ABA Model Rules RE Professional Conduct

8/10/2019 ABA Model Rules RE Professional Conduct

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ABA MODEL CODE OF

PROFESSIONAL RESPONSIBILITY

The Model Code of Professional Responsibility was adopted by the House of Delegates of the

American Bar Association on August 1! 1"#" and was amended by the House of Delegates in

$ebruary 1"%&! $ebruary 1"%'! $ebruary 1"%(! August 1"%#! August 1"%%! August 1"%)!

$ebruary 1"%"! $ebruary 1")&! and August 1")&*


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Contents

PREFACE

PREAMBLEANDPRELIMINARYSTATEMENT

CANON1. A LAWYERSHOULDASSISTINMAINTAININGTHEINTEGRITYANDCOMPETENCEOFTHELEGALPROFESSION

Ethical Coni!"#ation

Dici$lina#% R&l"

DR1'1(1 Maintainin) Int")#it% an! Co*$"t"nc" o+ th" L")al P#o+"ion

DR 1'1(, Micon!&ct

DR 1'1(- Diclo" o+ In+o#*ation to A&tho#iti"

CANON,. A LAWYERSHOULDASSISTTHELEGALPROFESSIONINFULFILLINGITSDUTYTOMAELEGALCOUNSEL

A/AILABLE


R"co)nition o+ L")al P#o0l"*S"l"ction o+ a La%"#

S"l"ction o+ a La%"#2 La%"# A!3"#tiin)

Financial A0ilit% to E*$lo% Co&n"l2 G"n"#all%

Financial A0ilit% to E*$lo% Co&n"l2

P"#on A0l" to Pa% R"aona0l" F""

Financial A0ilit% to E*$lo% Co&n"l2

P"#on Una0l" to Pa% R"aona0l" F""

Acc"$tanc" an! R"t"ntion o+ E*$lo%*"nt

Dici$lina#% R&l"

DR ,'1(1 P&0licit% in G"n"#al

DR ,'1(, P#o+"ional Notic"4 L"tt"#h"a!4 O++ic"

DR ,'1(- R"co**"n!ation o+ P#o+"ional E*$lo%*"nt

DR ,'1(5 S&))"tion o+ N""! o+ L")al S"#3ic"

DR ,'1(6 Li*itation o+ P#actic"

DR ,'1(7 F"" +o# L")al S"#3ic"

DR ,'1(8 Di3iion o+ F"" A*on) La%"#

DR ,'1(9 A)#""*"nt R"t#ictin) th" P#actic" o+ a La%"#

DR ,'1(: Acc"$tanc" o+ E*$lo%*"nt

DR ,'11( With!#aal +#o* E*$lo%*"nt

CANON-. A LAWYERSHOULDASSISTINPRE/ENTINGTHEUNAUTHORI;EDPRACTICEOFLAW.


Dici$lina#% R&l"

DR -'1(1 Ai!in) Una&tho#i


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D"i#" o+ Thi#! P"#on

Dici$lina#% R&l"

DR 6'1(1 R"+&in) E*$lo%*"nt Wh"n th" Int"#"t o+ th" La%"# Ma% I*$ai# Hi

In!"$"n!"nt P#o+"ional >&!)*"nt

DR 6'1(, With!#aal a Co&n"l Wh"n th"

La%"# B"co*" a Witn"

DR 6'1(- A3oi!in) Ac?&iition o+ Int"#"t in Liti)ationDR 6'1(5 Li*itin) B&in" R"lation ith a Cli"nt

DR 6'1(6 'R"+&in) to Acc"$t o# Contin&" E*$lo%*"nt i+ th" Int"#"t o+ Anoth"# Cli"nt

Ma% I*$ai# th" In!"$"n!"nt P#o+"ional >&!)*"nt o+ th" La%"#

DR 6'1(7 S"ttlin) Si*ila# Clai* o+ Cli"nt

DR 6'1(8 A3oi!in) In+l&"nc" 0% Oth"# Than th" Cli"nt

CANON7. A LAWYERSHOULDREPRESENTACLIENTCOMPETENTLY


Dici$lina#% R&l"

DR 7'1(1 Failin) to Act Co*$"t"ntl%

DR 7'1(, Li*itin) Lia0ilit% to Cli"nt

CANON8. A LAWYERSHOULDREPRESENTACLIENT;EALOUSLYWITHINTHEBOUNDSOFTHELAW


D&t% o+ th" La%"# to a Cli"nt

D&t% o+ th" La%"# to th" A!3"#a#% S%t"* o+ >&tic"

Dici$lina#% R&l"

DR 8'1(1 R"$#""ntin) a Cli"nt ;"alo&l%

DR 8'1(, R"$#""ntin) a Cli"nt Within th" Bo&n! o+ th" La

DR 8'1(- P"#+o#*in) th" D&t% o+ P&0lic P#o"c&to# o# Oth"# Go3"#n*"nt La%"#

DR 8'1(5 Co**&nicatin) ith On" o+ A!3"#" Int"#"t

DR 8'1(6 Th#"at"nin) C#i*inal P#o"c&tion

DR 8'1(7 T#ial Con!&ct

DR 8'1(8 T#ial P&0licit%

DR 8'1(9 Co**&nication ith o# In3"ti)ation o+ >o#DR 8'1(: Contact ith Witn""

DR 8'11( Contact ith O++icial

CANON9. A LAWYERSHOULDASSISTINIMPRO/INGTHELEGALSYSTEM


Dici$lina#% R&l"

DR 9'1(1 Action a a P&0lic O++icial

DR 9'1(, 'Stat"*"nt Conc"#nin) >&!)" an! Oth"#

A!@&!icato#% O++ic"#

DR 9'1(- La%"# Can!i!at" +o# >&!icial O++ic"

CANON:. A LAWYERSHOULDA/OIDE/ENTHEAPPEARANCEOF

PROFESSIONALIMPROPRIETYEthical Coni!"#ation

Dici$lina#% R&l"

DR :'1(1 A3oi!in) E3"n th" A$$"a#anc" o+ I*$#o$#i"t%

DR :'1(, P#""#3in) I!"ntit% o+ F&n! an! P#o$"#t% o+ a Cli"nt

DEFINITIONSSUB>ECTMATTERINDE=


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Preface

On August 14, 1964, at the request of President Lewis F. Powell, Jr., the House of Delegates of the

Aeri!an "ar Asso!iation !reated a #$e!ial %oittee on &'aluation of &thi!al #tandards toe(aine the then !urrent %anons of Professional &thi!s and to a)e re!oendations for !hanges.*hat !oittee $rodu!ed the +odel %ode of Professional es$onsi-ilit whi!h was ado$ted - theHouse of Delegates in 1969 and -e!ae effe!ti'e Januar 1, 19/0. *he new +odel %ode re'ised the$re'ious %anons in four $rin!i$al $arti!ulars 213 there were i$ortant areas in'ol'ing the !ondu!t oflawers that were either onl $artiall !o'ered in or totall oitted fro the %anons 253 an%anons that were sound in su-stan!e were in need of editorial re'ision 23 ost of the %anons didnot lend thesel'es to $ra!ti!al san!tions for 'iolations and 243 !hanged and !hanging !onditions inour legal sste and ur-ani7ed so!iet required new stateents of $rofessional $rin!i$les.

*he original 5 %anons of Professional &thi!s were ado$ted - the Aeri!an "ar Asso!iation in1908. *he were -ased $rin!i$all on the %ode of &thi!s ado$ted - the Ala-aa #tate "arAsso!iation in 188/, whi!h in turn has -een -orrowed largel fro the le!tures of Judge eorge#harswood, $u-lished in 18:4 under the title ofP#o+"ional Ethic, and fro the fift resolutions

in!luded in Da'id Hoffan;sA Co" o+ L")al St&!% 25d ed. 1863. #in!e then a liited nu-er ofaendents ha'e -een ado$ted on a $ie!eeal -asis.

As far -a!) as 194 +r. Justi!e 2later %hief Justi!e3 Harlan Fis)e #tone, in his eora-le addressentitled Th" P&0lic In+l&"nc" o+ th" Ba#, ade this o-ser'ation

"efore the "ar !an fun!tion at all as a guardian of the $u-li! interests !oitted to its !are,there ust -e a$$raisal and !o$rehension of the new !onditions, and the !hained relationshi$of the lawer to his !lients, to his $rofessional -rethren and to the $u-li!. *hat a$$raisal ust$ass -eond the $ett details of for and anners whi!h ha'e -een so largel the su-hile the o$inions of the %oittee on Professional &thi!s of the Aeri!an "ar Asso!iation had-een $u-lished and gi'en fairl wide distri-ution with resulting 'alue to the -en!h and -ar, the!ertainl were not !on!lusi'e as to the adequa! of the $re'ious %anons. "e!ause the o$inions werene!essaril inter$retations of the e(isting %anons, the tended to su$$ort the %anons and were !riti!alof the onl in the ost unusual !ase. #in!e a large nu-er of requests for o$inions fro the%oittee on Professional &thi!s dealt with the etiquette of law $ra!ti!e, ad'ertising, $artnershi$naes, announ!eents and the li)e, there had -een a tenden! for an lawers to assue that thiswas the e(!lusi'e field of interest of the %oittee and that it was not !on!erned with the oreserious questions of $rofessional standards and o-ligations.

*he $re'ious %anons were not an effe!ti'e tea!hing instruent and failed to gi'e guidan!e to

oung lawers -eond the language of the %anons thesel'es. *here was no organi7edinterrelationshi$ -etween the %anons and the often o'erla$$ed. *he were not !ast in languagedesigned for dis!i$linar enfor!eent and an a-ounded with quaint e($ressions of the $ast. *hose%anons !ontained, ne'ertheless, an $ro'isions that were sound in su-stan!e, and all of these wereretained in the +odel %ode ado$ted in 1969. =n the studies and eetings !ondu!ted - the %oitteewhi!h de'elo$ed the $resent +odel %ode, the %oittee relied hea'il u$on the onuental L")alEthic219:3 of Henr #. Drin)er, who ser'ed with great distin!tion for nine ears as %hairan ofthe %oittee on Professional &thi!s 2)nown in his da as the %oittee on Professional &thi!s andrie'an!es3 of the Aeri!an "ar Asso!iation.

*he Foral O$inions of the %oittee on &thi!s and Professional es$onsi-ilit were !olle!tedand $u-lished in a single 'olue in 196/, and sin!e that tie ha'e -een $u-lished !ontinuousl inloose?leaf for. 2*he nae was !hanged in 19/1 to the #tanding %oittee on &thi!s and


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Professional es$onsi-ilit.3 *he =nforal O$inions of the %oittee on &thi!s and Professionales$onsi-ilit were !olle!ted and $u-lished in a two?'olue set in 19/:, and sin!e that tie newo$inions ha'e -een $u-lished !ontinuousl in loose?leaf for.

#in!e the ado$tion of the +odel %ode of Professional es$onsi-ilit in 1969 a nu-er ofaendents ha'e -een required due to de!isions of the #u$ree %ourt of the @nited #tates andlower !ourts relating to the $ro'ision of grou$ legal ser'i!es and the $ro'ision of additional legal

ser'i!es on a wide s!ale not onl to indigents -ut also to $ersons of oderate eans. Furtherore,re!ent de!isions of the #u$ree %ourt of the @nited #tates on the su-


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Preamble1

*he !ontinued e(isten!e of a free and deo!rati! so!iet de$ends u$on re!og?nition of the !on!e$t that


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Aeri!an "ar Asso!iation +odel %ode of Professional es$onsi-ilit and of the o$inions of the #tanding %oittee on&thi!s and Professional es$onsi-ilit, see =nforal O$inion o. 1450.

