I. Before Having an Issue with These Rules There Must Be an Atty/Client Relationship. A

ETHICS ***make sure to note whether the l will be subject to discipline – if it’s a discretionary rule then the answer is no

I. Before having an issue with these rules there must be an atty/client relationship. A relationship may be identified by the following: 1. Is there a fee agreement? 2. Is there a retainer or agreement to represent? 3. Did the person come to you seeking legal advice?

 Elements of atty/client relationship: 1. competence 4. fiduciary (relationship & responsibil.) 2. confidentiality 5. loyalty 3. agency (atty is agent of client) 6. duty to inform & advise client

 3 types of rules: prohibitory, regulatory, & aspirational

II. CLIENT-LAWYER RELATIONSHIP

 Rule 1.1 - Competence Lawyer must provide competent representation Competent representation requires legal knowledge, skill, thoroughness, and preparation

 Rule 1.2 – Scope of Representation (a) lawyer shall abide by client’s decision concerning objectives about representation and shall consult with client on the means by which they are pursued. Lawyer shall abide by client’s decision whether to accept an offer of settlement and in crim cases must abide …. As to a plea to be entered, whether to waive jury trial, and whether the client will testify (c) lawyer may limit the objectives of representation if client consents after consultation (d) lawyer shall not counsel a client to engage or assist client in conduct that the lawyer knows is crim or fraud. BUT the lawyer may discuss legal consequences of any purposed conduct and assist client in making a good faith effort to determine validity, scope, meaning, or application of law. (e) lawyer knows that client expects assistance not permitted by Rules of Professional Conduct or other law, lawyer shall consult with client regarding relevant limitations on the lawyer’s conduct

 Rule 1.3 – Diligence Lawyer shall act with reasonable diligence and promptness in representing a client (NO procrastination)  Rule 1.4 – Communication (a) lawyer shall keep a client reasonable informed about the status of a matter and promptly comply with reasonable requests for information

(b) lawyer shall explain a matter to the extent reasonable necessary to permit the client to make informed decisions regarding the representation EXCEPTTION – do not have to inform client of offer is prior discussions with the client have left it clear that the proposal will be unacceptable

 Rule 1.5 – Fees (know by number) (a) fee shall be reasonable, factors to be considered in determining reasonableness (not exclusive)

(1) time and labor required, difficulty and novelty of questions, skill requisite to perform legal service (2) likelihood that employment will preclude other employment by the lawyer (3) fee customarily charged in the locality for similar services (4) amount involved and the results obtained (5) time limitation imposed by client or circumstances (6) nature and length of professional relationship (7) experience, reputation, and ability of lawyer rendering services (8) whether fee is fixed or contingent

(b) when lawyer has not regularly represented client, the basis of the fee shall be communicated to the client, preferably in writing within a reasonable time after commencing representation

(c) a fee may be contingent on the outcome, EXCEPT in which it is prohibited by paragraph d. Contingent shall be in writing and shall state by with the method by which the fee to be determined. Upon the conclusion of the contingent fee matter, the lawyer shall provide a written statement stating the outcome and if there is recovery, showing the remittance to the client and the method of its determination

(d) lawyer shall not enter into arrangement for, charge, or collect:

(1) no contingent fees for (domestic relations matter) alimony or support, or property settlement (2) no contingent fee for crim case

(e) a division of fee between lawyers who are not in the same firm may only be made if:

2 (1) division is in proportion to the services performed by the each lawyer, or by written agreement with the client, each lawyer assumes joint responsibility for representation (2) client doe not object to all of the lawyers being involved (3) total fee is reasonable

 Rule 1.6 – Confidentiality of Information (a) Cannot reveal any client information (says, does, or doctor) UNLESS they say it is ok  protects any info about client (broader than privilege – priv only covers communication between client and atty)

(b) EXCEPTIONS: Lawyer may reveal such info to the extent he reasonable believes is necessary: (1) prevent client from committing a crim act lawyer believes will result in imminent death or severe bodily harm (2) establish a claim on behalf of the lawyer in controversy between the lawyer and the client, establish a defense to a crim charge or civ charge against lawyer

