlement
  282. Avoidance of bias, prejudice, and harassment
    A jdug emust acoid bias, prejudice, and harassment, including that which is based on race, sex, gender, religion, national origin, ethnicity, disability, age, secual orientation, marital status, socioeconomic status, or political affiliation
  283. Ex parte communication
    A judge must not initiate, permit, or consider communications between the judge and a representative for one side of a matter when no representative from the other side is present except (i) when expressly authorize dby law (ii) with the consent of the parties in an attempt to settle or mediate a pending matter or (iii) as sicrumstances require in emergency or administrative matters, provided no party will gin an advantage and the other party is properly notified. Inadvertent receipt of an unauthorized ex parte communication relating to substantive amtters requires prompt notification ot the parties and an opporunitty to respond
  284. Communications from others
    Except in the following circumstances, a judge must not initiate, permit, or consider communications to judge outside the presence of the parties concerning a pending or impending matter
  285. Court personnel
    A judge may consult other judges and court personnel whose function is to adie the judge in carrying out her responsibilities provided that the judge (i) makes reasonable efforts to avoid receiving factual information that is not part of the record and (ii) does nto abrogate her responsibility to decide the matter
  286. Disinterested legal experts
    A jdug emay obtain the written advice of a disinteterested legal expert, provided the parties’ alwyers are notified of the expert’s identity and the subject matter and given a chance to object and respond
  287. Independent investigation of the facts
    A judge cannot independently investigate the facts of a case and must consider only the evidence presented
  288. Public comments on cases
    When a case is pending in any court, a judge must not make any public comment that might reasonably be expected to affect its outcome or impair its fairness, or make any nonpublic comment that might substantially interfere with a fair trial. The judge must require like abstention from court personnel. This duty does not apply to a judge who is a litigant in a personal capacity
  289. Promises with respect to case slikely to come before court
    With respect to acases or issues that are likely to come before the court, a jdug emust not make pledges, promises, or commitments that are inconsistent with the impartial performance of her adjudicative duties
  290. Decorum, demeanor, and communication with jurors
    A judge msut required order and decorum in court proceedigns, and must be partient, dignified, and courteous to persons with whom she deals in an official capacity. A judge must not commend or criticize jurors for their verdict other than in a court order or opinion
  291. Administrative appointments
    Administrative appointments must be mad eimpartially on the basis of merit
  292. Appointments of lawyers contributing to judge’s election campaign
    A judge must not appoint a lawyer if the jdug eknows (or learns througha timely motion ) that th elaywer, or the lawyer’s spouse or domestic partner, has contributed to the jduge’s election campaign more than the jurisdiciton’s specified dollar amount within a designated number of years prior to the judge’s campaign. However, this prohibition does not apply if (i) the position is substantially uncompensated (ii) selection occurs as part of a rotation of qualified lawyers or (iii) no other lawyer is willing, competent and capable
  293. Responding to judicial and lawyer misconduct
    If a judge has knowledge that another judge ahs violated the CJC in a manner that raises a substantial question as to the jduge’s honesty, trustworthiness, or fitness as a judge, the judge must inform the appropriate authority. Similary, a judge who receives information incidicaitng a substatinal likelihood that another judge has violated the CJC must take appropriate action
  294. Disability and impairment of other jduges or lawyers
    A judge having a reasonable believes that al wyer or another jdug eis impaired by drugs, alcohol, or a mental, physical, or emotional condition must atke appropriate action (making a confidential referral to a jduciial or laywer assistance program)
  295. Cooperation with disciplinary aturhoities
    A judge ust cooperate and be honest with jduciail and lawyer disciplinary agencies. Retaliation against persons for their cooperation with investigators is not permitted
  296. Disqualification- general rule- whenever impartiality might be questioned
    A judge must disqualify himself in a proceeding in which the jduge’s impartiality might reasonably be questioned
  297. Disclosure by judge
    A judge should disclose any information the judge believes the parties might consider relevant to the question of disqualification