B*here is generall no $res!ri-ed dis!i$line for an $arti!ular t$e of i$ro$er !ondu!t. *he dis!i$linar easures ta)enare dis!retionar with the !ourts, whi!h a dis-ar, sus$end, or erel !ensure the attorne as the nature of the offense and

$ast indi!ia of !hara!ter a warrant.E ote, 4 %O&LLL.. 489, 49: 219:83.15. *he +odel %ode see)s onl to s$e!if !ondu!t for whi!h a lawer should -e dis!i$lined - !ourts and go'ernental

agen!ies whi!h ha'e ado$ted it. e!oendations as to the $ro!edures to -e used in dis!i$linar a!tions are within the


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CANON 1

A La!er S"o#l$ Assist in

Maintainin% t"e Inte%rit an$

Com&etence of t"e Le%al Profession

ET'ICAL CONSIDERATIONS

&% 1?1 A -asi! tenet of the $rofessional res$onsi-ilit of lawers is that e'er $erson in ourso!iet should ha'e read a!!ess to the inde$endent $rofessional ser'i!es of a lawer of integrit and!o$eten!e. +aintaining the integrit and i$ro'ing the !o$eten!e of the -ar to eet the higheststandards is the ethi!al res$onsi-ilit of e'er lawer.

EC 1() *he $u-li! should -e $rote!ted fro those who are not qualified to -e lawers - reasonof a defi!ien! in edu!ation1or oral standards5or of other rele'ant fa!tors-ut who ne'ertheless

see) to $ra!ti!e law. *o assure the aintenan!e of high oral and edu!ational standards of the legal$rofession, lawers should affirati'el assist !ourts and other a$$ro$riate -odies in $roulgating,enfor!ing, and i$ro'ing requireents for adission to the -ar.4=n li)e anner, the -ar has a $ositi'eo-ligation to aid in the !ontinued i$ro'eent of all $hases of $re?adission and $ost?adissionlegal edu!ation.

EC 1(* "efore re!oending an a$$li!ant for adission, a lawer should satisf hiself that thea$$li!ant is of good oral !hara!ter. Although a lawer should not -e!oe a self?a$$ointedin'estigator or


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adission to the -ar.10

2"3 ?A lawer shall not further the a$$li!ation for adission to the -ar of another $erson )nown- hi to -e unqualified in res$e!t to !hara!ter, edu!ation, or other rele'ant attri-ute.11

D 1?105 ?+is!ondu!t.

2A3 ?A lawer shall not

213 ?iolate a Dis!i$linar ule.253 ?%ir!u'ent a Dis!i$linar ule through a!tions of another.15

23 ?&ngage in illegal !ondu!t in'ol'ing oral tur$itude.1

243 ?&ngage in !ondu!t in'ol'ing dishonest, fraud, de!eit, or isre$resentation.2:3 ?&ngage in !ondu!t that is $ree assue that few wouldden that a graar s!hool edu!ation requireent -efore ta)ing the -ar e(aination was reasona-le. Or that an a$$li!ant hadto -e a-le to read or write. On!e we !on!lude that o*" restri!tion is $ro$er, then it -e!oes a atter of degreeIthe $ro-leof drawing the line.

. . . .B>e !on!lude the fundaental question here is whether ule =, #e!tion 6 of the ules $ertaining to Adission of

A$$li!ants to the #tate "ar of Ari7ona is ar-itrar, !a$ri!ious and unreasona-le.; >e !on!lude an edu!ational requireent ofgraduation fro an a!!redited law s!hool is not.E Ha!)in '. Lo!)wood, 61 F.5d 499, :0?429th %ir. 19663, c"#t. !"ni"!, 8:@.#. 960, 1/ L. &d.5d 0:, 8/ #. %t. 96 219663.

5. B&'er state in the @nited #tates, as a $rerequisite for adission to the $ra!ti!e of law, requires that a$$li!ants $ossess

good oral !hara!ter.; Although the requireent is of e agree with this !on!ession.E Hallinan '. %o. of "ar &(ainers, 6: %al.5d 44/, 4:, 451, P.5d /6, 81, :: %al.$tr. 558,5 219663.

. BPro!eedings to gain adission to the -ar are for the $ur$ose of $rote!ting the $u-li! and the !ourts fro theinistrations of $ersons unfit to $ra!ti!e the $rofession. Attornes are offi!ers of the !ourt a$$ointed to assist the !ourt in theadinistration of


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8. C+.A"A %AO#OFPOF#=OAL&*H=%#, %AO5 219083.9. B>e de!line, on the $resent re!ord, to dis-ar +r. #heran or to re$riand hi I not -e!ause we !ondone his a!tions,

-ut -e!ause, as heretofore indi!ated, we are !on!erned with whether he is entall res$onsi-le for what he has done.B*he logi! of the situation would see to di!tate the !on!lusion that, if he was entall res$onsi-le for the !ondu!t we

ha'e outlined, he should -e dis-arred and, if he was not entall res$onsi-le, he should not -e $eritted to $ra!ti!e law.BHowe'er, the flaw in the logi! is that he a ha'e -een entall irres$onsi-le Cat the tie of his offensi'e !ondu!t . . . ,

and, et, ha'e suffi!ientl i$ro'ed in the alost two and one?half ears inter'ening to -e a-le to !a$a-l and !o$etentlre$resent his !lients.

. . . .B>e would a)e !lear that we are satisfied that a !ase has -een ade against +r. #heran, warranting a refusal to $erit

hi to further $ra!ti!e law in this state unless he !an esta-lish his ental irres$onsi-ilit at the tie of the offenses !harged.*he -urden of $roof is u$on hi.

B=f he esta-lishes su!h ental irres$onsi-ilit, the -urden is then u$on hi to esta-lish his $resent !a$a-ilit to $ra!ti!elaw.E =n re #heran, :8 >ash. 5d 1, 6?/, :4 P.5d 888, 890 219603, c"#t. !"ni"!, /1 @.#. 9:1, 9 L. &d. 5d 499, 8 #. %t. :0621963.

10. B*his %ourt has the inherent $ower to re'o)e a li!ense to $ra!ti!e law in this #tate, where su!h li!ense was issued -this %ourt, and its issuan!e was $ro!ured - the fraudulent !on!ealent, or - the false and fraudulent re$resentation - thea$$li!ant of a fa!t whi!h was anifestl aterial to the issuan!e of the li!ense.E orth %arolina " #"l. Attorne eneral '.orson, 509 .%. 50, 56, 18 #.&. 95, 9: 21963, c"#t. !"ni"!, 598 @.#. 665, 80 L.&d. 18/, :6 #. %t. /:5 21963.

11. #ee A"A %AO#OFPOF#=OAL&*H=%#, %AO59 219083.15. =nABA O$inion9: 2193, whi!h held that a uni!i$al attorne !ould not $erit $oli!e offi!ers to inter'iew $ersons

with !lais against the uni!i$alit when the attorne )new the !laiants to -e re$resented - !ounsel, the %oittee onProfessional &thi!s said

B*he law offi!er is, of !ourse, res$onsi-le for the a!ts of those in his de$artent who are under his su$er'ision and !ontrol.O$inion 8:.In #" Ro0inon, 16 .K.#. :48 2affired 509 .K. :4?19153 held that it was a atter of dis-arent for anattorne to ado$t a general !ourse of a$$ro'ing the unethi!al !ondu!t of e$loees of his !lient, e'en though he did nota!ti'el $arti!i$ate therein.

B . . . *he attorne should not ad'ise or san!tion a!ts - his !lient whi!h he hiself should not do.; O$inion /:.E1. B*he ost o-'ious non?$rofessional ground for dis-arent is !on'i!tion for a felon. +ost states a)e !on'i!tion for

a felon grounds for autoati! dis-arent. #oe of these states, in!luding ew Kor), a)e dis-arent andator u$on!on'i!tion for an% felon, while others require dis-arent onl for those felonies whi!h in'ol'e oral tur$itude. *here arestrong arguents that soe felonies, su!h as in'oluntar anslaughter, refle!t neither on an attorne;s fitness, trustworthiness,nor !o$eten!e and, therefore, should not -e grounds for dis-arent -ut ost states tend to disregard these arguents and,following the !oon law rule, a)e dis-arent andator on !on'i!tion for an felon.E ote, 4 %O&LLL.. 489, 490219:83.

B#oe states treat !on'i!tion for isdeeanors as grounds for autoati! dis-arent . . . . Howe'er, the 'ast ahile the definition of oral tur$itudea $ro'e diffi!ult, it sees onl $ro$er that those inor offenses whi!h do not affe!t the attorne;s fitness to !ontinue in the

$rofession should not -e grounds for dis-arent. A good e(a$le is an assault and -atter !on'i!tion whi!h would not in'ol'eoral tur$itude unless done with ali!e and deli-eration.EI!.at 491.

B*he ter oral tur$itude; has -een used in the law for !enturies. =t has -een the su-


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CANON )

A La!er S"o#l$ Assist t"e

Le%al Profession in F#lfillin%

Its D#t to Ma/e Le%al Co#nsel A0ailable


&% 5?1 *he need of e-ers of the $u-li! for legal ser'i!es1is et onl if the re!ogni7e theirlegal $ro-les, a$$re!iate the i$ortan!e of see)ing assistan!e,5and are a-le to o-tain the ser'i!es ofa!!e$ta-le legal !ounsel.Hen!e, i$ortant fun!tions of the legal $rofession are to edu!ate laen tore!ogni7e their $ro-les, to fa!ilitate the $ro!ess of intelligent sele!tion of lawers, and to assist ina)ing legal ser'i!es full a'aila-le.4

Recognition of +egal Problems

EC )() *he legal $rofession should assist la$ersons to re!ogni7e legal $ro-les -e!ause su!h$ro-les a not -e self?re'ealing and often are not tiel noti!ed. *herefore, lawers shoulden!ourage and $arti!i$ate in edu!ational and $u-li! relations $rogras !on!erning our legal sstewith $arti!ular referen!e to legal $ro-les that frequentl arise. Pre$aration of ad'ertiseents and$rofessional arti!les for la $u-li!ations:and $arti!i$ation in seinars, le!tures, and !i'i! $rograsshould -e oti'ated - a desire to edu!ate the $u-li! to an awareness of legal needs and to $ro'ideinforation rele'ant to the sele!tion of the ost a$$ro$riate !ounsel rather than to o-tain $u-li!itfor $arti!ular lawers. *he $ro-les of ad'ertising on tele'ision require s$e!ial !onsideration, due tothe stle, !ost, and transitor nature of su!h edia. =f the interests of la$ersons in re!ei'ing rele'antlawer ad'ertising are not adequatel ser'ed - $rint edia and radio ad'ertising, and if adequatesafeguards to $rote!t the $u-li! !an reasona-l -e forulated, tele'ision ad'ertising a ser'e a$u-li! interest.

EC )(* >hether a lawer a!ts $ro$erl in 'olunteering in?$erson ad'i!e to a la$erson to see)legal ser'i!es de$ends u$on the !ir!ustan!es.6*he gi'ing of ad'i!e that one should ta)e legal a!tion!ould well -e in fulfillent of the dut of the legal $rofession to assist la$ersons in re!ogni7inglegal $ro-les./*he ad'i!e is $ro$er onl if oti'ated - a desire to $rote!t one who does notre!ogni7e that he a ha'e legal $ro-les or who is ignorant of his legal rights or o-ligations. =t isi$ro$er if oti'ated - a desire to o-tain $ersonal -enefit, se!ure $ersonal $u-li!it, or !ause legala!tion to -e ta)en erel to harass or in


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,election of a +awyer

EC )(- Forerl a $otential !lient usuall )new the re$utations of lo!al lawers for !o$eten!and integrit and therefore !ould sele!t a $ra!titioner in who he had !onfiden!e. *his traditionalsele!tion $ro!ess wor)ed well -e!ause it was initiated - the !lient and the !hoi!e was an inforedone.

EC )( %hanged !onditions, howe'er, ha'e seriousl restri!ted the effe!ti'eness of the traditionalsele!tion $ro!ess. Often the re$utations of lawers are not suffi!ientl )nown to ena-le laen toa)e intelligent !hoi!es.15*he law has -e!oe in!reasingl !o$le( and s$e!iali7ed. Few lawersare willing and !o$etent to deal with e'er )ind of legal atter, and an laen ha'e diffi!ult indeterining the !o$eten!e of lawers to render different t$es of legal ser'i!es. *he sele!tion oflegal !ounsel is $arti!ularl diffi!ult for transients, $ersons o'ing into new areas, $ersons of liitededu!ation or eans, and others who ha'e little or no !onta!t with lawers. 1 La!) of inforationa-out the a'aila-ilit of lawers, the qualifi!ations of $arti!ular lawers, and the e($ense of legalre$resentation leads la$ersons to a'oid see)ing legal ad'i!e.