~~see 1/23 for expert witness hypo~~

 Conflict rules – 1.7, 1.8, 1.9, 1.10 – you carry the conflicts wherever you go (different firms). Conflict rules are subject to disqualify. Sometimes conflicts can be waived.  Types of conflicts: 1. lawyer’s own interest are in conflict with client 2. client / client conflict 3. current client v. former client 4. advocate, witness rule (lawyer cannot be a witness and an advocate in a case absent certain circumstances) 5. special rules for lawyers who move from gov’t lawyers to private practice 6. positional conflicts (as to the actual legal issues) cannot be in opposition  3 questions for conflicts 1. is there actually a conflict??  if yes 2. can it be waived or consented to??  if client waives 3. can the lawyer reasonably believe they can represent??

 Rule 1.7 – General Conflict Rule – a lawyer can represent both sides if he is a mediary i.e. friendly divorce (a) lawyer shall not represent a client if the representation will be directly adverse (i.e. l who represents both sides may favor one party over another) to another client unless:

3 (1) l believes representation will not adversely affect relationship with other client (2) each client consents (informed consent – must lay out advantages and disadvantages)

(b) shall not represent client if the representation of that client may be materially limited by l’s responsibility to another client or own interest UNLESS (same exceptions as first) (1) lawyer reasonably believes representation will not be adversely affected (objective std) (2) consent – when representing multiple clients in a single matter, consultation must include explanation of common representation (esp. in crim cases because all d have different interests)

 Rule 1.8 – Conflict of Interest: Prohibited Transactions (BIG on MPRE) ** exception – if the business of client is the business you are seeking** (a) shall not enter into bus transaction with client or acquire ownership UNLESS (1) transaction must be fair and reasonable, fully disclosed, and transmitted in writing (client must reasonable understand) (2) client is given a reasonable opportunity to seek independent counsel (3) client must consent in writing

(b) shall not use info relating to representation to disadvantage of client unless client consents

(c) shall not prepare an instrument giving lawyer or relative of lawyer any subst’l gift from client EXCEPT where client is related to donee (family exception)

(d) prior to conclusion of representation of client, a lawyer shall not make or negotiate an agreement giving lawyer literary or media rights

(e) lawyer shall not provide financial assistance to a client in connection with pending litigation EXCEPT (1) may advance court costs and expenses of litigation, repayment may be contingent on outcome of matter (2) lawyer representing indigent client may pay court costs, litigation on behalf of client

(f) lawyer shall not accept client compensation for representing a client from 3rd party UNLESS (1) client consents (2) no interference with lawyer’s independence (3) info relating to representation of client protected **confidentiality is still between lawyer and client, not third party**

4 (g) lawyer representing two or more clients shall not participate in making aggregate settlement of claims ***must disclose settlement to all clients*** ****1.7 b can be used if not covered by 1.8****

(h) l shall not make an agreement limiting l’s liability to client for malpractice UNLESS permitted by law, advise person in writing

(i) lawyer related to another lawyer shall not represent a client in representation directly adverse to a person EXCEPT upon consent by client

(j) lawyer shall not require proprietary interest in c/a EXCEPT the lawyer may: (1) acquire a lien granted by law to secure lawyer’s fee (2) contract with a client for reasonable contingent fee in civil case

 Rule 1.9 – Conflict of Interest: Former Client ******a former client can always consent to conflict****** (a) lawyer cannot represent another person in the same or materially adverse to the interest of former client UNLESS client consents (look to see how close the issues are related)

(b) shall not knowingly represent a person in same or subst’ly related matter in which a firm with which lawyer formerly was associated had previously represented client (1) whose interests are materially adverse to that person and (2) about whom the lawyer had acquired info protected by 1.6 and 1.9c that is material to the matter unless former client consents after consultation

(c) l who formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not (1) use info relating to the representation to the disadvantage of the former client except as rule 1.6 or rule 3.3 would permit or require with respect to a client or when the indo has become generally known or (2) reveal info relating to the representation except as Rule 1.6 or 3.3 would permit or require with respect to a client

 Rule 1.10 – Imputed Disqualification: General Rule (a) while lawyers are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by Rules 1.7, 1.8 (c), or 2.2

