- Duty of confidentiality — Rule 1.6
- A lawyer must not reveal any information relating to the representation of a client, in any setting, unless the client consents, disclosure is impliedly authorized, or a 1.6(b) exception applies.
- Confidentiality vs. attorney-client privilege
- Confidentiality (Rule 1.6) is a broad ethical duty covering all information relating to the representation. The privilege is a narrower evidentiary rule protecting confidential lawyer-client communications from compelled disclosure.
- Rule 1.6(b)(1) — death/bodily harm exception
- A lawyer MAY reveal confidential information to prevent reasonably certain death or substantial bodily harm. It does not require a future crime — the threatened harm itself triggers it.
- Rule 1.6(b)(2)-(3) — crime/fraud exceptions
- A lawyer may reveal to prevent, or to mitigate/rectify, a crime or fraud reasonably certain to cause financial injury that uses the lawyer's services.
- Rule 1.6(b)(5) — self-defense exception
- A lawyer may reveal confidential information to establish a claim or defense in a controversy with the client, to defend against charges, or to respond to allegations about the representation (including fee disputes).
- Are the 1.6(b) exceptions mandatory?
- No. They are permissive — 'may,' not 'must.' By contrast, the candor duties of Rule 3.3 can require disclosure and override confidentiality.
- Crime-fraud exception (to privilege)
- The attorney-client privilege does not apply when the client sought the lawyer's services to commit or further a crime or fraud.
- Work product doctrine
- Protects material a lawyer prepares in anticipation of litigation. Opinion work product (mental impressions, legal theories) receives near-absolute protection.
- Does confidentiality survive the representation?
- Yes. The duty continues after the matter ends and even after the client's death.
- Prospective client confidentiality — Rule 1.18
- Information learned in consulting a prospective client is protected even if no relationship forms, and can create a conflict in a related matter.
- Concurrent conflict — Rule 1.7(a)
- Exists if representing one client is directly adverse to another current client, OR there is a significant risk the representation will be materially limited by duties to another client, a former client, a third person, or the lawyer's own interests.
- Requirements to waive a conflict — Rule 1.7(b)
- The lawyer reasonably believes she can competently and diligently represent each client; the law permits it; the clients are not asserting claims against each other in the same litigation; and each client gives informed consent confirmed in writing.
- Nonconsentable conflicts
- Conflicts no consent can cure: where the law forbids the representation, one client's claim against another in the same litigation, or the lawyer cannot reasonably believe she can competently represent each client.
- Former-client conflict — Rule 1.9(a)
- A lawyer may not represent a new client with materially adverse interests in the same or a substantially related matter without the former client's informed consent confirmed in writing.
- Substantial relationship test
- Two matters are substantially related if they involve the same transaction/dispute, or if confidential information from the first would materially advance the new client's position.
- Imputation of conflicts — Rule 1.10
- Generally, a conflict affecting one lawyer in a firm is imputed to every lawyer in the firm, unless it is a personal-interest conflict with no significant risk, or a permitted screen applies.
- Ethical screen (Chinese wall)
- Procedures isolating a personally disqualified lawyer: no participation in the matter, no share of the fee from it, and prompt written notice — used to avoid imputation for a migrating or former-government lawyer.
- Rule 1.8(a) — business transaction with a client
- Allowed only if the terms are fair and reasonable, fully disclosed in writing, the client is advised in writing to seek independent counsel, and the client gives informed written consent.
- Rule 1.8(c) — gifts from a client
- A lawyer may not solicit a substantial gift or prepare an instrument giving the lawyer (or a close relative) a substantial gift, unless the lawyer is related to the client.
- Rule 1.8(j) — sexual relations with a client
- A lawyer may not have a sexual relationship with a client unless a consensual relationship predated the client-lawyer relationship.
- Rule 1.8(f) — third-party payment
- A lawyer may accept payment from someone other than the client only with the client's informed consent, no interference with the lawyer's independence, and protected confidentiality.
- Insurance defense — who is the client?
- The insured is the client. The lawyer owes the insured full loyalty and confidentiality; the insurer's payment does not make it the client.
- Former government lawyer — Rule 1.11
- May not work on a matter in which she participated personally and substantially while in government, absent agency consent; the firm may proceed if she is screened and gets no part of the fee.
- Lawyer as witness — imputation under 3.7(b)
- Although a lawyer-witness usually can't be trial advocate, that disqualification is NOT automatically imputed to the firm — another firm lawyer may try the case unless a 1.7/1.9 conflict exists.
- Allocation of authority — Rule 1.2(a)
- The client decides the objectives (ends) and whether to settle; the lawyer decides the means (tactics) after consulting the client.