EC )(2 #ele!tion of a lawer - a la$erson should -e ade on an infored -asis. Ad'i!e andre!oendation of third $artiesIrelati'es, friends, a!quaintan!es, -usiness asso!iates, or otherlawersIand dis!losure of rele'ant inforation a-out the lawer and his $ra!ti!e a -e hel$ful. A

la$erson is -est ser'ed if the re!oendation is disinterested and infored. =n order that there!oendation -e disinterested, a lawer should not see) to influen!e another to re!oend hise$loent. A lawer should not !o$ensate another $erson for re!oending hi, for influen!inga $ros$e!ti'e !lient to e$lo hi, or to en!ourage future re!oendations. 14Ad'ertiseents and$u-li! !ouni!ations, whether in law lists, tele$hone dire!tories, news$a$ers, other fors of $rintedia, tele'ision or radio, should -e forulated to !on'e onl inforation that is ne!essar to a)ean a$$ro$riate sele!tion. #u!h inforation in!ludes 213 offi!e inforation, su!h as nae, in!ludingnae of law fir and naes of $rofessional asso!iates addresses tele$hone nu-ers !redit !arda!!e$ta-ilit fluen! in foreign languages and offi!e hours 253 rele'ant -iogra$hi!al inforation23 des!ri$tion of the $ra!ti!e, -ut onl - using designations and definitions authori7ed - Ctheagen! ha'ing


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15/93

$inancial Ability to /mploy Counsel- 0enerally

EC )(1- *he legal $rofession !annot reain a 'ia-le for!e in fulfilling its role in our so!iet unlessits e-ers re!ei'e adequate !o$ensation for ser'i!es rendered, and reasona-le fees54 should -e!harged in a$$ro$riate !ases to !lients a-le to $a the. e'ertheless, $ersons una-le to $a all or a$ortion of a reasona-le fee should -e a-le to o-tain ne!essar legal ser'i!es,5:and lawers should

su$$ort and $arti!i$ate in ethi!al a!ti'ities designed to a!hie'e that o-


16/93

and should atte$t to resol'e ai!a-l an differen!es on the su-


17/93

a$$eal is $rose!uted, - re$resenting hi through the a$$eal unless new !ounsel is su-stituted orwithdrawal is $eritted - the a$$ro$riate !ourt.

EC )(*) A de!ision - a lawer to withdraw should -e ade onl on the -asis of !o$elling!ir!ustan!es,:6and in a atter $ending -efore a tri-unal he ust !o$l with the rules of thetri-unal regarding withdrawal. A lawer should not withdraw without !onsidering !arefull and

endea'oring to inii7e the $ossi-le ad'erse effe!t on the rights of his !lient and the $ossi-ilit of$re


18/93

283 ?Legal authorshi$s293 ?Legal tea!hing $ositions2103?+e-ershi$s, offi!es, and !oittee assignents, in -ar asso!iations2113?+e-ershi$ and offi!es in legal fraternities and legal so!ieties2153?*e!hni!al and $rofessional li!enses213?+e-ershi$s in s!ientifi!, te!hni!al and $rofessional asso!iations and so!ieties

2143?Foreign language a-ilit21:3?aes and addresses of -an) referen!es2163?>ith their written !onsent, naes of !lients regularl re$resented21/3?Pre$aid or grou$ legal ser'i!es $rogras in whi!h the lawer $arti!i$ates2183?>hether !redit !ards or other !redit arrangeents are a!!e$ted2193?Offi!e and tele$hone answering ser'i!e hours2503?Fee for an initial !onsultation2513?A'aila-ilit u$on request of a written s!hedule of fees andor estiate of the fee to -e

!harged for s$e!ifi! ser'i!es2553?%ontingent fee rates su-


19/93

0 das after su!h -road!ast.2H3 ?*his rule does not $rohi-it liited and dignified identifi!ation of a lawer as a lawer as

well as - nae213 ?=n $oliti!al ad'ertiseents when his $rofessional status is gerane to the $oliti!al

!a$aign or to a $oliti!al issue.253 ?=n $u-li! noti!es when the nae and $rofession of a lawer are required or authori7ed

- law or are reasona-l $ertinent for a $ur$ose other than the attra!tion of $otential !lients.23 ?=n routine re$orts and announ!eents of a -ona fide -usiness, !i'i!, $rofessional, or

$oliti!al organi7ation in whi!h he ser'es as a dire!tor or offi!er.243 ?=n and on legal do!uents $re$ared - hi.2:3 ?=n and on legal te(t-oo)s, treatises, and other legal $u-li!ations, and in dignified

ad'ertiseents thereof.2=3 ?A lawer shall not !o$ensate or gi'e an thing of 'alue to re$resentati'es of the $ress,

radio, tele'ision, or other !ouni!ation ediu in anti!i$ation of or in return for $rofessional$u-li!it in a news ite.

D 5?105 ?Professional oti!es, Letterheads and Offi!es

2A3 ?A lawer or law fir shall not use or $arti!i$ate in the use of6 $rofessional !ards,

$rofessional announ!eent !ards, offi!e signs, letterheads, tele$hone dire!tor listings, law lists,legal dire!tor listings, or siilar $rofessional noti!es or de'i!es, e(!e$t that the following a -eused if the are in dignified for

213 ?A $rofessional !ard of a lawer identifing hi - nae and as a lawer, and gi'inghis addresses, tele$hone nu-ers, the nae of his law fir, and an inforation $eritted under D5?10:. A $rofessional !ard of a law fir a also gi'e the naes of e-ers and asso!iates. #u!h!ards a -e used for identifi!ation.

253 ?A -rief $rofessional announ!eent !ard stating new or !hanged asso!iations oraddresses, !hange of fir nae, or siilar atters $ertaining to the $rofessional offi!e of a lawer orlaw fir, whi!h a -e ailed to lawers, !lients, forer !lients, $ersonal friends, and relati'es. 64=tshall not state -iogra$hi!al data e(!e$t to the e(tent reasona-l ne!essar to identif the lawer or toe($lain the !hange in his asso!iation, -ut it a state the iediate $ast $osition of the lawer. 6:=ta gi'e the naes and dates of $rede!essor firs in a !ontinuing line of su!!ession. =t shall not

state the nature of the $ra!ti!e e(!e$t as $eritted under D 5?10:.6623 ?A sign on or near the door of the offi!e and in the -uilding dire!tor identifing the law

offi!e. *he sign shall not state the nature of the $ra!ti!e, e(!e$t as $eritted under D 5?10:.243 ?A letterhead of a lawer identifing hi - nae and as a lawer, and gi'ing his

addresses, tele$hone nu-ers, the nae of his law fir, asso!iates and an inforation $erittedunder D 5?10:. A letterhead of a law fir a also gi'e the naes of e-ers and asso!iates,6/andnaes and dates relating to de!eased and retired e-ers.68A lawer a -e designated BOf%ounselE on a letterhead if he has a !ontinuing relationshi$ with a lawer or law fir, other than as a$artner or asso!iate. A lawer or law fir a -e designated as Beneral %ounselE or - siilar$rofessional referen!e on stationer of a !lient if he or the fir de'otes a su-stantial aount of$rofessional tie in the re$resentation of that !lient.69*he letterhead of a law fir a gi'e thenaes and dates of $rede!essor firs in a !ontinuing line of su!!ession.

2"3 ?A lawer in $ri'ate $ra!ti!e shall not $ra!ti!e under a trade nae, a nae that is isleading

as to the identit of the lawer or lawers $ra!ti!ing under su!h nae, or a fir nae !ontainingnaes other than those of one or ore of the lawers in the fir, e(!e$t that the nae of a$rofessional !or$oration or $rofessional asso!iation a !ontain BP.%.E or BP.A.E or siilar s-olsindi!ating the nature of the organi7ation, and if otherwise lawful a fir a use as, or !ontinue toin!lude in, its nae the nae or naes of one or ore de!eased or retired e-ers of the fir or ofa $rede!essor fir in a !ontinuing line of su!!ession. /0A lawer who assues a


20/93

or $rofessional !or$orations/unless the are in fa!t $artners./4

2D3 ?A $artnershi$ shall not -e fored or !ontinued -etween or aong lawers li!ensed indifferent


21/93

organi7ation.2d3 ?*he e-er or -enefi!iar to who the legal ser'i!es are furnished, and not su!h

organi7ation, is re!ogni7ed as the !lient of the lawer in the atter.2e3 ?An e-er or -enefi!iar who is entitled to ha'e legal ser'i!es furnished or $aid

for - the organi7ation a, if su!h e-er or -enefi!iar so desires, sele!t !ounsel other than thatfurnished, sele!ted or a$$ro'ed - the organi7ation for the $arti!ular atter in'ol'ed and the legal

ser'i!e $lan of su!h organi7ation $ro'ides a$$ro$riate relief for an e-er or -enefi!iar whoasserts a !lai that re$resentation - !ounsel furnished, sele!ted or a$$ro'ed would -e unethi!al,i$ro$er or inadequate under the !ir!ustan!es of the atter in'ol'ed and the $lan $ro'ides ana$$ro$riate $ro!edure for see)ing su!h relief.

2f3 ?*he lawer does not )now or ha'e !ause to )now that su!h organi7ation is in'iolation of a$$li!a-le laws, rules of !ourt and other legal requireents that go'ern its legal ser'i!eo$erations.

2g3 ?#u!h organi7ation has filed with the a$$ro$riate dis!i$linar authorit at leastannuall a re$ort with res$e!t to its legal ser'i!e $lan, if an, showing its ters, its s!hedule of-enefits, its su-s!ri$tion !harges, agreeents with !ounsel, and finan!ial results of its legal ser'i!ea!ti'ities or, if it has failed to do so, the lawer does not )now or ha'e !ase to )now of su!h failure.88

2&3 ?A lawer shall not a!!e$t e$loent when he )nows or it is o-'ious that the $erson whosee)s his ser'i!es does so as a result of !ondu!t $rohi-ited under this Dis!i$linar ule.

D 5?104 ?#uggestion of eed of Legal #er'i!es.89, 90

2A3 ?A lawer who has gi'en unsoli!ited ad'i!e to a laan that he should o-tain !ounsel orta)e legal a!tion shall not a!!e$t e$loent resulting fro that ad'i!e,91e(!e$t that

213 ?A lawer a a!!e$t e$loent - a !lose friend, relati'e, forer !lient 2if thead'i!e is gerane to the forer e$loent3, or one who the lawer reasona-l -elie'es to -e a!lient.95

253 ?A lawer a a!!e$t e$loent that results fro his $arti!i$ation in a!ti'itiesdesigned to edu!ate laen to re!ogni7e legal $ro-les, to a)e intelligent sele!tion of !ounsel, orto utili7e a'aila-le legal ser'i!es if su!h a!ti'ities are !ondu!ted or s$onsored - a qualified legalassistan!e organi7ation.9

23 ?A lawer who is re!oended, furnished or $aid - an of the offi!es or organi7ations

enuerated in D 5?102D3213 through 24394a re$resent a e-er or -enefi!iar thereof, to thee(tent and under the !onditions $res!ri-ed therein.

243 ?>ithout affe!ting his right to a!!e$t e$loent, a lawer a s$ea) $u-li!l or writefor $u-li!ation on legal to$i!s9:so long as he does not e$hasi7e his own $rofessional e($erien!e orre$utation and does not underta)e to gi'e indi'idual ad'i!e.

2:3 ?=f su!!ess in asserting rights or defenses of his !lient in litigation in the nature of a!lass a!tion is de$endent u$on the


22/93

2A3 ?A lawer shall not enter into an agreeent for, !harge, or !olle!t an illegal or !learle(!essi'e fee.100

2"3 ?A fee is !learl e(!essi'e when, after a re'iew of the fa!ts, a lawer of ordinar $ruden!ewould -e left with a definite and fir !on'i!tion that the fee is in e(!ess of a reasona-le fee. Fa!torsto -e !onsidered as guides in deterining the reasona-leness of a fee in!lude the following

213 ?*he tie and la-or required, the no'elt and diffi!ult of the questions in'ol'ed, and

the s)ill requisite to $erfor the legal ser'i!e $ro$erl.253 ?*he li)elihood, if a$$arent to the !lient, that the a!!e$tan!e of the $arti!ular

e$loent will $re!lude other e$loent - the lawer.23 ?*he fee !ustoaril !harged in the lo!alit for siilar legal ser'i!es.243 ?*he aount in'ol'ed and the results o-tained.2:3 ?*he tie liitations i$osed - the !lient or - the !ir!ustan!es.263 ?*he nature and length of the $rofessional relationshi$ with the !lient.2/3 ?*he e($erien!e, re$utation, and a-ilit of the lawer or lawers $erforing the

ser'i!es.283 ?>hether the fee is fi(ed or !ontingent.101

2%3 ?A lawer shall not enter into an arrangeent for, !harge, or !olle!t a !ontingent fee forre$resenting a defendant in a !riinal !ase.105

D 5?10/ ?Di'ision of Fees Aong Lawers.