(b) when a l has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a

5 client represented by the formerly associated lawyer and not currently represented by the firm UNLESS: (1) the matter is in the same or subst’ly related to that in which the formerly associated lawyer represented the client and (2) any l remaining in the firm has info protected by Rules 1.6 and 1.9(c) that is material to the matter (c) a disqualification prescribed by this rule may be waived by the affected client under the conditions states in Rule 1.7

 Rule 1.11 – Successive Gov’t & Private Employment

 Rule 1.12 – Judges and Law Clerks

~~see 1/28 (page 10) for hypo~~

 Rule 1.13 – Organization as Client Org can only speak through people (a) atty acts through organized constituents (b) if lawyer knows someone engaged in an act or refusal to act – may take measures to minimize disruption of the org: lawyer may (list of measures) (1) ask for reconsideration of the matter (2) advise a separate legal opinion (3) refer matter to a higher authority in a org (c) lawyer may resign in accordance with 1.16 (d) when dealing with org members lawyer must make sure he explains whose interest he represents (e) lawyer representing org may also represent any directors, members, officers, employers, and shareholders

 Rule 1.14 – Child Under Disability (i.e. child under 18) (a) when dealing with a client with a disability must have a normal client lawyer relationship to the extent it is possible (b) lawyer may seek appointment of a guardian when lawyer reasonably believes client cannot act in his own best interest *******l can act as a guardian de facto*******

 Rule 1.15 – Safekeeping Property (BIG on MPRE) Must keep your property and client’s property separately and lawyer must keep adequate records (this is a fiduciary duty rule). If something is in dispute then lawyer cannot go and pay themselves, must wait until dispute is over. Also if you borrow $$ from a client – the it is a business transaction go to 1.8 L shall keep records of such accounts and shall be preserved for a period of five years after termination of the representation

6  Rule 1.16 – Declining or Terminating Representation (a) l must withdraw if (1) representation will result in violation of rules (2) l physical or mental conditions impair representation (3) l is discharged

(b) l may withdraw or decline to represent if there is no material adverse effect on the client or if (1) client persists in cause of action involving lawyer’s services reasonably believes is crim or fraud (2) has used services to perpetrate a crime or fraud (3) client persists on pursuing repugnant or imprudent objective (4) client fails to fulfill obligation to lawyer regarding services(not paying or producing papers) (5) representation result in unreasonable financial burden or cannot represent other clients (6) other good cause

(c) when ordered to do so by the court (i.e. mid trial)

(d) when representation is terminated – l has a duty not to harm client i.e. notice to client, return $$, documents

********when declining must tell court why, but cannot say perjury – you say “prof consideration requires withdrawal”********

 Rule 1.17 – Sale of a Law Firm Requires the sale to a single purchaser (entirety) (cannot sell off clients). Clients must consent to new representation.  -sold in the entirety -written notice to each client: of proposed sale, terms of changes, clients right to retain new counsel, client must object within 90 days of recp’t of notice -fees shall not be increased with the sale

7 III. COUNSELOR

 Rule 2.1 – Advisor -Lawyer is an advisor (must exercise judgment and candidly advise) -Service is not limited to law; it may consist of moral, economic, social, and political factors

 Rule 2.2 – Intermediary (mediator) (relates back to 1.7) lots of family law (a) may act as intermediary, (1) consults with each client concerning implications of the common representation (2) lawyer reasonable believes that the matter can be resolved on terms with the clients best interests and (3) l reasonably believes that the common representation can be undertaken impartially and without proper effect on other responsibilities the lawyer has to any other clients

(b) shall consult with each client concerning decisions to be made and considerations relevant

(c) l shall withdraw as intermediary if the client so wishes or any conditions stated in a

********no priv to client in mediation*********

 Rule 2.3 – Evaluation for use by Third Persons Gives lawyer permission to hire 3rd party to evaluate (a) l may under take an evaluation of a matter affecting a client for the use of someone other than the client IF: (1) l reasonably believes that making the evaluation is compatible with other aspects of the lawyer’s relationship with the client and (2) the client consents after consultation

