Table of contents
Introduction………………………………………………………………………………. 3
Ethics, Choices, & Rules………………………………………………………………………………………………………………………………….. 3
Sources of Law Governing Lawyers…………………………………………………………………………………………………………….. 4
Duties to the Client…………………………………………………………………. 6
The Duty of Competence & Diligence………………………………………………………………………………………………………….. 6
Incompetence in Criminal Defense: Malpractice…………………………………………………………………………………… 12
Criminal Cases: Ineffective Assistance of Counsel……………………………………………………………………………… 14
Who is the Client…………………………………………………………………….. 16
Formation of the Attorney-Client Relationship………………………………………………………………………………….. 16
Termination of the Attorney-Client Relationship………………………………………………………………………………. 19
Other Constraints on Termination (Resisting Termination)………………………………………………………………. 24
Decision-making in the Lawyer-Client Relationship……………………………………………………………………………. 27
The Duty to Protect the Client’s Information…………… 33
Attorney-client privilege…………………………………………………………………………………………………………………………… 34
The duty of confidentiality……………………………………………………………………………………………………………………….. 41
Understanding the difference between confidentiality and privilege………………………………………….. 45
Destruction or concealment of evidence……………………………………………………………………………………………….. 45
New technologies and new problems………………………………………………………………………………………………………… 46
The Duty of Loyalty………………………………………………………………. 46
What is a conflict of interest?…………………………………………………………………………………………………………………… 46
Concurrent conflicts of interest……………………………………………………………………………………………………………… 47
Personal interest conflicts………………………………………………………………………………………………………………………… 54
Successive conflicts & Imputed disqualification………………………………………………………………………………….. 56
Fees & Fiduciary Obligations………………………………………………. 62
Fees…………………………………………………………………………………………………………………………………………………………………….. 62
Constraints on fees……………………………………………………………………………………………………………………………………….. 63
Handling the client’s property………………………………………………………………………………………………………………….. 69
Duties to the Court……………………………………………………………….. 72
Duty of Candor to the Court: Client perjury………………………………………………………………………………………… 72
Duty of Candor to the Court: Lawyer Honesty…………………………………………………………………………………….. 76
Duty of Candor to the Court: Other Duties…………………………………………………………………………………………… 78
Duties to Third Parties…………………………………………………………. 80
Represented parties………………………………………………………………………………………………………………………………………. 80
Unrepresented parties………………………………………………………………………………………………………………………………….. 83
“Almost” clients…………………………………………………………………………………………………………………………………………….. 85
Duties of candor…………………………………………………………………………………………………………………………………………….. 85
Duties in ordinary life: Rule 8.4………………………………………………………………………………………………………………… 87
Duties to the System……………………………………………………………… 88
Duties to the Disciplinary Regime Created by the Rules……………………………………………………………………. 88
Duties to the Guild: regulation of advertising and solicitation…………………………………………………….. 98
Maintaining the Guild…………………………………………………………. 109
Admission to practice………………………………………………………………………………………………………………………………….. 109
Unauthorized practice of law………………………………………………………………………………………………………………….. 114
Multijurisdictional practice……………………………………………………………………………………………………………………. 118
Duty to the Profession……………………………………………………….. 119
Beyond the pale: what lawyers do………………………………… 124
Realities of practice: good news and bad news………… 124
Introduction
Ethics, Choices, & Rules
A. Interests in an Ethical Dilemmas
1.
(b)
Provides that by signing a submission to a court, a lawyer certifies that, to the best of her knowledge, information, and belief, formed after an inquiry reasonable under the circumstances, the submission:
(1) it is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation;
(2) the claims, defenses, and other legal contentions are warranted by existing law or by a nonfrivolous argument for extending, modifying, or reversing existing law or for establishing new law;
(3) the factual contentions have evidentiary support or, if specifically so identified, will likely have evidentiary support after a reasonable opportunity for further investigation or discovery; and
(4) the denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or a lack of information.
3. Sources of guidance: finding the law of professional responsibility
a. Case law
b. Ethics opinions (advisory only)
c. Restatement of the Law Governing Lawyers (persuasive value)
d. Other research resources
i) Treatises
ii) Looseleaf services
B. Professional Responsibility Rules (court rules)
1. Provide a framework for ethical practice
2. Two-tier structure of the Model Rules
a. Rules—provides rules of reason (Scope [14])
b. Comments—explains & illustrates the rules’ meaning & purpose (Scope [21])
3. Civil liability
a. Rules do not give rise to
b. But rules may evidence a breach (Scope [20])
C. Sanction & Discipline
1. Violation of the rules of professional responsibility results in various outcomes
a. No consequences if
i) Violation w/o getting caught
ii) Violation w/ wrong conclusion by disciplinary entity
iii) Violation w/o investigation by disciplinary entity
b. Possible consequences if caught
i) Minor—Private reprimand/censure
ii) Public (state bar publications) reprimand/censure
iii) Suspension from practice
iv) Major—Disbarment
v) Note—few J/Ds fine the wrongdoer
2. Who gets sanctioned & how it works
a. 2004
i) 8,342 active lawyers
ii) 641 complaints
(a) 1/13 lawyers per year
(b) Note: In-house counsel unlikely to get sanctioned b/c they would use corporate mechanisms to punish the lawyers
iii) 85 complaints (13% of complaints) warranted formal charges
iv) 4 lawyers disbarred
b. Time period
i) Iowa—takes 18 months
ii) Louisiana—several years
iii) Colorado & Wisconsin—quicker resolution (1 week for summary dismissal)