2A3 ?A lawer shall not di'ide a fee for legal ser'i!es with another lawer who is not a $artner inor asso!iate of his law fir or law offi!e, unless

213 ?*he !lient !onsents to e$loent of the other lawer after a full dis!losure that adi'ision of fees will -e ade.

253 ?*he di'ision is ade in $ro$ortion to the ser'i!es $erfored and res$onsi-ilitassued - ea!h.10

23 ?*he total fee of the lawers does not !learl e(!eed reasona-le !o$ensation for alllegal ser'i!es the rendered the !lient.104

2"3 ?*his Dis!i$linar ule does not $rohi-it $aent to a forer $artner or asso!iate $ursuantto a se$aration or retireent agreeent.

D 5?108 ?Agreeents estri!ting the Pra!ti!e of a Lawer.

2A3 ?A lawer shall not -e a $art to or $arti!i$ate in a $artnershi$ or e$loent agreeentwith another lawer that restri!ts the right of a lawer to $ra!ti!e law after the terination of arelationshi$ !reated - the agreeent, e(!e$t as a !ondition to $aent of retireent -enefits.10:

2"3 ?N=n !onne!tion with the settleent of a !ontro'ers or suit, a lawer shall not enter into anagreeent that restri!ts his right to $ra!ti!e law.

D 5?109 ?A!!e$tan!e of &$loent.

2A3 ?A lawer shall not a!!e$t e$loent on -ehalf of a $erson if he )nows or it is o-'iousthat su!h $erson wishes to

213 ?"ring a legal a!tion, !ondu!t a defense, or assert a $osition in litigation, or otherwiseha'e ste$s ta)en for hi, erel for the $ur$ose of harassing or ali!iousl in


23/93


24/93

stiulated - the o!!asional e($osure of shsters.E %heatha, A3aila0ilit% o+ L")al S"#3ic"2 Th" R"$oni0ilit% o+ th"In!i3i!&al La%"# an! o+ th" O#)anioint Con+"#"nc", 44 A.".A.J. 11:9, 1516 219:83.

:. BA lawer a with $ro$riet write arti!les for $u-li!ations in whi!h he gi'es inforation u$on the law . . . .E A"A%AO#OFPOF#=OAL&*H=%#, %AO40 219083.

6. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO58 219083./. *his question !an assue !onstitutional diensions B>e eet at the outset the !ontention that soli!itation; is wholl

outside the area of freedos $rote!ted - the First Aendent. *o this !ontention there are two answers. *he first is that a#tate !annot fore!lose the e(er!ise of !onstitutional rights - ere la-els. *he se!ond is that a-stra!t dis!ussion is not the onls$e!ies of !ouni!ation whi!h the %onstitution $rote!ts the First Aendent also $rote!ts 'igorous ad'o!a!, !ertainl oflawful ends, against go'ernental intrusion . . . .

. . . .BHowe'er 'alid a -e irginia;s interest in regulating the traditionall illegal $ra!ti!e of -arratr, aintenan!e and

!ha$ert, that interest does not


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19. C+.A"A %AO#OFPOF#=OAL&*H=%#, %AO 2 19083 andABA O$inion1: 2196:3.50. C+.ABA O$inion58 219:03 and 81 21953.51. S"" ABA O$inion16 2196/3.55. B*he word asso!iates; has a 'ariet of eanings. Prin!i$all through !usto the word when used on the letterheads of

law firs has !oe to -e regarded as des!ri-ing those who are e$loees of the fir. "e!ause the word has a!quired thiss$e!ial signifi!an!e in !onne!tion with the $ra!ti!e of the law the use of the word to des!ri-e lawer relationshi$s other thane$loer?e$loee is li)el to -e isleading.E =n re #ussan and *anner, 541 Ore. 546, 548, 40: P.5d ::, :6 2196:3.

A!!ording toABA O$inion10 21963, use of the ter Basso!iatesE would -e isleading in two situations 2 = 3 where twolawers are $artners and the share -oth res$onsi-ilit and lia-ilit for the $artnershi$ and 253 where two lawers $ra!ti!ese$aratel, sharing no res$onsi-ilit or lia-ilit, and onl share a suite of offi!es and soe !osts.

5. BFor a long tie, an lawers ha'e, of ne!essit, liited their $ra!ti!e to !ertain -ran!hes of law. *he in!reasing!o$le(it of the law and the deand of the $u-li! for ore e($ertness on the $art of the lawer has, in the $ast few earsI

$arti!ularl in the last ten earsI-rought a-out s$e!iali7ation on an in!reasing s!ale.E R"$o#t o+ th" S$"cial Co**itt"" onS$"ciali


26/93

ultiatel doinate us.E #ith,L")al S"#3ic" O++ic" +o# P"#on o+ Mo!"#at" M"an, 1949 >=#. L &. 416, 418 219493.40. BLawers ha'e $e!uliar res$onsi-ilities for the e are of the o$inion that it is not $rofessionall i$ro$er for a lawer to a!!e$t e$loent to !o$el another lawer to

honor the


27/93

:6. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO44 219083.B= will !arefull !onsider, -efore ta)ing a !ase, whether it a$$ears that = !an full re$resent the !lient within the fraewor)

of law. =f the de!ision is in the affirati'e then it will ta)e e(tree !ir!ustan!es to !ause e to de!ide later that = !annot sore$resent hi.E *hode, Th" Ethical Stan!a#! +o# th" A!3ocat", 9 *&A#L. &. :/:, :95 219613 2fro BA Pro$er Oath forAd'o!atesE3.

:/. ABA O$inion14 2l96:3 held that a lawer should not disasso!iate hiself fro a !ause when Bit is o-'ious that the'er a!t of disasso!iation would ha'e the effe!t of 'iolating Canon -8.E

:8. A"A %AO44 enuerates instan!es in whi!h B . . . the lawer a -e warranted in withdrawing on due noti!e to the!lient, allowing hi tie to e$lo another lawer.E

:9. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO44 2 19083.60. Aended, Fe-ruar 19/:, House =nforational e$ort o. 110.61. Aended, August 19/8, House =nforational e$ort o. 10.65. I!.6. Aended, Fe-ruar 19/6, House =nforational e$ort o. 100.64. S"" ABA O$inion01 219613.6:. BC=t has -e!oe !oon$la!e for an lawers to $arti!i$ate in go'ernent ser'i!e to den the the right, u$on

their return to $ri'ate $ra!ti!e, to refer to their $rior e$loent in a -rief and dignified anner, would $la!e an undueliitation u$on a large eleent of our $rofession. =t is entirel $ro$er for a e-er of the $rofession to e($lain his a-sen!efro $ri'ate $ra!ti!e, where su!h is the $riar $ur$ose of the announ!eent, - a -rief and dignified referen!e to the $riore$loent.

B. . . CAn su!h announ!eent should -e liited to the iediate $ast !onne!tion of the lawer with the go'ernent,ade u$on his lea'ing that $osition to enter $ri'ate $ra!ti!e.EABA O$inion01 219613.

66. S"" ABA O$inion5:1 21943.6/. B*hose lawers who are wor)ing for an indi'idual lawer or a law fir a -e designated on the letterhead and in

other a$$ro$riate $la!es as asso!iates.; EABA O$inion10 21963.68. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO 219083.69. B&t "" ABA O$inion58: 219:13./0. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO 219083 c+. ABA O$inion18 2196/3, 56/ 2194:3, 519 219413, 508

219403. 195 21993, 9/ 2193, and 6 2195:3./1. ABA O$inion18 2196/3 held, Banthing to the !ontrar in Foral O$inion 1: or in the other o$inions !ited

notwithstanding that >here a $artner whose nae a$$ears in the nae of a law fir is ele!ted or a$$ointed to high lo!al,state or federal offi!e, whi!h offi!e he intends to o!!u$ onl te$oraril, at the end of whi!h tie he intends to return to his

$osition with the fir, and $ro'ided that he is not $re!luded - holding su!h offi!e fro engaging in the $ra!ti!e of law anddoes not in fa!t se'er his relationshi$ with the fir -ut onl ta)es a lea'e of a-sen!e, and $ro'ided that there is no lo!al law,statute or !usto to the !ontrar, his nae a -e retained in the fir nae during his ter or ters of offi!e, -ut onl if

$ro$er $re!autions are ta)en not to islead the $u-li! as to his degree of $arti!i$ation in the fir;s affairs.; EC+. ABA O$inion14 219:3, ew Kor) %ount O$inion 6/, and ew Kor) %it O$inions 6 and /98 0&t c+. ABA O$inion

195 21993 and +i!higan O$inion 164./5. C+.A"A %AO#OFPOF#=OAL&*H=%#, %AO 219083./. Aended, Fe-ruar 19/9, House =nforational e$ort o. 15./4. S"" ABA O$inion5// 219483 c+.A"A %AO#OFPOF#=OAL&*H=%#, %AO 219083 andABA O$inion18 2196/3,

156 219:3, 11: 21943, 106 21943, and 18 219//3./:. S"" ABA O$inion18 2196/3 and 16 2196/3 c+.A"A %AO#OFPOF#=OAL&*H=%#, %AO 219083./6. D 5?1052&3 was deleted and D 5?1052F3 was redesignated as D 5?1052&3 in Fe-ruar 1980, House =nforational

e$ort o. 10/.//. C+.A"A %AO#OFPOF#=OAL&*H=%#, %AO58 219083./8. B>e thin) it !lear that a lawer;s see)ing e$loent in an ordinar law offi!e, or a$$ointent to a !i'il ser'i!e

$osition, is not $rohi-ited - . . . C%anon 5/.EABA O$inion19/ 21993./9. BCA lawer a not see) fro $ersons not his !lients the o$$ortunit to $erfor . . . a Clegal !he!)?u$.E ABA

O$inion0/ 219653.80. C+. ABA O$inion/8 21953.81. Bo finan!ial !onne!tion of an )ind -etween the "rotherhood and an lawer is $erissi-le. o lawer !an $ro$erl

$a an aount whatsoe'er to the "rotherhood or an of its de$artents, offi!ers or e-ers as !o$ensation,rei-urseent of e($enses or gratuit in !onne!tion with the $ro!ureent of a !ase.;E =n re "rotherhood of . . *rainen,1 =11. 5d 91, 98, 1:0 . &. 5d 16, 16/ 219:83, ?&ot"! in=n re atner, 194 Gan. 65, /5, 99 P.5d 86:, 8/ 2196:3.

S"" ABA O$inion14/ 219:3.85. Aended, Fe-ruar 19/:, House =nforational e$ort o. 110.8. B*his %ourt has !ondened the $ra!ti!e of a-ulan!e !hasing through the edia of runners and touters. =n siilar

fashion we ha'e with equal e$hasis !ondened the $ra!ti!e of dire!t soli!itation - a lawer. >e ha'e !lassified -othoffenses as serious -rea!hes of the %anons of &thi!s deanding se'ere treatent of the offending lawer.E #tate '. Dawson,111 #o. 5d 45/, 41 2Fla. 19:93.

84. Begistrants Cof a lawer referral $lan a -e required to !ontri-ute to the e($ense of o$erating it - a reasona-leregistration !harge or - a reasona-le $er!entage of fees !olle!ted - the.EABA O$inion591 219:63.