(b) EXCEPT as disclosure is required in connection with a report of an evaluation, information relating to the evaluation is other protected by 1.6

8 IV. ADVOCATE

 Rule 3.1 – Merritous Claims & Contentions L must not defend proceeding or assert claim UNLESS there is a basis for doing so that it is not frivolous and includes a good faith argument for extension, modification or reversal of existing law

 Rule 3.2 – Expediting Litigation L shall make reasonable effects to expedite litigation consistent with interests of client

 Rule 3.3 – Candor Toward Tribunal (most important rule) these rules trump atty/client confidentially – exception to confidentially (a) l shall not (1) make false stmt to the court (can fail to answer questions but not lie, must tell judge you cannot answer (2) fail to disclose material fact when disclose is necessary to avoid assisting a crim or fraud act by client (3) if a lawyer finds a case or info – must tell court (4) offer evidence that is false

(b) duties in (a) extend to conclusion of proceeding

(c) may refuse to offer evidence that lawyer believes is false

(d) ex parte proceedings (must reveal all info against your side) l must inform tribunal of all material facts known to l. which will enable tribunal to make an informed decision. Remedial measures (1) first try and convince client to tell truth – if refuse – (2) take remedial measure: inform judge, mistrial, etc…

 Rule 3.4 – Fairness to Opposing Party & Counsel (a) cannot unlawfully obstruct opposing counsel counsel’s access to evidence (b) cannot falsify evidence or induce witness to lie (c) cannot knowingly disobey an obligation under rules of court (d) cannot make frivolous discovery (e) (f) request a person other than client to refrain from voluntarily offering info UNLESS: (1) person is a relative, employee, or agent of the client and (2) l reasonably believes that the person’s interests will not be adversely affected by refraining from giving such info

9  Rule 3.5 – Impartiality & Decorum of Tribunal l shall not: (a) seek to influence a judge, juror, perspective juror by means prohibited by law; (b) communicate ex parte with such person EXCEPT as permitted by law; or (c) engage in conduct intended to disrupt a tribunal

 Rule 3.6 – Trial Publicity (a) l participating or who has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that a reasonable person would expect to disseminated by means of public communication if the l knows or should know that it will have a subst’l likelihood of materially prejudicing an adjudicative proceeding in the matter

(b) a l may state (1) claim, offense, defense and except when prohibited by law, the identity of the person involved (2) info contained in public record (3) that an investigation of a matter is in progress (4) the scheduling or result of any step in litigation (5) a request for assistance in obtaining evidence and info necessary thereto (6) a warning of danger concerning the behavior of a person involved, when there is reason to believe that there is exists the likelihood of substantial harm to an individual or to the public interest (7) in a criminal case - identity, residence, occupation, and family status of accused - if the accused has not been apprehended, info necessary to aid in apprehension of that person - the fact, time, and place of arrest - identity of investigating and arresting officer or agencies and length of investigation

(c) a lawyer may make a statement that a reasonable lawyer would believe is required to protect a client from the subst’l undue prejudicial effect of recent publicity not initiated by the lawyer or the lawyer’s client. Shall be limited to such info as necessary to mitigate the recent adverse publicity

(d) no l associated in a firm or gov’t agency with a l subject to paragraph a shall make a stmt prohibited in paragraph a

 Rule 3.7 – Lawyer as Witness (a) L shall not act as an advocate at trial in which he is likely to be a witness except where: (1) testimony relates to an unconditional issue; (2) testimony relates to a nature and value and services rendered in the case; (3) disqualification of the l would work subst’l hardship on the client

10 (b) l may act as advocate at trial in which the l’s firm is likely to be called at trial unless precluded from doing so in 1.7 or 1.9

 Rule 3.8 – Special Responsibilities of a Prosecutor

 Rule 3.9 – Advocate in Nonadjudcative Proceedings a l representing a client before a legislative or administrative tribunal in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provisions of 3.3(a) – (c), 3.4(a) – c and 3.5

11 V. TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS

 Rule 4.1 – Truthfulness in Statements to Others In the course of representing a client a l shall not knowingly (a) make a false stmt of material fact or law to a third person (b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by 1.6

