PROFESSIONAL RESPONSIBILITY OUTLINE
CHAPTER 2à LAWYER LIABILITY
PROFESSIONAL DISCIPLINE
I. GROUNDS FOR DISCIPLINE
a. A lawyer can be disciplined for:
a) Violations of ethics code whether or not it occurred in the course of legal practice.
b) Non-legal conduct like domestic violence, DUI, etc
c) Actions of his employee if assisted or induced by the lawyer
II. DUTY TO REPORT MISCONDUCT BY OTHER LAWYERS
a. General Ruleà A lawyer must report on another lawyer’s serious misconduct only if the violation raises a “substantial question as to the lawyer’s honesty, trustworthiness or fitness.”
i. Duty to report is trigged by lawyer’s “knowledge” of misconduct
ii. Rule does NOT require disclosure of info protected under Rule 1.6
b. Rule 8.3à Reporting Professional Misconduct
a) A lawyer who knows that another lawyer has committed a violation that raises a substantial question as to that lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects shall inform the appropriate authority.
b) A lawyer who knows that a judge has violated rules…
c) This Rule does NOT require disclosure of info otherwise protected by Rule 1.6 or info gained by a lawyer while participating in an approved lawyer’s assistance program.
III. RESPONSIBILITY FOR CONDUCT OF COLLEAGUES AND SUPERIORS
a. General Ruleà The rules impose a limited amount of collective responsibility on other lawyers in the firm for the conduct of other lawyers or employees.
i. Subordinate lawyers can be held accountable for violations of the Rules if ordered to take an action by a supervisor that was NOT based on a “reasonable resolution of an arguable question of professional duty.”
b. Rule 5.1 à Responsibilities of Partners, Managers and Supervisory Lawyers
a) Partners/managers shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform with Rules.
b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure other lawyer conforms to Rules.
c) A lawyer shall be responsible for another’s violation IF:
1. the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or
2. the lawyer is a partner/manager in the firm or is violator’s direct supervisor, and KNOWS of the conduct at a time when its consequences can be avoided or mitigated BUT fails to take reasonable remedial action.
c. Rule 5.2 à Responsibilities of a Subordinate Lawyer
a) A lawyer is bound by the Rules notwithstanding that the lawyer acted at the direction of another person.
b) A subordinate lawyer does NOT violate the Rules IF he acts in accordance with a supervisor’s reasonable resolution of an arguable question of professional duty
CIVIL LIABILITY OF LAWYERS
I. LEGA
nduct [Rule 1.0(e)]
ii. disclosure is impliedly authorized to carry out the representation, or
iii. disclosure is permitted by paragraph (b) [exceptions].
b. A lawyer MAY reveal info to the extent the lawyer believes reasonably necessary:
i. To prevent reasonably certain death or substantial bodily harm;
ii. To prevent client from committing a crime/fraud that is reasonably certain to result in substantial injury to financial interests or property of another AND which the client has used the lawyer’s services;
iii. To prevent, mitigate or rectify substantial injury to financial interests of another that is reasonably certain to result/resulted from client’s commission of a crime/fraud in which the client has used the lawyers services;
iv. To secure legal advice about the lawyers’ compliance with these Rules
v. To establish a claim or defense on behalf of the lawyer in a controversy btw the lawyer and client, to establish a defense to a criminal or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer’s representation of the client; or
vi. To comply with other law or court order.