C+. ABA O$inion55/ 219413.8:. Aended, Fe-ruar 19/:, House =nforational e$ort o. 110.86. C+. ABA O$inion148 219:3.8/. @nited +ine >or)ers '. =ll. #tate "ar Ass;n, 89 @.#. 51/, 19 L. &d. 5d 456, 88 #. %t. : 2196/3 "rotherhood of

.. *rainen '. irginia, /1 @.#. 1, 15 L. &d. 5d 89, 84 #. %t. 111 219643 AA%P '. "utton, /1 @.#. 41:, 9 L. &d. 5d40:, 8 #. %t. 58 21963. Also"" ABA O$inion5 219/3 and 219/3.

88. Aended, Fe-ruar 19/:, House =nforational e$ort o. 110.


28/93

89. B=f a -ar asso!iation has e-ar)ed on a $rogra of institutional ad'ertising for an annual legal !he!)?u$ and $ro'ides-ro!hures and re$rints, it is not i$ro$er to ha'e these a'aila-le in the lawer;s offi!e for $ersons to read and ta)e.EABAO$inion0/ 219653.

C+. ABA O$inion151 21943.90. A"A %AO#OFPOF#=OAL&*H=%#, %AO58 219083.91. C+. ABA O$inion559 219413 and 1/ 219/3.95. B=t !ertainl is not i$ro$er for a lawer to ad'ise his regular !lients of new statutes, !ourt de!isions, and

adinistrati'e rulings, whi!h a affe!t the !lient;s interests, $ro'ided the !ouni!ation is stri!tl liited to su!hinforation . . . .

B>hen su!h !ouni!ations go to !on!erns or indi'iduals other than regular !lients of the lawer, the are thinldisguised ad'ertiseents for $rofessional e$loent, and are o-'iousl i$ro$er.EABA O$inion51 219413.

B=t is our o$inion that where the lawer has no reason to -elie'e that he has -een su$$lanted - another lawer, it is notonl his right, -ut it ight e'en -e his dut to ad'ise his !lient of an !hange of fa!t or law whi!h ight defeat the !lient;stestaentar $ur$ose as e($ressed in the will.

BPeriodi! noti!es ight -e sent to the !lient for who a lawer has drawn a will, suggesting that it ight -e wise for the!lient to ree(aine his will to deterine whether or not there has -een an !hange in his si tuation requiring a odifi!ation ofhis will.EABA O$inion510 219413.

C+.A"A %AO#OFPOF#=OAL&*H=%#, %AO58 219083.9. Aended, +ar!h 19/4, House =nforational e$ort o. 15/.94. Aended, Fe-ruar 19/:, House =nforational e$ort o. 110.9:. C+. ABA O$inion168 219/3.96. B&t c+. ABA O$inion111 21943.9/. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO4: 219083 c+.A"A %AO#OFPOF#=OAL&*H=%#, %AO#4, and 46

219083.98. *his $ro'ision is in!luded to !onfor to a!tion ta)en - the A"A House of Delegates at the +id?>inter +eeting,

Januar, 1969.99. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO15 219083.100. *he !harging of a B!learl e(!essi'e feeE is a ground for dis!i$line. #tate e( rel. e-ras)a #tate "ar Ass;n '. i!hards,

16: e-. 80, 90, 84 .>.5d 16, 14 219:/3.BAn attorne has the right to !ontra!t for an fee he !hooses so long as it is not e(!essi'e 2see O$inion 1903, and this

%oittee is not !on!erned with the aount of su!h fees unless so e(!essi'e as to !onstitute a isa$$ro$riation of the !lient;sfunds 2see O$inion 5/3.EABA O$inion50 219683.

C+. ABA O$inion509 219403, 190 21993, and 5/ 21903 and #tate e( rel. Lee '. "u!hanan, 191 #o. 5d 2Fla. 19663.101. C+. A"A %AO# OF POF#=OAL &*H=%#, %AO1 219083 "" )"n"#all% +A%G=O, %O*=&* F& FO L&AL

#&=% 2A e$ort of the Aeri!an "ar Foundation3.105. B%ontingent fees, whether in !i'il or !riinal !ases, are a s$e!ial !on!ern of the law . . . .B=n !riinal !ases, the rule is stri!ter -e!ause of the danger of !orru$ting


29/93

CANON *

A La!er S"o#l$ Assist

In Pre0entin% t"e .na#t"ori5e$

Practice of La!


&% ?1 *he $rohi-ition against the $ra!ti!e of law - a laan is grounded in the need of the$u-li! for integrit and !o$eten!e of those who underta)e to render legal ser'i!es. "e!ause of thefidu!iar and $ersonal !hara!ter of the lawer?!lient relationshi$ and the inherentl !o$le( natureof our legal sste, the $u-li! !an -etter -e assured of the requisite res$onsi-ilit and !o$eten!e ifthe $ra!ti!e of law is !onfined to those who are su-


30/93

of the legal $rofession is to a)e edu!ated legal re$resentation a'aila-le to the $u-li! -ut anonewho does not wish to a'ail hiself of su!h re$resentation is not required to do so. &'en so, the legal$rofession should hel$ e-ers of the $u-li! to re!ogni7e legal $ro-les and to understand wh ita -e unwise for the to a!t for thesel'es in atters ha'ing legal !onsequen!es.

EC *(2 #in!e a lawer should not aid or en!ourage a laan to $ra!ti!e law, he should not

$ra!ti!e law in asso!iation with a laan or otherwise share legal fees with a laan.4

*his does notean, howe'er, that the $e!uniar 'alue of the interest of a de!eased lawer in his fir or $ra!ti!ea not -e $aid to his estate or s$e!ified $ersons su!h as his widow or heirs.:=n li)e anner, $rofit?sharing retireent $lans of a lawer or law fir whi!h in!lude non?lawer offi!e e$loees are noti$ro$er.6*hese liited e(!e$tions to the rule against sharing legal fees with laen are $erissi-lesin!e the do not aid or en!ourage laen to $ra!ti!e law.

EC *(3 egulation of the $ra!ti!e of law is a!!o$lished $rin!i$all - the res$e!ti'e states./

Authorit to engage in the $ra!ti!e of law !onferred in an


31/93

th" In!i3i!&al La%"# an! o+ th" O#)anihere the $aents are ade in a!!ordan!e with a $re?e(isting agreeent entered into - the de!eased $artnerduring his lifetie and $ro'iding for a fi(ed ethod for deterining their aount -ased u$on the 'alue of ser'i!es renderedduring the $artner;s lifetie and $ro'iding for a fi(ed $eriod o'er whi!h the $aents are to -e ade, this is not the !ase.@nder these !ir!ustan!es, whether the $aents are !onsidered to -e delaed $aent of !o$ensation earned -ut withheldduring the $artner;s lifetie, or whether the are !onsidered to -e an a$$ro(iation of his interest in atters $ending at thetie of his death, is iaterial. =n either e'ent, as Henr #. Drin)er sas in his -oo), L &AL&*H=%#, at $age 189 =t wouldsee, howe'er, that a reasona-le agreeent to $a the estate a $ro$ortion of the re!ei$ts for a reasona-le $eriod is a $ro$er

$ra!ti!al settleent for the lawer;s ser'i!es to his retireent or death.; EABA O$inion08 21963.6. C+. ABA O$inion11 219643./. B*hat the #tates ha'e -road $ower to regulate the $ra!ti!e of law is, of !ourse, -eond question.E @nited +ine

>or)ers '. =ll. #tate "ar Ass;n, 89 @.#. 51/, 555 2196/3.B=t is a atter of law, not of ethi!s, as to where an indi'idual a $ra!ti!e law. &a!h state has its own rules.EABA O$inion

16 2196/3.8. B+u!h of !lients; -usiness !rosses state lines. Peo$le are o-ile, o'ing fro state to state. +an etro$olitan areas

!ross state lines. =t is !oon toda to ha'e a single e!onoi! and so!ial !ounit in'ol'ing ore than one state. *he-usiness of a single !lient a in'ol'e legal $ro-les in se'eral states.EABA O$inion16 2196/3.

9. BC>e reaffired the general $rin!i$le that legal ser'i!es to ew Jerse residents with res$e!t to ew Jerse attersa ordinaril -e furnished onl - ew Jerse !ounsel -ut we $ointed out that there a -e ultistate transa!tions wherestri!t adheren!e to this thesis would not -e in the $u-li! interest and that, under the !ir!ustan!es, it would ha'e -een not onlore !ostl to the !lient -ut also grossl i$ra!ti!al and ineffi!ient; to ha'e had the settleent negotiations !ondu!ted -se$arate lawers fro different states.E =n re &state of >aring, 4/ .J. 6/, /6, 551 A.5d 19, 19/ 219663.

C+. ABA O$inion16 2196/3.10. %ondu!t $eritted - Dis!i$linar ules of %anons 5 and : does not 'iolate D ?101.11. S""A"A %AO#OFPOF#=OAL&*H=%#, %AO4/ 219083.15. =t should -e noted, howe'er, that a lawer a engage in !ondu!t, otherwise $rohi-ited - this Dis!i$linar ule,

where su!h !ondu!t is authori7ed - $ree$ti'e federal legislation. S"" #$err '. Florida, / @.#. /9, 10 L. &d. 5d 458, 8#. %t. 155 21963.

1. S""A"A %AO#OFPOF#=OAL&*H=%#, %AO4 219083 andABA O$inion16 2196/3, 180 21983, and 48 21913.B*he re!ei'ing attorne shall not under an guise or for share his fee for legal ser'i!es with a la agen!, $ersonal or

!or$orate, without $re


32/93


33/93

CANON +

A La!er S"o#l$ Preser0e

t"e Confi$ences an$ Secrets

of a Client


&% 4?1 "oth the fidu!iar relationshi$ e(isting -etween lawer and !lient and the $ro$erfun!tioning of the legal sste require the $reser'ation - the lawer of !onfiden!es and se!rets ofone who has e$loed or sought to e$lo hi. 1A !lient ust feel free to dis!uss whate'er hewishes with his lawer and a lawer ust -e equall free to o-tain inforation -eond that'olunteered - his !lient.5A lawer should -e full infored of all the fa!ts of the atter he ishandling in order for his !lient to o-tain the full ad'antage of our legal sste. =t is for the lawer inthe e(er!ise of his inde$endent $rofessional


34/93

%are should -e e(er!ised - a lawer to $re'ent the dis!losure of the !onfiden!es and se!rets of one!lient to another,/and no e$loent should -e a!!e$ted that ight require su!h dis!losure.

EC +(- *he o-ligation of a lawer to $reser'e the !onfiden!es and se!rets of his !lient !ontinuesafter the terination of his e$loent.8*hus a lawer should not atte$t to sell a law $ra!ti!e as agoing -usiness -e!ause, aong other reasons, to do so would in'ol'e the dis!losure of !onfiden!es

and se!rets.9

A lawer should also $ro'ide for the $rote!tion of the !onfiden!es and se!rets of his!lient following the terination of the $ra!ti!e of the lawer, whether terination is due to death,disa-ilit, or retireent. For e(a$le, a lawer ight $ro'ide for the $ersonal $a$ers of the !lient to-e returned to hi and for the $a$ers of the lawer to -e deli'ered to another lawer or to -edestroed. =n deterining the ethod of dis$osition, the instru!tions and wishes of the !lient should-e a doinant !onsideration.

DISCIPLINARY R.LES

D 4?101 ?Preser'ation of %onfiden!es and #e!rets of a %lient.10

2A3 ?E%onfiden!eE refers to inforation $rote!ted - the attorne?!lient $ri'ilege undera$$li!a-le law, and Bse!retE refers to other inforation gained in the $rofessional relationshi$ that the!lient has requested -e held in'iolate or the dis!losure of whi!h would -e e-arrassing or would -eli)el to -e detriental to the !lient.