  298. Rule of necessity
    In emergency situations, case law has created a rule of necessity that overrides the rules of disqualification and allows a judge to hear a matter even though ewould otherwise be disqualified from doing so but for the necessity
  299. Bias or personal knowledge
    A jdug emust disqualify himself if there is reasonable ground to believe that the judge has (i) personal bias concerning a aprty or laywer or (ii) personal knowledge of relevant evidentiary facts
  300. Prior involvement
    A jdug emust disqualify himself if he (i) served a sa lweyr or material witness ina matter (ii) was associated in alaw practice with a person who participated susbtnatially as a lawyer in the matter while they practiced together (iii) presided as a judge over the matter in another court (iv) worked for the government and in such capacity participated personally and substnatialy as a lawyer or public official concerning the proceeding, or publicly expressed in such capacity an opinion concerning the merits of the matter in controversy
  301. Economic interest
    A jdug emust disqualify himself if he knows that he has na economic interest in the matter or in one of the parties. Disqualification is also required if the interest is held by the jduge’s spouse, domestic partner, parent, or child or by any other member of th ejduge’s family who resides in the judge’s household. Ownership of an interst in a mutual fund is an exception
  302. Invovlement in the proceeding
    A judge must disqualify himself if he knows that he, his spourse, or domestic partner, a person within the third degree of relationship to either of them, or th espouse or domestic partner of such a person, is involved in the case. Anyone related closer than cousin is within the third degree of relationship
  303. Persons making contributitons to jduge’s election campaign
    A judge who is subject to public election must disqualify himself when he knows or learns that a party, a apryt’s lawyer or the law firm of a party’s lawyer has, within a certain number of years, made contributions to his election campaing thatex ceed a specified amount
  304. Public statements of a judicial commitment
    A jdug emust diqaulfiy himself if, while a judge or judicial candidate, he has mad ea public statement other than in a court proceeding, judicial decision, or opinion that commits or appears to commit the judge to reach a aprticular result or to rule in a particular way in the proceeding or controversy
  305. Remittal of disqualification
    The aprties and their lawyer scan remit (waive) all of the foregoing grounds for disqulaificaiton, except personal bias concerning a party or a party’s lawyer
  306. Extraditional acitivites generally
    • A judge must conduct extrajudicial activities to minimize the risk of conflict with the obligations of judicial office
    • Extrajudicial activities in general
    • When engaging in extrajudicial activities, a judge must not (i) participate in activities that will interfere with the judge’s duties, lead to frequent disqualification, or reasonably appear to undermine the judge’s independence, integrity or impartiality (ii) engage in conduct that would reasonably appear to be coercive or (iii) use court resources, except incidentally, for activities that concernt the law, legal system, or the administration of justice, unless uch additional use is legally permitted
  307. Governmant hearings and consultations
    A judge must not appear voluntarily at a public hearing before, or otherwise consult with, an executive or legistlative body or official except on matters concerning the law, elgal system, or administration of justice
  308. Testifying as character witness
    A judge must not testify as a character witness, except when duly summoned to do so by subpoena. Ordinarily a judge should discourage parties from requiring his testimony as a character witness
  309. Governmental committees and commissions
    A judge must not accept an appointment to a governmental committee or commission or other governemtnal position that does not relate to the law, legal system, or administration of justice
  310. Judge’s Extrajudicial activities involving the government
    (1)Appearance at hearing before or consultiaton with executive or legislative officials- allowable only if it realtes to the law, legal system, or administration of justice or pro se to protect judge’s own interests (2) Appointments to governmental committee or commission- allowable only if it relates to the law, legal system, or administration of justice or represtneing govenremtnal unit on purely ceremonial grounds or for a histocial, educational, orcultural activity
  311. Participation in educational, religious, charitable, or civic organizations and activities
