Legal Malpractice

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Legal Malpractice Legal Malpractice Professional Liability Claims, Litigation Strategies, and Attorney Disciplinary Procedures Friday, March 24, 2017 Friday, March 10, 2017 New York City | Live & Webcast Westchester | Live Program Friday, March 24, 2017 Friday, March 17, 2017 Albany | Live Program Rochester | Live Program Friday, March 31, 2017 Long Island | Live Program 4.0 MCLE Credits 3.0 Ethics | 1.0 Law Practice Management Interactive Video Conference Formats are approved for MCLE Credit for all attorneys, including newly admitted. www.nysba.org/LegalMalpractice2017Materials Sponsored by the Law Practice Management Committee, the Torts, Insurance & Compensation Law Section and the Trial Lawyers Section of the New York State Bar Association. This program is offered for educational purposes. The views and opinions of the faculty expressed during this program are those of the presenters and authors of the materials. Further, the statements made by the faculty during this program do not constitute legal advice. Copyright © 2017 All Rights Reserved New York State Bar Association Program Description Lawsuits against lawyers arising from errors and/or omissions in the performance of legal services are on the rise. It is now an integral part of a law firm’s business practice to evaluate its legal risk and malpractice insurance needs. This program is designed to educate attorneys on how to prosecute and/or defend a legal malpractice action. In addition, this program will educate attorneys about their legal malpractice exposures, what they should do in the event that a lawsuit is filed against them, and what they should do when situations arise that indicate that a legal malpractice claim is likely. Both solo practitioners and members of larger firms would benefit from knowing how to assess professional liability risk and manage legal malpractice litigation. This program will bring you up-to-date with important issues, such as how to: • Identify potential legal malpractice claims and avoid professional liability risk • Respond appropriately when you are aware of a situation that could reasonably lead to a legal malpractice claim, or when such a claim is made or threatened against you • Identify the main elements of a legal malpractice suit • Prosecute and defend a legal malpractice action through trial • Understand the Attorney Disciplinary Process • Interact with professional liability insurance companies Legal Malpractice 2017 Agenda 8:30 a.m. - 9:00 a.m. Registration 9:00 a.m. - 9:10 a.m. Welcome and Introduction 9:10 a.m. – 10:00 a.m. Legal Malpractice Causes of Action, Litigation Strategy and Ethics > Theories of Liability * Negligence * Breach of Fiduciary Duty * Statutory Liability * Violations of Disciplinary Rules and Ethical Considerations * Conflicts of Interest > Statute of Limitations * Claim Accrual * Continuous Representation Doctrine * Concealment and Discovery > Capacity to Sue and Standing * Privity * Ripeness and Mootness * Collateral Estoppel and Res Judicata * Release and Waiver > The Standard of Care * Negligence, Breach of Fiduciary Duty * Statutory Liability/Violations of Disciplinary Rules * Conflicts of Interest > The Burden of Proof * Causation * Expert Opinions * Damages > Trial Tactics and Motion Practice * Jury Selection * Evidentiary Issues * Expert Testimony * Jury Instructions (1.0 MCLE Credit in Ethics) 10:00 a.m. - 10:50 a.m. Sources of Legal Malpractice Claims & Ethical Considerations Panel Discussion with Professional Liability Industry Leaders >Typical Claim Scenarios * Conflicts of Interest * Failure to Investigate/Evaluate Claims or Defenses * Failure to Comply with Statute of Limitations * Neglect of Prosecution/Trial Errors * Failure to Protect Secured Interests/Assets/Property > Claimants and Vicarious Liability– Who Can Sue and Be Sued * Liability to Clients/Third-Parties * Liability of Law Firm/Partners for Acts of Another > Legal Malpractice Claim Defense Strategy * Pre-Suit Discussions/Settlement * Discovery/Legal Malpractice Litigation Management * Use of Experts * Motion Practice * Trial Strategies/Tactics (1.0 MCLE Credit in Ethics) 10:50 a.m. - 11:00 a.m. Break 11:00 a.m. – 11:50 a.m. Identifying and Responding to Professional Liability Claims > Claim Notification and Reporting Issues * What Constitutes a “Claim” * Responding to and Reporting of Potential Claims * Representations in the LPL Application * Notification of Claims > What is Covered Under the Typical LPL Policy * The Scope of Professional Services * Non-Covered Acts, Errors or Omissions * Damages Excluded from Coverage * Intentional Acts/Fraud Exclusions * Typical Exclusions (1.0 MCLE Credit in Law Practice Management) 11:50 a.m. - 12:45 p.m. Attorney Discipline and Risk Management for Lawyers Discussion of the NYS Attorney