 Rule 4.2 – Communication With A Person Represented by Counsel In representing a client l shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, UNLESS the lawyer has consent of the other lawyer or is authorized by law to do so

 Rule 4.3 – Dealing With an Unrepresented Person In dealing on behalf of a client with a person who is not represented by counsel, l shall not state or imply that the l is disinterested. When the l knows or reasonably should know that the unrepresented person misunderstands the l’s role in the matter, the l shall make reasonable efforts to correct the misunderstanding

 Rule 4.4 – Respect for Rights of Third Persons L shall not use means that have no subst’l purpose other than to embarrass, delay, or burden a third person

12 VI. LAW FIRMS & ASSOCIATIONS

 Rule 5.1 – Responsibilities of a Partner or Supervisory Lawyer (a) partner in a law firm shall make reasonable efforts to ensure that a firm has in effect measures giving reasonable assurance that all l in the firm conform to the rules of professional conduct (b) l having direct supervisory authority over another l shall make reasonable efforts to ensure that the other l conforms to the rules of prof. conduct (c) l shall be responsible for another l violation of the rules if: (1) if the l orders or with knowledge of the specific conduct ratifies the conduct involved (2) the l is a partner in the firm or has direct supervisory authority over the other l and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action

 Rule 5.2 – Responsibilities of a Subordinate Lawyer (a) l is bound by the rules of prof conduct notwithstanding that the l acted at the direction of another person ALWAYS IN THE HOOK (b) subordinate l does not violate the rules if the l acts in accordance with a supervisory l’s reasonable resolution of an arguable question of professional duty MAY BE LET OFF THE HOOK

 Rule 5.3 – Responsibilities Regarding Nonlawyer Assistants With respect to nonlawyer retained by or associated with a lawyer” (a) partner shall make reasonable effort to ensure that the firm has in effect measures giving reasonable assurance that the person’s conduct is compatible with the professional obligations of the l (b) a l having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person’s conduct is compatible with the professional obligations of the nonlawyer (c) l shall be responsible for conduct of such a person that it would be in violation of the rules if engaged in by the lawyer if” (1) l orders or with the knowledge of the specific conduct, ratifies the conduct involved (2) l is a partner in the firm in which the person is to be employed, or has supervisory authority over the person and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action

13  Rule 5.4 – Professional Independence of a Lawyer (a) A lawyer shall not share legal fees with a non lawyer EXCEPT that (1) an agreement by a l with the lawyer’s firm, partner or associate for the payment of $$ over a reasonable period of time after the l’s death to the l’s estate or to one or more specified persons (2) l who purchases a firm from a partner who is deceased, disabled, or disappeared l may (pursuant to 1.7) pay to the estate or other representative of that l (3) a l or firm may include nonlawyer employees in compensation or retirement plan

(b) a l shall not form a partnership with a nonlawyer if any of the activities of that partnership consist of the practice of law

(d) l shall not practice with or in the form of a professional corp. or assoc authorized to practice law for a profit, if: (1) nonlawyer owns any interest therein, EXCEPT that a fiduciary representative of the estate of a l may hold the stock or the interest of the l for a reasonable time during administration (2) nonlawyer is the corp. director or officer thereof (3) non-lawyer has the right to direct or control the professional judgment of the l

 Rule 5.5 – Unauthorized Practice of Law L shall not: (a) practice law in a jurisdiction where he is doing so violates the regulation of the legal profession in that jurisdiction

(b) assist a person who is not a member of the bar in the performance of activity that constitutes the unauthorized practice of the law

 Rule 5.6 – Restrictions on Right to Practice L shall not participate in offering or making (a) a partnership or employment agreement that restricts the right of l to practice after termination if the relationship EXCEPT an agreement concerning benefits upon retirement

(b) an agreement in which a restriction on the l right to practice is part of a settlement of a controversy between private parties

14  Rule 5.6 – Responsibilities Regarding Law-Related Services (a) l shall be subject to rules of professional conduct with respect to the provision of law related services as defined in paragraph b. if the law related services are provided: (1) by the l in circumstances that are not distinct from the l’s provision of legal serviced to clients (2)

