I. Who regulates lawyers?
A. Highest Court in Each State
1. Have inherent powers to regulate lawyers.
B. Other State Courts
C. State Bar Associations
1. State’s highest courts delegate some functions to bar associations or to other organizations
D. Lawyer disciplinary agencies
1. Investigate and prosecute alleged misconduct by lawyers
E. American Bar Association
1. Produces model ethical rules and opinions
F. American Law Institute
1. Produces summaries of the law called Restatements
G. Federal Courts
1. Admit lawyers to practice before them and adopt procedural rules. Impose sanctions for misconduct
H. Legislatures
1. Despite inherent powers doctrine; much law adopted by legislatures governs lawyers
I. Administrative Agencies
1. Federal and state agencies admit lawyers to practice before them
J. Prosecutors
1. Authority to bring criminal charges against lawyers
K. Malpractice insurers
1. Set conditions for obtaining insurance
L. Employers
1. Adopt internal rules and standards of practice
M. Clients
1. May impose rules of conduct (Ex. large corps, and government agencies)
II. Bar admission
A. Rule 8.1 – Bar Admission & Disciplinary Matters
1. An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not:
a. (a) knowingly make a false statement of material fact; or
b. (b) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from an admissions or disciplinary authority, except that this rule does not require disclosure of information otherwise protected by Rule 1.6.
B. Restatement § 1 – Regulation of Lawyers: In General
1. Upon admission to the bar of any jurisdiction, a person becomes a lawyer and is subject to applicable law governing such matters as professional discipline, procedure and evidence, civil remedies, and criminal sanctions.
C. Restatement § 2 Admission to Practice Law
1. In order to become a lawyer and qualify to practice law in a jurisdiction of admission, a prospective lawyer must comply with requirements of the jurisdiction relating to such matters as education, other demonstration of competence such as success in a bar examination, and character.
D. In Re Mustafa
III. Professional discipline
A. Process
1. Complaintàinvestigationàcharging decisionàhearingàjudicial review
B. In Re Peters
C. Reporting Misconduct
1. Rule 8.3. Reporting Professional Misconduct
a. (a) A lawyer who knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate professional au
ponsibilities Regarding Nonlawyer assistants
a. (a) a partner, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm shall make reasonable efforts 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 lawyer;
b. (b) a lawyer 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 lawyer; and
c. (c) a lawyer shall be responsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer if:
i. (1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or
ii. (2) the lawyer is a partner or has comparable managerial authority in the law firm in which the person is employed, or has direct 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.
4. Restatement§ 5 Professional Discipline
a. (1) A lawyer is subject to professional discipline for violating any provision of an applicable lawyer code.
(2) A lawyer is also subject to professional discipline under Subsection (1) for attempting to commit a violation, knowingly assisting or inducing another to do so, or knowingly doing so through the acts of another.