2"3 ?&(!e$t when $eritted under D 4?1012%3, a lawer shall not )nowingl213 ?e'eal a !onfiden!e or se!ret of his !lient.11

253 ?@se a !onfiden!e or se!ret of his !lient to the disad'antage of the !lient.23 ?@se a !onfiden!e or se!ret of his !lient for the ad'antage of hiself15 or of a third

$erson,1unless the !lient !onsents after full dis!losure.2%3 ?A lawer a re'eal

213 ?%onfiden!es or se!rets with the !onsent of the !lient or !lients affe!ted, -ut onl after afull dis!losure to the.14

253 ?%onfiden!es or se!rets when $eritted under Dis!i$linar ules or required - law or

!ourt order.1:

23 ?*he intention of his !lient to !oit a !rie16and the inforation ne!essar to $re'entthe !rie.1/

243 ?%onfiden!es or se!rets ne!essar to esta-lish or !olle!t his fee18or to defend hiself orhis e$loees or asso!iates against an a!!usation of wrongful !ondu!t.19

2D3 ?A lawer shall e(er!ise reasona-le !are to $re'ent his e$loees, asso!iates, and otherswhose ser'i!es are utili7ed - hi fro dis!losing or using !onfiden!es or se!rets of a !lient, e(!e$tthat a lawer a re'eal the inforation allowed - D 4?1012%3 through an e$loee.

NOTES

1. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO#6 and / 219083 andABA O$inion58/ 219:3.B*he reason underling the rule with res$e!t to !onfidential !ouni!ations -etween attorne and !lient is well stated in

+&%H&+OA&%K, 5d &d., ol. 5, 559/, as follows *he $ur$oses and ne!essities of the relation -etween a !lient and hisattorne require, in an !ases, on the $art of the !lient, the fullest and freest dis!losures to the attorne of the !lient;s o-


35/93

C+. ABA O$inion14 2196:3, 5/4 219463 and 568 2194:3.5. B>hile it is the great $ur$ose of law to as!ertain the truth, there is the !ounter'ailing ne!essit of insuring the right of

e'er $erson to freel and full !onfer and !onfide in one ha'ing )nowledge of the law, and s)illed in its $ra!ti!e, in order thatthe forer a ha'e adequate ad'i!e and a $ro$er defense. *his assistan!e !an -e ade safel and readil a'aila-le onl whenthe !lient is free fro the !onsequen!es of a$$rehension of dis!losure - reason of the su-sequent stateents of the s)illedlawer.E "aird '. Goeer, 5/9 F.5d 65, 659?0 29th %ir. 19603.

C+. ABA O$inion1:0 21963.. B>here . . . Ca !lient )nowingl and after full dis!losure $arti!i$ates in a Clegal fee finan!ing $lan whi!h requires the

furnishing of !ertain inforation to the -an), !learl - his !ondu!t he has wai'ed an $ri'ilege as to that inforation.EABAO$inion50 219683

4. B*he lawer ust de!ide when he ta)es a !ase whether it is a suita-le one for hi to underta)e and after this de!isionis ade, he is not est 19653. irtuall the sae $ro'ision is found in the Oregon statutes. O &. &. #*A*#. !h. 99.4602:3.

B%ouni!ation -etween lawer and !lient are $ri'ileged 2> =+O&O&=D&%&, d &d., ol. 8,5590?5593. *he odetheor underling the $ri'ilege is su-


36/93

S"" ABA O$inion1:6 21963.16. ABA O$inion14 2196:3 indi!ates that a lawer ust dis!lose e'en the !onfiden!es of his !lients if Bthe fa!ts in the

attorne;s $ossession indi!ate -eond reasona-le dou-t that a !rie will -e !oitted.ES"" ABA O$inion1:: 21963.1/. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO/ 219083 andABA O$inion219403.18. C+. ABA O$inion5:0 2194319. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO/ 219083 andABA O$inion505 219403 and 19 21903.BC*he ad


37/93

CANON ,

A La!er S"o#l$ E6ercise

In$e&en$ent Professional 7#$%ment

on Be"alf of a Client


&% :?1 *he $rofessional


38/93

EC ,( *he $ossi-ilit of an ad'erse effe!t u$on the e(er!ise of free


39/93

organi7ation of e$loees, he should -e 'igilant to safeguard his fidelit as a lawer to his e$loer,free fro outside influen!es.

2nterests of Multiple Clients

EC ,(1+ +aintaining the inde$enden!e of $rofessional


40/93

EC ,8)4 A lawer is often as)ed to ser'e as an i$artial ar-itrator or ediator in atters whi!hin'ol'e $resent or forer !lients. He a ser'e in either !a$a!it if he first dis!loses su!h $resent orforer relationshi$s. After a lawer has underta)en to a!t as an i$artial ar-itrator or ediator, heshould not thereafter re$resent in the dis$ute an of the $arties in'ol'ed.

Desires of Third Persons

EC ,()1 *he o-ligation of a lawer to e(er!ise $rofessional hen the =nterests of the Lawer +a =$air His =nde$endentProfessional Judgent.


41/93

2A3 ?&(!e$t with the !onsent of his !lient after full dis!losure, a lawer shall not a!!e$te$loent if the e(er!ise of his $rofessional itness.0

2A3 ?=f, after underta)ing e$loent in !onte$lated or $ending litigation, a lawer learns or itis o-'ious that he or a lawer in his fir ought to -e !alled as a witness on -ehalf of his !lient, heshall withdraw fro the !ondu!t of the trial and his fir, if an, shall not !ontinue the re$resentation

in the trial, e(!e$t that he a !ontinue the re$resentation and he or a lawer in his fir a testifin the !ir!ustan!es enuerated in D :?1012"3 213 through 243.2"3 ?=f, after underta)ing e$loent in !onte$lated or $ending litigation, a lawer learns or it

is o-'ious that he or a lawer in his fir a -e !alled as a witness other than on -ehalf of his !lient,he a !ontinue the re$resentation until it is a$$arent that his testion is or a -e $re


42/93

2%3 ?=n the situations !o'ered - D :?10:2A3 and 2"3, a lawer a re$resent ulti$le !lientsif it is o-'ious that he !an adequatel re$resent the interest of ea!h and if ea!h !onsents to there$resentation after full dis!losure of the $ossi-le effe!t of su!h re$resentation on the e(er!ise of hisinde$endent $rofessional hen a !lient engages the ser'i!es of a lawer in a gi'en $ie!e of -usiness he is entitled to feel that, until that -usiness isfinall dis$osed of in soe anner, he has the undi'ided loalt of the one u$on who he loo)s as his ad'o!ate and!ha$ion. =f, as in this !ase, he is sued and his hoe atta!hed - his own attorne, who is re$resenting hi in another atter,all feeling of loalt is ne!essaril destroed, and the $rofession is e($osed to the !harge that it is interested onl in one.Erie'an!e %o. '. attner, 1:5 %onn. :9, 6:, 50 A.5d 85, 84 219643.

BOne of the !ardinal $rin!i$les !onfronting e'er attorne in the re$resentation of a !lient is the requireent of !o$leteloalt and ser'i!e in good faith to the -est of his a-ilit. =n a !riinal !ase the !lient is entitled to a fair trail, -ut not a $erfe!tone. *hese are fundaental requireents of due $ro!ess under the Fourteenth Aendent . . . . *he sae $rin!i$les are

a$$li!a-le in #i(th Aendent !ases 2not $ertinent herein3 and suggest that an attorne should ha'e no !onfli!t of interest andthat he ust de'ote his full and faithful efforts toward the defense of his !lient.E Johns '. #th, 1/6 F. #u$$. 949, 9:5 2&.D.a. 19:93, *o!i+i"!, @nited #tates e( rel. >il)ins '. "aniller, 50: F. #u$$. 15, 158 n.: 2&.D. Pa. 19653, a++!45: F.5d :142d %ir. 1963, c"#t. !"ni"!, /9 @.#. 84/, 1 L. &d. 5d :1, 8: #.%t. 8/ 219643.

5. BAttornes ust not allow their $ri'ate interests to !onfli!t with those of their !lients . . . . *he owe their entirede'otion to the interests of their !lient.E @nited #tates '. Anonous, 51: F. #u$$. 111, 11 2&.D. *enn. 1963.

BC*he !ourt C-elow !on!luded that a fir a not a!!e$t an a!tion against a $erson who the are $resentlre$resenting e'en though there is no relationshi$ -etween the two !ases. =n arri'ing at this !on!lusion, the !ourt !ites ano$inion of the %oittee on Professional &thi!s of the ew Kor) %ount Lawers; Asso!iation whi!h stated in $art >hileunder the !ir!ustan!es . . . there a -e no a!tual !onfli!t of interest . . . Baintenan!e of $u-li! !onfiden!e in the "arrequires an attorne who has a!!e$ted re$resentation of a !lient to de!line, while re$resenting su!h !lient, an e$loentfro an ad'erse $art in an atter e'en though wholl unrelated to the original retainer.E S""uestion and Answer o. :0,

.K. %ount L. Ass;n, uestion and Answer o. 4:0 2June 51, 19:63.; E rie'an!e %o. '. attner, 1:5 %onn. :9, 6:, 50A.5d 85, 84 219643.


43/93

. B%ourts of equit will s!rutini7e with here a fidu!iar relation e(ists, the

-urden of $roof is on the grantee of -enefi!iar of an instruent e(e!uted during the e(isten!e of su!h relationshi$ to show thefairness of the transa!tion, that it was equita-le and .5d 16, 146 219:/3.:. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO9219083.6. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO10219083./. S"" +OD&L%OD&OFPOF#=OALPO#="=L=*K, &% 5?50.8. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO45 219083.9. BR&l" -a. . . . A e-er of the #tate "ar shall not dire!tl or indire!tl $a or agree to $a, or re$resent or san!tion

the re$resentation that he will $a, edi!al hos$ital or nursing -ills or other $ersonal e($enses in!urred - or for a !lient,$ros$e!ti'e or e(isting $ro'ided this rule shall not $rohi-it a e-er

B213 with the !onsent of the !lient, fro $aing or agreeing to $a to third $ersons su!h e($enses fro funds !olle!ted or to-e !olle!ted for the !lient or

253 after he has -een e$loed, fro lending one to his !lient u$on the !lient;s $roise in writing to re$a su!h loan or23 fro ad'an!ing the !osts of $rose!uting or defending a !lai or a!tion. #u!h !osts within the eaning of this

su-$aragra$h 23 in!lude all ta(a-le !osts or dis-urseents, !osts of in'estigation and !osts of o-taining and $resentinge'iden!e.E %AL. "@#=#ADPOF#=O#%OD&60/6 2>est #u$$. 196/3.

10. B>hen a lawer )nows, $rior to trial, that he will -e a ne!essar witness, e(!e$t as to erel foral atters su!h asidentifi!ation or !ustod of a do!uent or the li)e, neither he nor his fir or asso!iates should !ondu!t the trial. =f, during thetrial, he dis!o'ers that the ends of is. 64:, 649, 11 .>. 1/, 19 218813.B&t ""A"A %AO# OF POF#=OAL&*H=%#, %AO19 219083 B&(!e$t when essential to the ends of e thin) that su!h a desire onthe $art of an a!!used should -e res$e!ted. =rres$e!ti'e of an !onfli!t of interest, the additional -urden of re$resenting another


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$art a !on!ei'a-l i$air !ounsel;s effe!ti'eness.B*o deterine the $re!ise degree of $ree intiate no 'iew onewa or the other as to the erits of those de!isions with res$e!t to the $arti!ular arrangeents against whi!h the are dire!ted.=t is enough that the su$erfi!ial rese-lan!e in for -etween those arrangeents and that at -ar !annot o-s!ure the 'ital fa!tthat here the entire arrangeent e$los !onstitutionall $ri'ileged eans of e($ression to se!ure !onstitutionall guaranteed!i'il rights.E AA%P '. "utton, /1 @.#. 41:, 441?45, 9 L. &d. 5d 40:, 45?54, 8 #. %t. 58, 45?4 21963.

56. C+. A"A %AO#OFPOF#=OAL&*H=%#, %AO8 219083.5/. B%ertainl it is true that the $rofessional relationshi$ -etween an attorne and his !lient is highl $ersonal, in'ol'ing

an intiate a$$re!iation of ea!h indi'idual !lient;s $arti!ular $ro-le.; And this %oittee does not !ondone $ra!ti!es whi!hinterfere with that relationshi$. Howe'er, the ere fa!t the lawer is a!tuall $aid - soe entit other than the !lient does notaffe!t that relationshi$, so long as the lawer is sele!ted - and is dire!tl res$onsi-le to the !lient. #ee =nforal O$inions 469and 6/9. Of !ourse, as the latter de!ision $oints out, there ust -e full dis!losure of the arrangeent - the attorne to the!lient . . . .EABA O$inion50 219683.