(b) “ law related services” refers to services that might reasonably be performed on conjunction with and in substance are related to the provision of legal services, and that are not prohibited as unauthorized practice of law when provided by a non lawyer

15 VII. PUBLIC SERVICE

 Rule 6.1 – Voluntary Pro Bono L should aspire to render at least (50) hours of pro bono services per year. L should (a) provide a substantial majority of the 50 hours of legal services without out fee or expectation of fee to (1) persons of limited means (2) charitable, religious, civic or community, governmental and educational org’s in matters which are designed primarily to address the needs of persons of limited means and

(b) provide any additional services through: (1) delivery of legal services at no fee or subst’lly reduced fee (2) delivery of legal services at a subst’ly reduced fee to persons of limited means (3) participate in activities for improving the law, the legal system or the legal profession

In addition l should voluntarily contribute financial support to orgs that provide legal services to persons of limited means

 Rule 6.2 – Accepting Opportunities L shall not seek to avoid appointments by a tribunal to represent a person EXCEPT for good cause such as: (a) representing the client is likely to result in violation of the rules of professional conduct or other law

(b) representing the client is likely to result in an unreasonable financial burden on the l

(c) the client or the cause is so repugnant to the l as to be likely to impair the client-lawyer relationship or the l’s ability to represent the client

 Rule 6.3 – Membership in Legal Service Organization L may serve as a director, officer, or member of legal services org, apart from the law firm from which the l practices, notwithstanding that the org servers persons having interests adverse to a client of a l. L shall not knowingly participate in a decision or action of the org:

(a) if participating in the decision would be incompatible with the l’s obligations to a client under 1.7 (b) where the decision or action could have a materially adverse effect on representation of a client of the org whose interests are adverse to a client of the l

16  Rule 6.4 – Law Reform Activities Affecting Client Interests L may serve as a director, officer, or member in an org involved in the reform of law or its administration notwithstanding (despite) that the reform may affect the interests of a lien may be materially benefited by a decision in which the l participates, the l shall disclose the fact but need not identify the client

17 VIII.INFORMATION ABOUT LEGAL SERVICES (COMMUNICATIONS RULE; 1ST A.) Two categories: 1. traditional free speech, touches matter of public concern, i.e.: political speech) 2. commercial speech, conflict between professionalism and consumerism – lawyers can advertise but it cannot be misleading or deceptive

 Rule 7.1 – Communications Concerning A Lawyer’s Services (7.1, 7.2, 7.3 all work together L shall not make false or misleading communication about the l or the l’s services. A communication is false or misleading if:

a) Contains a material misrepresentation of fact or law or omits a fact necessary to make the stmt considered as a whole not materially misleading b) is likely to create an unjust expectation about results the l can achieve or states or implies that the lawyer can achieve results by means that violate the Rules c) compares the l’s services with other l’s services UNLESS the comparison is factually stated

 Rule 7.2 - Advertising A l can advertise through public media (subject to 7.1 & 7.3) b) a copy of the advertisement must be kept for two years along with a record of when and where it was used c) l shall not give anything of value to a person recommending the l’s services EXCEPT that a l may:

1) pay reasonable costs of advertisement or communications 2) pay usual charges for non profit l referral service 3) pay for a law practice in accordance with 1.17

d) any communication must include the name of at least one l responsible for its content

 Rule 7.3 – Direct Contact With Prospective Clients a) L shall not by in person or live telephone contact solicit professional employment from a prospective client with whom the l has no family or prior relationship when a significant motive is pecuniary gain (if not contacting for $$ the it is ok or if you already represent the person)

b) shall not solicit professional employment from a prospective client by written or recorded communications or by in person or live telephone call even when not prohibited by paragraph a, if: 1) the prospective client has made known to the l a desire not to be solicited by the l

18 2) solicitation involves coercion, duress or harassment

c) every written or recorded communication…shall include the words ADVERTISING MATERIAL on the outside envelope and at the beginning and ending of any recorded Communication

d) l may participate with a prepaid group legal service plan operated by an org. not owned or directed by the l

