New York Lawyer's Code of Professional Responsibility (Updated Through December 28, 2007) TABLE OF CONTENTS PREAMBLE......................................................................................................................... 5 PRELIMINARY STATEMENT.......................................................................................... 5 DEFINITIONS .....................................................................................................................6 CANON 1. A LAWYER SHOULD ASSIST IN MAINTAINING THE INTEGRITY AND COMPETENCE OF THE LEGAL PROFESSION................. 8 Ethical Considerations................................................................................................... 8 Provision of Nonlegal Services ............................................................................... 8 Contractual Relationships between Lawyers and Nonlegal Professionals...................................................................................... 9 Disciplinary Rules ....................................................................................................... 11 DR 1-101 Maintaining Integrity and Competence of the Legal Profession................................................................................ 11 DR 1-102 Misconduct ........................................................................................ 11 DR 1-103 Disclosure of Information to Authorities........................................... 11 DR 1-104 Responsibilities of a Partner or Supervisory Lawyer and Subordinate Lawyers ..................................................... 12 DR 1-105 Disciplinary Authority and Choice of Law........................................ 12 DR 1-106 Responsibilities Regarding Nonlegal Services.................................. 13 DR 1-107 Contractual Relationships between Lawyers and Nonlegal Professionals................................................................ 13 CANON 2. A LAWYER SHOULD ASSIST THE LEGAL PROFESSION IN FULFILLING ITS DUTY TO MAKE LEGAL COUNSEL AVAILABLE........................................................................................................ 16 Ethical Considerations.................................................................................................. 16 Advertising............................................................................................................ 16 Recognition of Legal Problems............................................................................. 17 Statements that Create an Expectation of Results or that Characterize the Quality of the Lawyer or Law Firm’s Services or Compare the Lawyer or Law Firm’s Services to Those of Other Lawyers.............................................................................. 18 Bona Fide Professional Ratings ............................................................................. 18 Professional Status ................................................................................................. 19 Trade Names and Domain Names.......................................................................... 19 Telephone Numbers ............................................................................................... 19 Meta-Tags............................................................................................................... 20 Advertisements Referring to Fees and Advances................................................... 20 Solicitation ............................................................................................................. 20 Directed to or Targeted at....................................................................................... 20 Solicitations Relating to a Specific Incident Involving Potential Claims for Personal Injury or Wrongful Death................................ 21 Extra-territorial Application of Solicitation Rules ................................................. 22 In-Person, Telephone and Real-Time or Interactive Computer-Accessed Communication.............................................................. 22 Retention of Copies; Filing of Copies; Designation of Principal Office............................................................................................... 22 Financial Ability to Employ Counsel: Persons Able to Pay Reasonable Fees................................................................................... 22 Financial Ability to Employ Counsel: Persons Unable to Pay Reasonable Fees................................................................................... 23 A Lawyer has a Professional Obligation to Render Public Interest and Pro Bono Legal Service............................................................... 24 Acceptance and Retention of Employment ............................................................ 24 Sale of Law Practice............................................................................................... 25 Improper Political Contributions............................................................................ 26 Disciplinary Rules ........................................................................................................ 26 DR 2-101 Advertising ........................................................................................ 26 DR 2-102 Professional Notices, Letterheads, and Signs .................................... 29 DR 2-103 Solicitation and Recommendation of Professional Employment.................................................................. 30 DR 2-104 Suggestion of Need of Legal Services............................................... 33 DR 2-105 Identification of Practice and Specialty............................................. 33 DR 2-106 Fee for Legal Services ....................................................................... 33 DR 2-107 Division of Fees Among Lawyers ..................................................... 35 DR 2-108 Agreements Restricting the Practice of a Lawyer ............................. 35 DR 2-109 Obligation to Decline Employment ................................................... 35 DR 2-110 Withdrawal from Employment .......................................................... 35 DR 2-111 Sale of Law Practice .......................................................................... 37 CANON 3. A LAWYER SHOULD ASSIST IN PREVENTING THE UNAUTHORIZED PRACTICE OF LAW .................................................. 39 Ethical Considerations................................................................................................. 39 Disciplinary Rules ....................................................................................................... 40 DR 3-101 Aiding Unauthorized Practice of Law .............................................. 40 DR 3-102 Dividing Legal Fees with a Nonlawyer ............................................ 40 DR 3-103 Forming a Partnership with a Nonlawyer......................................... 40 CANON 4. A LAWYER SHOULD PRESERVE THE CONFIDENCES AND SECRETS OF A CLIENT............................................... 41 Ethical Considerations................................................................................................. 41 Disciplinary Rules ....................................................................................................... 42 DR 4-101 Preservation of Confidences and Secrets of a Client ......................................................................................... 42 CANON 5. A LAWYER SHOULD EXERCISE INDEPENDENT PROFESSIONAL JUDGMENT ON BEHALF OF A CLIENT........................................................................................................... 43 Ethical Considerations................................................................................................. 43 Interests of a Lawyer That May Affect the Lawyer’s Judgment ......................................................................................................... 43 Interests of Multiple Clients.................................................................................. 45 Desires of Third Persons ....................................................................................... 47 Disciplinary Rules ....................................................................................................... 47 2 DR 5-101 Conflicts of Interest – Lawyer’s Own Interests............................... 47 DR 5-101-a Participation in Limited Pro Bono Legal Service Programs............ 48 DR 5-102 Lawyers as Witnesses...................................................................... 48 DR 5-103 Avoiding Acquisition of Interest in Litigation ................................ 49 DR 5-104 Transactions Between Lawyer and Client ....................................... 49 DR 5-105 Conflict of Interest; Simultaneous Representation .......................... 50 DR 5-106 Settling Similar Claims of Clients ................................................... 50 DR 5-107 Avoiding Influence by Others Than the Client................................ 50 DR 5-108 Conflict of Interest – Former Client ................................................ 51 DR 5-109 Organization as Client ..................................................................... 51 DR 5-110 Membership in Legal Services Organization................................... 52 DR 5-111 Sexual Relations with Clients.......................................................... 52 CANON 6 A LAWYER SHOULD REPRESENT A CLIENT COMPETENTLY...............................................................................................