    Subject to the general restrictions on extrajudicial activities, a judge may take part in activities sponsored by organizations or governmental entities concerned with the law, the legal system, or the administration of justice, and those sponsored by or on behalf of non-profit educational, religious, charitable, fraternal, or civic organizaiotns
  312. Affiliation with discriminatory orgniazations
    A judge must not hold memerbship in an organization that practices invidious discrimination based on race, sex, gender, religion, national origin, ethnicity, or sexual orientation. Moreover, even if the judge is not a member, she must not use the organization’s benefits or facilities if she knows or should know that it practices on of the prohibited forms of discrimination
  313. Judge’s use of and membership in discriminatory organizations
    Permissible: Monday night men-only bridge club; women’s support group; alumni association of tradiationally black college; the Bulgarian league; Talmudic study group that limits membership to members of the jewish temple/ impermissible- men only social club with 6k members and dining and health club facilities; women’s bar association that refuses to admit male members; community booster group limiting membership to afircan americans; the irish business association, which admits only persons of irish descent and whose purpose is to promote business in the community owned by persons or Irish descent; country club that excludes members on the basis or race or religion
  314. Use of non-public information
    A judge must not intentionally disclose or use non-public information acquired in his judicial capacity for any prupose unrealatex to his jduciail duties
  315. Financial, business,s or remunerative activities
    Generally, a judge may not serve as an officer, director, manager, GP, advisor, or employee of a business. However, a judge may hold and manage her own investments and those of her family and may manage and or participate in a bsuienss closely held by the judge or family member or in a business primiarly engaged in investing the financial resources of the judge or her family, unless uch activity would interfere with performance of the jduge’s duties, will lead to frequent disqualification, or will involve the judge in frequenct or continuing relationships with persons likely to come before the court on which the judge serves
  316. Acceptance and reporting of gifts, loans, bequests, benefits, or other things of value
    A judge must not accept gifts, loans, bequests, benefits, or other things of value if acceptance thereof is prohibited by law or would reasonably appear to undermine the jduge’s independenc,e integrity, or impartiality. Some gifts may be accepted iwhtout being publicly reports (items of little intrinsic value, ordinary social hospitatlity, books supplied on a complimentary basis for official use) other gifts must be publicly reports (gifts incident to a public testimonial, gifts form a person who is likely to come before the judge)
  317. Fiduciary activities
    Generally a jdug emust not serve as a fiduciary (executor or trustee) unless he does so for a family member. Such service msut not interfere with the jduge’ sduties or involve her in proceedigns that owudl ordinarily come before her or thattake palce in her corut or one under its appellate jurisdiction. The judge hsoudl resign as fiduciary if there is a conflict between her duties as a fiduciary and her duties under the CJC
  318. Service as arbitrator or mediator
    A full time judg emustnot act as an arbitrator, mediator, or private judge unless expressly authoirize dby law to do so
  319. Practice of law
    A full-time jdug emust not practice law. She may, without compensation, give legal advice to or draft documents for a family member, but she may not act as a family member’s lawyer in any forum
  320. Compensation for extraduciail activieis
    REsaonable compensation for a jduge’s extrajudicial activities (speaking, teaching or writing) is permitte,d unles saccpetance thereof would reasonably appear to udnerminet he judge’s independence, integrity, or impartiality
  321. Reimbursement of expenses and waiver of fees and charges
    Unless otherwise prohibited by the CJC, a judge may accept reimbursements of necessary and reasonable expenses for travel, food lodging or other incidentals or a waiver of tutition or registration expenses, from sources other than the jduge’s employer, if such expenses are assocatied with the jduge’s participation in extrajudicial acitties permitted by the CJC
  322. Reporting requirements
    A judge must publicily report the amount or value of: compensation received for permitted extraduciial activities; gifts and other thing sof value that exceed a designated dollar amount; and reimbursement of expenses and waiver of charges that exceed a disgnated dollar amount
  323. Judge’s political and campaign activities