Disciplinary Process and Law Firm Risk Management * Overview of the NYS Disciplinary Process * New Client/Matter Intake * Conflict Management and Avoidance * Engagement Letters/Part 1215 Requirements * Docket and Calendar Management * Billing Systems and Controls * File Closing and Disengagement Letters * Training and Associate Supervision * Fee Actions * Client Management (1.0 MCLE Credit in Ethics) 12:45 p.m. – 1:00 p.m. Questions and Answers 1:00 p.m. Adjournment Course Materials for this program are available at the following URL: www.nysba.org/ LegalMalpractice2017materials Supplemental Outlines will be posted post-program. Join The Conversation! Follow us on Twitter: @nysbaLPM New York Rules of Professional Conduct http://nycourts.gov/rules/jointappellate/ NY-Rules-Prof-Conduct-1200.pdf CLE Bundling Discount EXCLUSIVE Member Benefit - Bundling/Discount for Recorded Products Bundle your recorded CLE program purchases and save up to 40% off of your cart total! Here’s how it works: Select your recorded programs by format and place them in your shopping cart. The more products/credits you place in your shopping cart, the bigger the discount: 4 credits or more earns you 10% off of your shopping cart total; 8 or more credits earn 20% off; 10 or more 30% and 12 or more a maximum of 40% in savings. LPM Upcoming Programs View a complete listing of our upcoming programs at nysba.org/LPM Table of Contents Legal Malpractice 2017 1. Sources of Legal Malpractice Claims: Theories of Liability and Defenses……….......... 1 A Michael Furman, Esq., Andrew R. Jones, Esq., Andrew S. Kowlowitz, Esq. 45 2. Legal Malpractice Causes of Action, Litigation Strategy and Ethics………………….…. Marian C. Rice, Esq. 3. Legal Malpractice 2017 Presentation……………………………………………………..… 113 Marian C. Rice, Esq. 4. Common Defenses to The Malpractice Action and Related Causes of Action……….... 131 Janice J. DiGennaro, Esq. 5. Identifying and Responding to Professional Liability Claims…………………….……..… 145 Matthew K. Flanagan, Esq. 6. 4th Department Attorney Grievance Procedures & Avoiding Disciplinary Complaints…. 155 Daniel A. Drake | Seventh Judicial District Attorney Grievance Committee 7. Ethics Resources 2017 ……………………………………………………………….……… 197 Deborah A. Scalise, Esq. 8. Ethics Update 2017…………………………………….………………………..………….… 201 Deborah A. Scalise, Esq. 9. Dealing with an Ethical Dilemma………………………………..…………………….…….. 237 Deborah A. Scalise, Esq. 10. Speaker Biographies………………………………..…………………….……………..…… 241 Copyright © 2017 New York State Bar Association Sources of Legal Malpractice Claims: Theories of Liability and Defenses Furman Kornfeld & Brennan LLP A. Michael Furman, Esq. Andrew R. Jones, Esq. Andrew S. Kowlowitz, Esq. 1 TABLE OF CONTENTS TABLE OF AUTHORITIES ................................................................................................. iii - xvi I. BASIC THEORIES OF ATTORNEY LIABILITY ............................................................1 A. Negligence-Based Claim .........................................................................................1 B. Breach of Fiduciary Duty.........................................................................................2 C. Judiciary Law § 487 .................................................................................................4 II. COMMON SOURCES OF LEGAL MALPRACTICE CLAIMS.......................................5 A. Time Limitations ......................................................................................................5 B. Conflicts of Interest..................................................................................................6 C. Negligent Advice .....................................................................................................7 D. Failure to Investigate/Evaluate ................................................................................8 E. Failure to Prosecute/Appear .....................................................................................8 F. Waiver of Defenses ..................................................................................................8 III. LEGAL MALPRACTICE DEFENSES ..............................................................................9 A. Statute of Limitations ...............................................................................................9 1. Accrual of a Legal Malpractice Claim .....................................................................9 2. The “Continuous Representation” Doctrine ......................................................................10 B. Redundant Pleadings ..............................................................................................12 C. Res Judicata and Collateral Estoppel .....................................................................13
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