BCA third $art a $a the !ost of legal ser'i!es as long as !ontrol reains in the !lient and the res$onsi-ilit of thelawer is solel to the !lient. =nforal O$inions 469 ad Cic 6/9. S"" aloO$inion 5/.EI!.

58. ABA O$inion0 219613 re!ogni7ed that BCstatutor $ro'isions now e(ist in se'eral states whi!h are designed toa)e Cthe $ra!ti!e of law in a for that will -e !lassified as a !or$oration for federal in!oe ta( $ur$ose legall $ossi-le,either as a result of lawers in!or$orating or foring asso!iations with 'arious !or$orate !hara!teristi!s.E

59. %f. A"A %AO#OFPOF#=OAL&*H=%#, %AO6 219083 andABA O$inion 181 21983, 104 21943, 10 2193, /521953, :0 21913, 49 21913, and 21913.

Bew Kor) %ount CO$inion 50 . . . . CA lawer should not ad'ise a !lient to e$lo an in'estent !o$an in whi!h heis interested, without inforing hi of this.E D=G&, L&AL&*H=%#9:6 219:3.

B=n O$inion /5 and 49 this %oittee held *he relations of $artners in a law fir are su!h that neither the fir nor ane-er or asso!iate thereof, a a!!e$t an $rofessional e$loent whi!h an e-er of the fir !annot $ro$erl a!!e$t.

B=n O$inion 16 this %oittee held that a e-er of a law fir !ould not re$resent a defendant in a !riinal !ase whilewas -eing $rose!uted - another e-er of the fir who was $u-li! $rose!uting attorne. *he O$inion stated that it was!learl unethi!al for one e-er of the fir to o$$ose the interest of the state whi!h another e-er re$resented thoseinterests . . . . #in!e the $rose!utor hiself !ould not re$resent -oth the $u-li! and the defendant, no e-er of his law fir!ould either.EABA O$inion596 219:93.

0. C+. A"A %AO#OFPOF#=OAL&*H=%#, %AO19 219083 andABA O$inion550 219413, 18: 21983, :0 21913, and 21913 0&t c+.&rwin +. Jennings %o. '. Dieno'a, 10/ %onn. 491, 498?99, 141 A. 866, 868 219583.

1. *his CanonC19 o+ Ethicneeds no ela-oration to -e a$$lied to the fa!ts here. A$$arentl, the o-ard, 119 @tah 611, 650, 50 P.5d :/6, :80 219:13.

5. A"A %AO#OFPOF#=OAL&*H=%#, %AO10 219083 andABA O$inion5/9 219493, 546 219453, and 1/6 21983.. S"" +OD&L%OD&OFPOF#=OALPO#="=L=*K, D 5?1062%3.4. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO45 219083 c+.ABA O$inion588 219:43.:. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO6 219083 c+. ABA O$inion16/ 219/3, 60 21913, and 40 21913.6. Aended, +ar!h 19/4, House =nforational e$ort o. 15/./. ABA O$inion 54/ 219453 held that an attorne !ould not in'estigate a night !lu- shooting on -ehalf of one of the

owner;s lia-ilit insurers, o-taining the !oo$eration of the owner, and later re$resent the in


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dis!losure of the fa!ts,E sin!e to do so would -e to re$resent !onfli!ting interests.S"" ABA O$inion54/ 219453, 554 219413, 555 219413, 518 219413, 115 21943, 86 21953, and 8 21953.8. Aended, +ar!h 19/4, House =nforation e$ort o. 15/.9. C+. ABA O$inion51 219413 and 160 21963.40. Aended, +ar!h 19/4, House =nforational e$ort o. 15/.41. C+. ABA O$inion5: 219413.45. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO8 219083.BA lawer who re!ei'es a !oission 2whether delaed or not3 fro a title insuran!e !o$an or guarant fund for

re!oending or selling the insuran!e to his !lient, or for wor) done for the !lient or the !o$an, without either fulldis!losing to the !lient his finan!ial interest in the transa!tion, or !rediting the !lient;s -ill with the aount thus re!ei'ed, isguilt of unethi!al !ondu!t.EABA O$inion 04 219653.

4. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO: 219083 c+. ABA O$inion5/ 219413.B>hen the la forwarder, as agent for the !reditor, forwards a !lai to an attorne, the dire!t relationshi$ of attorne and

!lient shall then e(ist -etween the attorne and the !reditor, and the forwarder shall not inter$ose itself as an interediar to!ontrol the a!ti'ities of the attorne.EABA O$inion594 219:83.

44. BPeranent -enefi!ial and 'oting rights in the organi7ation set u$ to $ra!ti!e law, whate'er its for, ust -e restri!tedto lawers while the organi7ation is engaged in the $ra!ti!e of law.EABA O$inion0 219613.

4:. BCanon --. . . $roulgates underling $rin!i$les that ust -e o-ser'ed no atter in what for of organi7ationlawers $ra!ti!e law. =ts requireent that no $erson shall -e aditted or held out as a $ra!titioner or e-er who is not ae-er of the legal $rofession dul authori7ed to $ra!ti!e, and aena-le to $rofessional dis!i$line, a)es it !lear that an!entrali7ed anageent ust -e in lawers to a'oid a 'iolation of this %anon.EABA O$inion0 219613.

46. B*here is no inter'ention of an la agen! -etween lawer and !lient when !entrali7ed anageent $ro'ided onl -lawers a gi'e guidan!e or dire!tion to the ser'i!es -eing rendered - a lawer?e-er of the organi7ation to a !lient. *helanguage in Canon -6that a lawer should a'oid all relations whi!h dire!t the $erforan!e of his duties - or in the interest ofan interediar refers to la interediaries and not lawer interediaries with who he is asso!iated in the $ra!ti!e of law.EABA O$inion0 219613.


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CANON -

A La!er S"o#l$ Re&resent

a Client Com&etentl


&% 6?1 "e!ause of his 'ital role in the legal $ro!ess, a lawer should a!t with !o$eten!e and$ro$er !are in re$resenting !lients. He should stri'e to -e!oe and reain $rofi!ient in his $ra!ti!e1

and should a!!e$t e$loent onl in atters whi!h he is or intends to -e!oe !o$etent to handle.

EC -() A lawer is aided in attaining and aintaining his !o$eten!e - )ee$ing a-reast of!urrent legal literature and de'elo$ents, $arti!i$ating in !ontinuing legal edu!ation $rogras,5

!on!entrating in $arti!ular areas of the law, and - utili7ing other a'aila-le eans. He has theadditional ethi!al o-ligation to assist in i$ro'ing the legal $rofession, and he a do so -$arti!i$ating in -ar a!ti'ities intended to ad'an!e the qualit and standards of e-ers of the

$rofession. Of $arti!ular i$ortan!e is the !areful training of his ounger asso!iates and the gi'ing ofsound guidan!e to all lawers who !onsult hi. =n short, a lawer should stri'e at all le'els to aid thelegal $rofession in ad'an!ing the highest $ossi-le standards of integrit and !o$eten!e and to eetthose standards hiself.

EC -(* >hile the li!ensing of a lawer is e'iden!e that he has et the standards then $re'ailingfor adission to the -ar, a lawer generall should not a!!e$t e$loent in an area of the law inwhi!h he is not qualified.Howe'er, he a a!!e$t su!h e$loent if in good faith he e($e!ts to-e!oe qualified through stud and in'estigation, as long as su!h $re$aration would not result inunreasona-le dela or e($ense to his !lient. Pro$er $re$aration and re$resentation a require theasso!iation - the lawer of $rofessionals in other dis!i$lines. A lawer offered e$loent in aatter in whi!h he is not and does not e($e!t to -e!oe so qualified should either de!line thee$loent or, with the !onsent of his !lient, a!!e$t the e$loent and asso!iate a lawer who is

!o$etent in the atter.EC -(+ Ha'ing underta)en re$resentation, a lawer should use $ro$er !are to safeguard theinterests of his !lient. =f a lawer has a!!e$ted e$loent in a atter -eond his !o$eten!e -ut inwhi!h he e($e!ted to -e!oe !o$etent, he should diligentl underta)e the wor) and studne!essar to qualif hiself. =n addition to -eing qualified to handle a $arti!ular atter, hiso-ligation to his !lient requires hi to $re$are adequatel for and gi'e a$$ro$riate attention to hislegal wor).

EC -(, A lawer should ha'e $ride in his $rofessional endea'ors. His o-ligation to a!t!o$etentl !alls for higher oti'ation than that arising fro fear of !i'il lia-ilit or dis!i$linar$enalt.

EC -(- A lawer should not see), - !ontra!t or other eans, to liit his indi'idual lia-ilit to

his !lient for his al$ra!ti!e. A lawer who handles the affairs of his !lient $ro$erl has no need toatte$t to liit his lia-ilit for his $rofessional a!ti'ities and one who does not handle the affairs ofhis !lient $ro$erl should not -e $eritted to do so. A lawer who is a sto!)holder in or is asso!iatedwith a $rofessional legal !or$oration a, howe'er, liit his lia-ilit for al$ra!ti!e of his asso!iatesin the !or$oration, -ut onl to the e(tent $eritted - law.4

DISCIPLINARY R.LES

D 6?101 ?Failing to A!t %o$etentl.

2A3 ?A lawer shall not213 ?Handle a legal atter whi!h he )nows or should )now that he is not !o$etent to


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handle, without asso!iating with hi a lawer who is !o$etent to handle it.253 ?Handle a legal atter without $re$aration adequate in the !ir!ustan!es.23 ?egle!t a legal atter entrusted to hi.:

D 6?105 ?Liiting Lia-ilit to %lient.

2A3 ?A lawer shall not atte$t to e(onerate hiself fro or liit his lia-ilit to his !lient for

his $ersonal al$ra!ti!e.

NOTES

1. BC>hen a !iti7en is fa!ed with the need for a lawer, he wants, and is entitled to, the -est infored !ounsel he !ano-tain. %hanging ties $rodu!e !hanges in our laws and legal $ro!edures. *he natural !o$le(ities of law require !ontinuingintensi'e stud - a lawer if he is to render his !lients a a(iu of effi!ient ser'i!e. And, in so doing, he aintains the highstandards of the legal $rofession and he also in!reases res$e!t and !onfiden!e - the general $u-li!.E o!helle Q Pane, Th"St#&))l" o+ P&0lic Un!"#tan!in), 5: *&A#".J. 109, 160 219653.

B>e ha'e undergone enorous !hanges in the last fift ears within the li'es of ost of the adults li'ing toda who a -esee)ing ad'i!e. +ost of these !hanges ha'e -een a!!o$anied - !hanges and de'elo$ents in the law . . . . &'er $ra!ti!inglawer en!ounters these $ro-les and is often $er$le(ed with his own ina-ilit to )ee$ u$, not onl with !hanges in the law,

-ut also with !hanges in the li'es of his !lients and their legal $ro-les.B*o -e sure, no !lient has a right to e($e!t that his lawer will ha'e all of the answers at the end of his tongue or e'en in the

-a!) of his head at all ties. "ut the !lient does ha'e the right to e($e!t that the lawer will ha'e de'oted his tie and

energies to aintaining and i$ro'ing his !o$eten!e to )now where to loo) for the answers to )now how to deal with the$ro-les, and to )now how to ad'ise to the -est of his legal talents and a-ilities.E Le' Q #$rague,Acco&ntin) an! La2 ID&al P#actic" in th" P&0lic Int"#"t, :5 A.".A.J. 1110, 1115 219663.

5. B*he whole $ur$ose of !ontinuing legal edu!ation, so enthusiasti!all su$$orted - the A"A, is to a)e it $ossi-le forlawers to a)e thesel'es -etter lawers. "ut there are no nostrus for $rofi!ien! in the law it ust !oe through the hardwor) of the lawer hiself. *o the e(tent that wor), whether it -e in attending institutes or le!ture !ourses, in studing afterhours or in the a!tual da in and da out $ra!ti!e of his $rofession, !an -e !on!entrated within a liited field, the greater the

$rofi!ien! and e($ertness that !an de'elo$ed.ER"$o#t o+ th" S$"cial Co**itt"" on S$"ciali


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CANON

A La!er S"o#l$ Re&resent

a Client 9ealo#sl :it"in t"e

Bo#n$s of t"e La!