 Rule 7.4 – Communications of Fields of Practice A l may communicate the fact that the l does not practice in particular fields of law. A l shall not state or imply that the l is a specialist in a particular feels if law EXCEPT as follows a) l admitted to engage in patent practice before the US patent and trademark office may use the Patent Attorney or subst’lly similar designation

b) l engaged in admiralty practice may se the designation Admiralty or Proctor in Admiralty or sub. Similar designation

c) (fur jurisdictions where there is a regulatory authority granting certification or approving organizations that grant certifications) l may communicate the fact that l has been certified as a specialist, only if 1) such certification is granted by the appropriate regulatory authority 2) certification is granted by org that has not yet been approved by … and the absence is stated in the communication

d) for jurisdictions that have no procedure for certification or specialties; a l may communicate the fact that they are certified specialists, but clearly states that there is no procedure in this jurisdiction. BUT if it is accredited by the ABA to certify l as specialists in a particular field the communication need nor contain such stmt

 Rule 7.5 – Firm Names & Letterheads a) l shall not use a firm name, letterhead, or other professional designation that violates 7.1 Can use a trade name but cannot use a trade name associated with government

b) law firm in more than one jurisdiction may use the same name in each jurisdiction, but identification of l in an office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located

c) name of a l holding public office shall not be used in the name of a law firm or in communications on behalf during any subst’l period in which the l is not actively and regularly practicing with the firm

d) l may state or imply that they practice in a partnership or other org only when that is a fact

19  Rule 7.6 – Political Contributions to Obtain Gov’t Legal Engagements or Appointments by Judges Shall not give $$ to obtain gov’t employment

 general announcements are ok, as long as they are not false, deceptive or misleading. Not likely to be disciplined unless really egregious.

20 IX. MAINTAINING THE INTEGRITY OF THE PROFESSION

 Rule 8.1 – Bar Admission & Disciplinary Matters Applicant or l in connection with bar admission application with disciplinary matter, shall not: a) knowingly make a false statement b) fail to disclose or knowingly fail to respond EXCEPT that this rule does not require disclosure of info otherwise protected by 1.6 ***cannot resist a request for info, must disclose whatever questions are asked, can’t lie or misstate

 Rule 8.2 – Judicial & Legal Officials a) l shall not make a stmt that the l knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, officer, legal officer, or candidate for election b) l who is candidate for judicial office shall comply with the applicable provisions of the code of judicial conduct

 Rule 8.3 – Reporting Professional Misconduct Failure to report is a violation of the rule a) l that has knowledge that another l has committed a violation of the rules that raises a subst’l question as to that l’s honesty, trustworthiness or fitness as a l in other respects shall inform the appropriate professional authority

b) same goes for a judge

c) this rule does not require disclosure of info otherwise protected by rule 1.8 or info gained by a l or judge while serving as a member of an approved l’s assistance program to the extent that such info would be confidential of it were communicated subject to atty/client privilege

***l’s helping l’s comes under confidentiality, linked to 8.4 doesn’t just mean conduct as a l, when you learn about misconduct through client, must ask client if you can report it cuz it is protected by 1.6  analysis – then it must raise sub’s question about l. honesty, trustworthiness…

 Rule 8.4 – Misconduct It is professional misconduct for a l to: a) violate or attempt to violate the rules, knowingly assist or induce another to do so or through the acts of another b) commit a criminal act that reflects adversely on the l’ honesty, trustworthiness, fitness as a l, c) engage in conduct involving dishonesty, fraud, deceit, or misrepresentation

21 d) engage in conduct that is prejudicial to administration of justice e) state or imply an ability to influence improperly a gov’t agency or official f) knowingly assist a judge or official in conduct that is a violation of the rules or judicial conduct

******every time there is a violation of the rules you always have an 8.4 violation

 Rule 8.5 – Disciplinary Authority: Choice of Law a) Disciplinary Authority: l admitted to practice in other jurisdictions is subject to disciplinary authority in both places regardless of where conduct occurred, conduct that affects you in one place will affect you in another

b) Choice of Law: 1) ****first look to where conduct occurred, rules of that jurisdiction will apply even in the other jurisdiction you are a member of. Doesn’t apply in int’l jurisdiction