Professional Documents
Culture Documents
CODE OF PROFESSIONAL
RESPONSIBILITY AND
CANONS OF JUDICIAL ETHICS
, „ =
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AS A SERVICE TO THE
LEGAL PROFESSION
V
Preface
On August 14, 1964, at the request of President Lewis F. Powell, Jr., the House of Dele-
gates of the American Bar Association created the Special Committee on Evaluation of
Ethical Standards to examine the current Canons of Professional Ethics and to make
recommendations for changes. Your Committee has been at work since that time with
the extremely competent assistance of its Reporter, Professor John F. Sutton, Jr., of the
University of Texas School of Law. Since August of 1967 we have been aided by Mrs.
Sarah Ragle Weddington, a member of the Texas Bar, who has served as Assistant to Mr.
Sutton. The supporting research work was conducted under the supervision of Mr. Sutton
in his capacity as Director of a research project for the American Bar Foundation. We
also acknowledge with thanks the effective help of Frederick R. Franklin of the American
Bar Association Division of Professional Service Activities, who served as Staff Assistant
in the crowded latter months of our work.
After substantial study and a number of meetings, we concluded that the present Canons
needed revision in four principal particulars: (1) There are important areas involving the
conduct of lawyers that are either only partially covered in or totally omitted from the
Canons; (2) Many Canons that are sound in substance are in need of editorial revision: (3)
Most of the Canons do not lend themselves to practical sanctions for violations; and (4)
Changed and changing conditions in our legal system and urbanized society require new
statements of professional principles.
The original 32 Canons of Professional Ethics were adopted by the American Bar As-
sociation in 1908. They were based principally on the Code of Ethics adopted by the
Alabama State Bar Association in 1887, which in turn had been borrowed largely from the
lectures of Judge George Sharswood, published in 1854 under the title of Professional
Ethics. Since then a limited number of amendments have been adopted on a piecemeal
basis.
The thought of studying the Canons of Professional Ethics with a view of possible re-
vision is not a new one,. In 1928, 1933 and 1937 special committees of the American Bar
Association, appointed for the purpose of investigating the subject, made reports recom-
mending overall revisions, but nothing came of these efforts. In 1954 a distinguished com-
mittee of the American Bar Foundation made extensive studies of the Canons and recom-
mended further work in the field, but the subject lay fallow for ten more years until the
creation of our Committee.
As far back as 1934 Mr. Justice (later Chief Justice) Harlan Fiske Stone, in his
memorable address entitled The Public Influence of the Bar, made this observation:
Before the Bar can function at all as a guai.dian of the public interests committed to its
care, there must be appraisal and comprehension of the new conditions, and the changed
relationship of the lawyer to his clients, to his professional brethren and to the public.
That appraisal must pass beyond the petty details of form and manners which have been
so largely the subject of our Codes of Ethics, to more fundamental consideration of the
way in which our professional activities affect the welfare of society as a whole. Our canons
of ethics for the most part are generalizations designed for an earlier era.
Our studies led us unanimously to the conclusion that the need for change in the state-
ments of professional responsibility of lawyers could not be met by merely amending the
present Canons. A new Code of Professional Responsibility could be the only answer.
While the opinions of the Committee on Professional Ethics of the American Bar As-
sociation have been published and given fairly wide distribution with resulting value to the
bench and bar, they certainly are not conclusive as to the adequacy of the present Canons.
Because the opinions are necessarily interpretations of the existing Canons, they tend to
support the Canons and are critical of them only in the most unusual case. Since a large
number of requests for opinions from the Committee on Professional Ethics deal with the
etiquette of law practice, advertising, partnership names, announcements and the like,
there has been a tendency for many lawyers to assume that this is the exclusive field of in-
terest of the Committee and that it is not concerned with the more serious questions of
professional standards and obligations.
The present Canons are not an effective teaching instrument and they fail to give guid-
ance, to young lawyers beyond the language of the Canons themselves. There is no
organized interrelationship of the Canons and they often overlap. They are not cast in
language designed for disciplinary enforcement and many abound with quaint expressions
of the past. The present Canons, nevertheless, contain many provisions that are sound in
substande, and all of these have been brought forward in the proposed Code.