&% /?1 *he dut of a lawer, -oth to his !lient1and to the legal sste, is to re$resent his !lient7ealousl5 within the -ounds of the law, whi!h in!ludes Dis!i$linar ules and enfor!ea-le$rofessional regulations.4*he $rofessional res$onsi-ilit of a lawer deri'es fro his e-ershi$ ina $rofession whi!h has the dut of assisting e-ers of the $u-li! to se!ure and $rote!t a'aila-lelegal rights and -enefits. =n our go'ernent of laws and not of en, ea!h e-er of our so!iet isentitled to ha'e his !ondu!t


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e(isting oti'e, intent, or desire o-'iousl, he a not do anthing furthering the !reation or$reser'ation of false e'iden!e. =n an !ases a lawer a not -e !ertain as to the state of ind ofhis !lient, and in those situations he should resol'e reasona-le dou-ts in fa'or of his !lient.

EC ( =n !ertain areas of legal re$resentation not affe!ting the erits of the !ause orsu-stantiall $re


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is to see) ith res$e!t to e'iden!e and witnesses,

the $rose!utor has res$onsi-ilities different fro those of a lawer in $ri'ate $ra!ti!e the $rose!utorshould a)e tiel dis!losure to the defense of a'aila-le e'iden!e, )nown to hi, that tends tonegate the guilt of the a!!used, itigate the degree of the offense, or redu!e the $unishent. Further,a $rose!utor should not intentionall a'oid $ursuit of e'iden!e erel -e!ause he -elie'es it willdaage the $rose!utor;s !ase or aid the a!!used.

EC (1+ A go'ernent lawer who has dis!retionar $ower relati'e to litigation should refrainfro instituting or !ontinuing litigation that is o-'iousl unfair. A go'ernent lawer not ha'ingsu!h dis!retionar $ower who -elie'es there is la!) of erit in a !ontro'ers su-itted to hi shouldso ad'ise his su$eriors and re!oend the a'oidan!e of unfair litigation. A go'ernent lawer in a!i'il a!tion or adinistrati'e $ro!eeding has the res$onsi-ilit to see)


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gi'e ad'i!e to the $erson who is atte$ting to re$resent hiself,0e(!e$t that he a ad'ise hi too-tain a lawer.

Duty of the +awyer to the Ad.ersary ,ystem of 3ustice

EC (13 Our legal sste $ro'ides for the ad


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should -e diligent in his efforts to guard against his unintentional 'iolation of the. 41As e(a$les, alawer should su-s!ri-e to or 'erif onl those $leadings that he -elie'es are in !o$lian!e witha$$li!a-le law and rules a lawer should not a)e an $refator stateent -efore a tri-unal inregard to the $ur$orted fa!ts of the !ase on trial unless he -elie'es that his stateent will -esu$$orted - adissi-le e'iden!e a lawer should not as) a witness a question solel for the $ur$oseof harassing or e-arrassing hi and a lawer should not - su-terfuge $ut -efore a


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EC (*+ *he i$artialit of a $u-li! ser'ant in our legal sste a -e i$aired - the re!ei$t ofgifts or loans. A lawer,:6therefore, is ne'er


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2"3 ?=n his re$resentation of a !lient, a lawer a213 ?>here $erissi-le, e(er!ise his $rofessional


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2"3 ?=n $resenting a atter to a tri-unal, a lawer shall dis!lose/9

213 ?Legal authorit in the !ontrolling


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2/3 ?At the tie of sei7ure, a des!ri$tion of the $hsi!al e'iden!e sei7ed, other than a!onfession, adission, or stateent.

283 ?*he nature, su-stan!e, or te(t of the !harge.293 ?uotations fro or referen!es to $u-li! re!ords of the !ourt in the !ase.2103?*he s!heduling or result of an ste$ in the


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253 ?A lawer who is not !onne!ted therewith shall not !ouni!ate with or !ause anotherto !ouni!ate with a


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. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO#1: and 5 219083.A"A %anon :, although onl s$ea)ing of one a!!used of !rie, i$oses a siilar o-ligation on the lawer BC*he lawer

is -ound, - all fair and honora-le eans, to $resent e'er defense that the law of the land $erits, to the end that no $ersona -e de$ri'ed of life or li-ert, -ut - due $ro!ess of law.

BAn $ersuasion of $ressure on the ad'o!ate whi!h deters hi fro $lanning and !arring out the litigation on the -asis ofwhat, within the fraewor) of the law, is -est for !lient;s interestT; interferes with the o-ligation to re$resent the !lientfull within the law.

B*his o-ligation, in its fullest sense, is the heart of the ad'ersar $ro!ess. &a!h attorne, as an ad'o!ate, a!ts for and see)sthat whi!h in his


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Stan!a#! +o# th" A!3ocat", 9 *&A#L. &. :/:, :/8?/9 219613.B*he an who has -een !alled into !ourt to answer for his own a!tions is entitled to fair hearing. Partisan ad'o!a! $las

its essential $art in su!h a hearing, and the lawer $leading his !lient;s !ase a $ro$erl $resent it in the ost fa'ora-le light.A siilar resolution of dou-ts in one dire!tion -e!oes ina$$ro$riate when the lawer a!ts as !ounselor. *he reasons that

oint Con+"#"nc", 44 A.".A.J. 11:9, 1161 219:83.

50. B+ suation of Judge #harswood;s 'iew of the ad'o!ate;s dut to the !lient is that he owes to the !lient the dut to


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use all legal eans in su$$ort of the !lient;s !ase. Howe'er, at the sae tie Judge #harswood re!ogni7ed that anad'o!ates would find this o-ligation un-eara-le if a$$li!a-le without e(!e$tion. *herefore, the indi'idual lawer is gi'en the!hoi!e of re$resenting his !lient full within the -ounds set - the law or of telling his !lient that he !annot do so, so that the!lient a o-tain another attorne if he wishes.E *hode, Th" Ethical Stan!a#! o+ th" A!3ocat" , 9 *&A#L. &. :/:, :85219613.

C+.+OD&L%OD&OFPOF#=OALPO#="=L=*K, D 5?1102%3.51. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO54 219083.55. *hode, Th" Ethical Stan!a#! +o# th" A!3ocat" , 9 *&A#L. &. :/:, :95 219613.5. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO: 219083 and "erger '. @nited #tates, 59: @.#. /8, /9 L. &d. 114, ::

#. %t. 659 219:3.B*he $u-li! $rose!utor !annot ta)e as a guide for the !ondu!t of his offi!e the standards of an attorne a$$earing on -ehalf

of an indi'idual !lient. *he freedo elsewhere wisel granted to a $artisan ad'o!ate ust -e se'erel !urtailed if the$rose!tor;s duties are to -e $ro$erl dis!harged. *he $u-li! $rose!utor ust re!all that he o!!u$ies a dual role, -eing o-ligated,on the one hand, to furnish that ad'ersar eleent essential to the infored de!ision of an !ontro'ers, -ut -eing $ossessed,on the other, of i$ortant go'ernental $owers that are $ledged to the a!!o$lishent of one o-oint Con+"#"nc", 44 A.".A.J. 11:9, 1516 219:83.6. B>e are of the o$inion that the letter in question was i$ro$er, and that in writing and sending it res$ondent was guilt

of un$rofessional !ondu!t. *his !ourt has heretofore e($ressed its disa$$ro'al of using threats of !riinal $rose!ution as aeans of for!ing settleent of !i'il !lais . . . .

Bes$ondent has -een guilt of a 'iolation of a $rin!i$le whi!h !ondens an !onfusion of threats of !riinal $rose!utionwith the enfor!eent of the !i'il !lais. For this is!ondu!t he should -e se'erel !ensured.E +atter of elan, 50 A$$.Di'. :54, :5/, .K.#. 416, 419 21903.

/. BAn attorne has the dut to $rote!t the interests of his !lient. He has a right to $ress legitiate arguent and to $rotestan erroneous ruling.E allagher '. +uni!$al %ourt, 1 %al. 5d /84, /96, 195 P.5d 90:, 91 219483.

B*here ust -e $rote!tion, howe'er, in the far ore frequent !ase of the attorne who stands on his rights and !o-ats theorder in good faith and without disres$e!t -elie'ing with good !ause that it is 'oid, for it is here that the inde$enden!e of the

-ar -e!oes 'alua-le.E ote, 9 %OL@+. L. &. 4, 48 21993.8. B*oo an do not understand that a!!o$lishent of the laan;s a-stra!t ideas of


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40. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO1: 219083.B*he traditional dut of an ad'o!ate is that he honora-l u$hold the !ontentions of his !lient. He should not 'oluntaril

underine the.E Harders '. #tate of %alifornia, / F.5d 89, 845 29th %ir. 196/3.41. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO55 219083.45. I!. c+. A"A %AO#OFPOF#=OAL&*H=%#, %AO41 219083.4. S"" )"n"#all%ABA O$inion58/ 219:3 as to a lawer;s dut when he un)nowingl $arti!i$ates in introdu!ing $er.5d 4/4,4/4?/: 2G. 19:13.

4:. S"" A"A %AO#OFPOF#=OAL&*H=%#, %AO: 219083 c+. ABA O$inion11 219:3.46. C+. A"A %AO#OFPOF#=OAL&*H=%#, %AO9 219083.4/. B*he $re'alen!e of $ere ha'e alwas held that the atos$hereessential to the $reser'ation of a fair trialIthe ost fundaental of all freedosIust -e aintained at all !osts.E &stes '.#tate of *e(as, 81 @.#. :5, :40, 14 L. &d. 5d :4, :49, 8: #. %t. 1658, 161?5 2196:3, #"h"a#in) !"ni"!, 85 @.#. 8/:, 1:L. &d. 5d 118, 86 #. %t. 18 2196:3.

:. BPretrial !an !reate a a


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. . . .B. . . *he test in e'er !ase should -e =s the de!ision whi!h o$$osing !ounsel has o'erloo)ed one whi!h the !ourt should

!learl !onsider in de!iding the !aseT >ould a reasona-le


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CANON 2

A La!er S"o#l$ Assist in

Im&ro0in% t"e Le%al Sstem


&% 8?1 %hanges in huan affairs and i$erfe!tions in huan institutions a)e ne!essar!onstant efforts to aintain and i$ro'e our legal sste. 1*his sste should fun!tion in a annerthat !oands $u-li! res$e!t and fosters the use of legal reedies to a!hie'e redress of grie'an!es." reason of edu!ation and e($erien!e, lawers are es$e!iall qualified to re!ogni7e defi!ien!ies inthe legal sste and to initiate !orre!ti'e easures therein. *hus the should $arti!i$ate in $ro$osingand su$$orting legislation and $rogras to i$ro'e the sste,5 without regard to the generalinterests or desires of !lients or forer !lients.

EC 2() ules of law are defi!ient if the are not


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$u-li! !onfiden!e in our legal sste.10 %riti!iss oti'ated - reasons other than a desire toi$ro'e the legal sste are not here !hange ust -e thrust fro without u$on an unwilling"ar, the $u-li!;s least flattering $i!ture of the lawer sees !onfired. *he lawer !on!erned for the standing of his $rofessionwill, therefore, interest hiself a!ti'el in the i$ro'eent of the law. =n doing so he will not onl hel$ to aintain !onfiden!e


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in the "ar, -ut will ha'e the satisfa!tion of eeting a res$onsi-ilit inhering in the nature of his !alling.E P#o+"ionalR"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. = :9, 151/ 219:83.

. S"" #taton, C&* Hono# O++ici&*, 19 *&".J. /6#, /66 219:63 P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >ointCon+"#"nc"444 A.".A.J. 11:9, 1165 219:83 and Paul, Th" La%"# a a Ta A!3i"#, 5: O%GK+*. L. &. 415, 4?4 219:3.

4. B*here are few great figures in the histor of the "ar who ha'e not !on!erned thesel'es with the refor andi$ro'eent of the law. *he s$e!ial o-ligation of the $rofession with res$e!t to legal refor rests on !onsiderations tooo-'ious to require enueration. %ertainl it is the lawer who has -oth the -est !han!e to )now when the law is wor)ing -adland the s$e!ial !o$eten!e to $ut it in order.EP#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9,151/ 219:83.

:. BR&

ABA Model Rules RE Professional Conduct

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