- Client-only decisions in a criminal case
- The plea to enter, whether to waive a jury trial, and whether the defendant will testify.
- Rule 1.2(d) — assisting crime or fraud
- A lawyer may not counsel or assist a client in conduct the lawyer knows is criminal or fraudulent, but may discuss legal consequences and help determine the law in good faith.
- Limiting the scope of representation — 1.2(c)
- Permitted if the limitation is reasonable under the circumstances and the client gives informed consent.
- Reasonable fee factors — Rule 1.5(a)
- Time and labor; novelty/difficulty; skill required; customary local fee; amount involved and results; time limitations; nature/length of the relationship; and the lawyer's experience and reputation.
- Contingent fee writing — Rule 1.5(c)
- A contingent fee must be in a writing signed by the client stating the method of calculation and how expenses are handled.
- Prohibited contingent fees — Rule 1.5(d)
- Contingent fees are prohibited in most domestic-relations matters (e.g., divorce, child support) and in all criminal defense.
- Fee splitting with another firm — Rule 1.5(e)
- Allowed if the split is proportional to services OR each lawyer assumes joint responsibility, the client agrees in writing, and the total fee is reasonable.
- Mandatory withdrawal — Rule 1.16(a)
- Required when continuing would violate the Rules or law, the lawyer's physical or mental condition materially impairs the representation, or the lawyer is discharged.
- Permissive withdrawal — Rule 1.16(b)
- Allowed when withdrawal causes no material adverse effect, the client persists in crime/fraud, the client has used the lawyer's services for crime/fraud, the client won't pay after warning, or for other good cause.
- Duties on termination — Rule 1.16(d)
- Protect the client's interests: give reasonable notice, return papers and property the client is entitled to, and refund any unearned fee.
- Communication duty — Rule 1.4
- A lawyer must keep the client reasonably informed, promptly comply with reasonable requests for information, and explain matters enough for the client to make informed decisions.
- Diminished-capacity client — Rule 1.14
- A lawyer should maintain a normal client relationship as far as possible, and may take protective action only when the client is at risk of substantial harm and cannot adequately act in his own interest.
- Meritorious claims — Rule 3.1
- A lawyer may not bring or defend a frivolous proceeding, but may make a good-faith argument to extend, modify, or reverse existing law; a criminal defendant may require the state to prove every element.
- Expediting litigation — Rule 3.2
- A lawyer must make reasonable efforts to expedite litigation consistent with the client's interests — no delay merely for delay's sake or to harass.
- Candor toward the tribunal — Rule 3.3
- Don't knowingly make a false statement of fact or law to a court, fail to correct one, or offer evidence known to be false; if material false evidence was offered, take reasonable remedial measures, including disclosure.
- Does candor override confidentiality?
- Yes. The Rule 3.3 duties of candor apply even if compliance requires disclosing information otherwise protected by Rule 1.6, and they continue to the end of the proceeding.
- Disclosing adverse authority — Rule 3.3(a)(2)
- A lawyer must disclose legal authority in the controlling jurisdiction known to be directly adverse to the client's position and not disclosed by opposing counsel.
- Duty in an ex parte proceeding
- When the opposing party is absent, the lawyer must inform the tribunal of all material facts known to the lawyer, even adverse ones, so it can make an informed decision.
- Fairness to opposing party — Rule 3.4
- Don't obstruct access to or destroy evidence, falsify evidence, counsel a witness to testify falsely, or knowingly disobey a court rule.
- Paying a fact witness — Rule 3.4
- A lawyer may pay a fact witness reasonable expenses and lost time, and pay an expert a reasonable fee — but may NOT pay any witness a fee contingent on the outcome.
- Impartiality & decorum — Rule 3.5
- No improper ex parte communication with a judge or juror, no conduct intended to disrupt a tribunal, and no contact with a discharged juror who has made known a desire not to be contacted.
- Trial publicity — Rule 3.6
- A lawyer in a matter may not make an extrajudicial statement she reasonably should know has a substantial likelihood of materially prejudicing the proceeding.
- Lawyer as witness — Rule 3.7
- A lawyer likely to be a necessary witness generally may not act as advocate at the trial, with exceptions (uncontested matter, value of legal services, or substantial hardship).
- Prosecutor's duties — Rule 3.8
- A 'minister of justice': prosecute only on probable cause, make timely disclosure of exculpatory/mitigating evidence, and protect an unrepresented accused's rights.
- Post-conviction innocence evidence — 3.8(g)-(h)
- On learning new, credible, material evidence that a convicted defendant is likely innocent, a prosecutor must disclose it and, in her jurisdiction, take steps to remedy a wrongful conviction.
- Bar admission honesty — Rule 8.1
- An applicant (or a lawyer assisting one) must not knowingly make a false statement of material fact or fail to correct a misapprehension, but need not disclose information protected by Rule 1.6.