    A judge or candidate for judicial office must not engage in political or campaign activity that is inconsistent with independcen, integrity, or impartiality of thejudiciary. A candidate is a personw ho publicly announces her candidacy, declares with the election or appointment authority, authorizes solicitation or acceptance of contributions or suppor,t or is nominated
  324. Political and campaign activities of judges and judicial candidates in general
    Generally, a judge or judicial candidate is prohibited from engaging in certain campaign activities, including (i) campaigning for, soliciting funds for, contributing to, or endorsing a political orgniazation or candidate (there are exceptions tot hese rules for certain acitivties of judicial candidates engaged in within a time period specified by other state law) (ii) personally soliciting or accepting campaign contirbutions other than through an authorized campaign committee (iii) using court resources in her campaign 9iv) making a false or misleading statement (v) making a statement that would reasonably be excpected to affect the outcome or the fairness of a matter pending in court (vi) in connection with cases, controversies, or issues that are likely to come before the cour,t making pledges, promises, or commitment that are inconsistent with the impartial perforamcne of the adjudicative duties of judicial office. Note however, that a statement of personal views on elga, political, or other issues is not prohibite from doing so
  325. Political and campaign activities of judicial candidates in public elections
    A judicial candidate must act (i) in a manner consistent with the independence, integrity, and impartiality of the jduciairy (ii) comply with applicable election laws (iii) review and approve campaign materials prior to their dissemination and (iv) take reasonable measures to ensure that other persons do not undertake on her behalf activities that she would be prohibited from doing so
  326. Certain activities permitted
    Unless prohibited by law, a djudcial candidate may, no earlier than a minimum amount of time prior ot he first applicable elction, do thte following (i) establish a campaign committee (ii) speakin on beahalf of her candidacy through any mediaum (iii) publicly endorse or opoose candidates for the same judicial office for which she is running (iv) attend or purchase tickets for dinners or other events sponsored by a polticail organization or a candidate for public office (v) seek, accept, or use endorsements form any person or organization other than a partisan, political organization and (vi) contribute to a political organization or candidate, but not more than a maximum dollar amount to be determined by each jurisdiction ot any one recipient
  327. Activities of candidates for appointive judicial office
    A candidate for appointment to judciail office may communicate with the appointmeing or confirming authority and may seek the endorsement of a person or organization (other than a partisan political organization)
  328. Campaign committees
    A judiciail candidate running in a public election may establish a campaign committee to manage and conduct her campaign. The candidate must direct the committee not to solicit or accept contributions more than a certain amount of time prior to the applicable election, nor more than a disngated number of days after the last election in which the candidate participated. The candidate must also direc thte committee to comply with campaign contribution limits and disclosure requirements
  329. Activities of jduges who become candidates for nonjudicial officer
    When a judge becomes a candidate for a nonjudicial elective office, she must reisng her judgeship unless applicable law permits the retention of her jduciail office. If the judge becomes a candidate for nonjudicial appointive office, she need not resign her jdugship, provided that she ocmplies with all other provisions fo the CJC
  330. Lead or hold office in political organization
    • Non-candidate judge- impermissible
    • Candidate judge- impermissible
  331. Publicly endorse or oppose a candidate for other public office
    • Non-candidate judge- impermissible
    • Candidate judge- impermissible
  332. Publicily endorse or oppose a candidate for same jducuail office
    • Non-candidate judge- impermissible
    • Candidate judge- permissible (within allowable time period)
  333. Contribute to a political organization or candidate
    • Non-candidate judge- impermissible
    • Candidate judge- permissible (within allowable time period and amount set)
  334. Speak on behalf of political organization
    • Non-candidate judge- impermissible
    • Candidate judge- permissible to speak on behalf of judge’s own candidacty (within allowable time period)
  335. Purchase tickets for or attend political gatherings
    • Non-candidate judge- impermissible
    • Candidate judge- permissible (within allowable time period)
  336. Solicit funds for political organization
    • Non-candidate judge- impermissible
    • Candidate judge- impermissible
Card Set