- Character and fitness
- Bar admission requires a showing of good character and fitness. A past mistake is rarely disqualifying by itself; dishonesty about it usually is.
- Reporting misconduct — Rule 8.3
- A lawyer who KNOWS another lawyer violated the Rules in a way raising a substantial question of honesty, trustworthiness, or fitness must report it to the appropriate authority.
- Limits on the Rule 8.3 reporting duty
- It does not require disclosing information protected by Rule 1.6 confidentiality or information gained while serving in an approved lawyers' assistance program.
- Misconduct — Rule 8.4
- It is professional misconduct to violate the Rules, commit a crime reflecting adversely on honesty/fitness, engage in conduct involving dishonesty/fraud/deceit, or engage in conduct prejudicial to the administration of justice.
- Unauthorized practice of law — Rule 5.5
- A lawyer may not practice in a jurisdiction where not admitted in violation of its rules, or assist a non-lawyer in the unauthorized practice of law; the purpose is protecting the public.
- Multijurisdictional practice — Rule 5.5(c)
- Permits temporary practice: associated with a local lawyer, related to a pending/potential proceeding (e.g., pro hac vice), related to ADR, or arising out of the lawyer's home-state practice.
- Disciplinary jurisdiction — Rule 8.5
- A lawyer is subject to discipline in any jurisdiction where admitted and any where she provides legal services, regardless of where the conduct occurred.
- Responsibilities of a supervisory lawyer — 5.1
- A partner or supervisor must make reasonable efforts to ensure the firm and subordinate lawyers comply with the Rules, and is responsible for a known violation she could have avoided/mitigated.
- Subordinate lawyer — Rule 5.2
- A subordinate lawyer is bound by the Rules even when acting at a supervisor's direction, but does not violate them by following a supervisor's reasonable resolution of an arguable ethics question.
- Responsibilities regarding non-lawyer assistants — 5.3
- A lawyer must make reasonable efforts to ensure non-lawyer assistants' conduct is compatible with the lawyer's professional obligations.
- Sanctions ladder
- From least to most severe: reprimand/admonition, public censure, suspension (for a set period), and disbarment (revoking the right to practice).
- Competence — Rule 1.1
- A lawyer must provide competent representation: the legal knowledge, skill, thoroughness, and preparation reasonably necessary — including keeping abreast of relevant technology.
- Taking an unfamiliar matter
- A lawyer may accept a matter in an unfamiliar field if she can attain the requisite competence through reasonable study or by associating with a competent lawyer.
- Diligence — Rule 1.3
- A lawyer must act with reasonable diligence and promptness; neglect and missed deadlines are among the most common grounds for discipline.
- Legal malpractice elements
- Usually a negligence claim requiring duty, breach (falling below the standard of care), causation, and damages — often proven with expert testimony.
- Discipline vs. malpractice
- They are distinct. A Rules violation does not automatically create civil liability, and committing malpractice does not automatically mean discipline.
- Limiting malpractice liability — Rule 1.8(h)
- A lawyer may not prospectively limit malpractice liability unless the client is independently represented, and may not settle a claim with an unrepresented client/former client without advising them in writing to seek independent counsel.
- Communications about services — Rule 7.1
- A lawyer may not make a false or misleading communication about the lawyer or the lawyer's services — including a material misrepresentation or an omission that makes the statement misleading.
- Advertising is protected speech — Bates
- Truthful, non-misleading lawyer advertising is constitutionally protected commercial speech (Bates v. State Bar of Arizona), so a flat ban on advertising is unconstitutional.
- Solicitation — Rule 7.3
- A lawyer may not solicit professional employment by live person-to-person contact (in person, by phone, or real-time electronic) when a significant motive is pecuniary gain, subject to exceptions.
- Solicitation exceptions — Rule 7.3
- Live solicitation is allowed if the target is another lawyer, a family member, a close personal friend, or a person with a prior professional relationship with the lawyer.
- Claiming to be a specialist — Rule 7.2(c)
- A lawyer may not state or imply she is a 'specialist' or certified unless certified by an approved organization, and the certifying organization must be clearly identified.
- Paying for referrals — Rule 7.2(b)
- A lawyer may not give anything of value for a recommendation, but may pay reasonable advertising costs, the charges of a qualified lawyer referral service, and nominal thank-you gifts.
- Truthfulness to others — Rule 4.1
- In representing a client, a lawyer must not knowingly make a false statement of material fact or law to a third person, or fail to disclose a material fact when needed to avoid assisting a client crime or fraud.
- The no-contact rule — Rule 4.2
- A lawyer may not communicate about the subject of the representation with a person the lawyer knows is represented by another lawyer in the matter, unless that lawyer consents or the law authorizes it.
- Dealing with an unrepresented person — Rule 4.3
- A lawyer must not state or imply she is disinterested, must correct any misunderstanding about her role, and may not give legal advice (other than to secure counsel) if the person's interests conflict with the client's.
- Inadvertently sent document — Rule 4.4(b)
- A lawyer who receives a document and knows or reasonably should know it was sent inadvertently must promptly notify the sender.
- Respect for third persons — Rule 4.4(a)
- A lawyer may not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or methods that violate a third person's legal rights.
- Lawyer as advisor — Rule 2.1
- A lawyer must exercise independent professional judgment and render candid advice, and may refer not only to law but to moral, economic, social, and political considerations.
- Lawyer as evaluator — Rule 2.3
- A lawyer may provide an evaluation of a matter for the use of a third person if compatible with the client relationship; if it is likely to affect the client adversely, the client's informed consent is required.
- Lawyer as third-party neutral — Rule 2.4
- A lawyer serving as mediator or arbitrator does not represent the parties and must inform an unrepresented party that the lawyer is not representing them.
- Organization as client — Rule 1.13
- A lawyer employed by an organization represents the entity acting through its constituents, not the individual officers or employees.
- Reporting up — Rule 1.13(b)
- If a constituent's conduct violates a legal duty to the organization and is likely to cause substantial injury, the lawyer must generally refer the matter up the chain, ordinarily to the highest authority that can act.
- Entity warning — Rule 1.13(f)
- When the organization's interests are adverse to a constituent the lawyer is dealing with, the lawyer must explain that the client is the organization (an Upjohn or 'corporate Miranda' warning).
- Safekeeping property — Rule 1.15
- A lawyer must hold client and third-party property separate from her own, keeping client funds in a separate trust account (often IOLTA), with complete records and accountings.
- Commingling
- Mixing client or third-party funds with the lawyer's own funds. It violates Rule 1.15 even if no money is lost.
- Misappropriation
- Using client or third-party funds for the lawyer's own purposes — one of the most serious ethics violations, frequently resulting in disbarment.
- Lawyer's own funds in trust — Rule 1.15(b)
- A lawyer may keep only a small amount of the lawyer's own funds in the trust account, and only to pay bank service charges.
- Disputed funds — Rule 1.15(e)
- When the lawyer and another person (often the client) dispute who owns part of the funds, the disputed portion must be kept in trust until the dispute is resolved; the undisputed part is promptly distributed.
- Advance fees vs. earned fees
- Unearned advance fees and advances for expenses belong to the client and go in the trust account; the lawyer withdraws funds only as they are earned or incurred.
- Pro bono publico — Rule 6.1
- Every lawyer has a professional responsibility to provide legal services to those unable to pay — aspirationally about 50 hours per year. It is aspirational, not enforced by discipline.
- Accepting appointments — Rule 6.2
- A lawyer should not seek to avoid a court appointment except for good cause, such as a violation of the Rules, an unreasonable financial burden, or a client/cause so repugnant it impairs the relationship.
- Legal services organizations — Rule 6.3
- A lawyer may serve on the board of a legal-services organization even if it serves persons with interests adverse to a client, but may not knowingly participate in decisions incompatible with duties to the client.
- Model Code of Judicial Conduct
- The ABA's model ethics rules for judges, organized around canons: uphold integrity and independence, avoid impropriety and its appearance, perform duties impartially and diligently, and limit outside activity.
- Judicial disqualification — Rule 2.11
- A judge must disqualify in any proceeding in which the judge's impartiality might reasonably be questioned, including personal bias, personal knowledge of disputed facts, an economic interest, or a close family tie to a party or lawyer.
- Standard for judicial disqualification
- It is OBJECTIVE: disqualification turns on whether impartiality 'might reasonably be questioned,' not on whether the judge is actually biased.
- Economic interest and recusal
- Even a small economic interest in a party or in the subject matter generally requires a judge's disqualification.
- Remittal of disqualification
- For certain grounds (not personal bias), the parties may, after the judge's disclosure, agree to waive disqualification so the judge can continue.
- Ex parte communications by a judge — 2.9
- A judge generally may not initiate, permit, or consider ex parte communications about a pending matter, with narrow exceptions (e.g., scheduling, emergencies, with disclosure).
- Avoiding impropriety — Rule 1.2
- A judge must act at all times in a manner that promotes public confidence in the judiciary's independence, integrity, and impartiality, and must avoid impropriety and the appearance of impropriety.
- Judicial impartiality & 'investigation' — 2.9(C)
- A judge may not independently investigate facts in a matter and must consider only the evidence presented, including not researching disputed facts online.