In our studies and meetings we have relied heavily upon the monumental Legal Ethics
(1953) of Henry S. Drinker, who served with great distinction for nine years as Chairman
of the Committee on Professional Ethics (known in his day as the Committee on Profes-
sional Ethics and Grievances) of the American Bar Association.
We have had constant recourse to the opinions of the Committee on Professional Ethics.
These opinions were collected and published in a single volume in 1967; since that time we
have been favored with all opinions of the Committee in loose-leaf form.
Recent decisions of the Supreme Court of the United States have necessitated intensive
studies of certain Canons. Among the landmark cases in this regard are NAACP v. Button,
371 U.S. 415, 83 S. Ct. 328, 9 L.Ed.2d 405 (1963), Brotherhood of R. R. Trainmen v.
Virginia, 377 U.S. 1, 84 S. Ct. 1113, 12 L.Ed.2d 89 (1964), and United Mine Workers v. Ill.
State Bar Ass'n, 389 U.S. 217, 88 S. Ct. 353, 19 L.Ed.2d 426 (1967). It is not here neces-
sary to comment in detail on these far-reaching rulings since they are familiar to all lawyers.
CODE OF PROFESSIONAL RESPONSIBILITY
Table of Contents
Also in recent years the Supreme Court of the United States has made important pro-
nouncements in the areas of admission to the bar and discipline of lawyers. Without Page
PREAMBLE AND PRELIMINARY STATEMENT
attempting an exhaustive catalogue in this regard, we refer to Sehware v. Bd. i
of Bar Exam- CANON i. A LAWYER SHOULD assist: IN MAINTAINING THE nzranarrz
iners, 353 U.S. 232, 77 S. Ct. 752, 1 LEd.2d 96 (1957), Spevaek v. Klein, 385 U.S. 511, 87 A. COMPETENCE
S. Ct. 625, 17 L.Ed2d 754 (1967), and In re Ruff OF ma LEGAL PROFESSION
alo, 390 US. 544, 88 S. Ct. 1222. 20 3
L.Ed.2d 117 (1968). Ethical Considerations
Our Committee has held meetings with 37 major units of the profession and has cor- Disciplinary Rules 3
responded with more than 100 additional groups. The entire Committee has met a total 3
of DR 1-101 Maintaining Integrity and Competence of the Legal Profession
71 days and the editorial subcommittee of three members has met 28 additional days. DR 1-102 Misconduct 3
Geoffrey C. Hazard, Jr., of Chicago, Illinois, Director of the American Bar Foundation, DR 1-103 Disclosure of Information to Authorities 3
John G. Bonomi, of New York, New York, a member of the A.B.A. Special Committee 3
on CANON 2. A LAWYER SHOULD ASSIST THE LEGAL PROFESSION IN FULFILLING rrs DUTY
Evaluation of Disciplinary Enforcement, and Paul Carrington, of Dallas, Texas, a member
of the A.B.A. Special Committee on Availability of Legal Services, attended many of our TO MACE LEGAL COUNSEL AVAILABLE
5
meeting, and each made invaluable suggestions in the course of our deliberations. Ethical Considerations
Lawrence E. Walsh, of New York, New York, served as a member of our Committee Recognition of Legal Problems 5
in
the first two years of its existence and rendered distinctive service in that period. Selection of a Lawyer: Generally
Selection of a Lawyer: Professional Notices and Listings ,
5
Financial Ability to Employ Counsel: Generally
Financial Ability Sc Employ Counsel: Persons Able to Pay Reasonable Fees
Financial Ability to Employ Counsel: Persons Unable to Pay Reasonable Fees
6
2
Acceptance and Retention of Employment
6
Disciplinary Rules
DR 2-101 Publicity in General 7
"The Code of Professional Responsibility vies adopted by the House of 7
DR 2-102 Professional Notices, Letterheads, Offices, and Law Lists
Delegates of the American Bar Association on August 12. 1969 to become 7
DR 2-103 Recommendation of Professional Employment
effective for American Bar Association members on January 1, 1970." DR 2-104 Suggestion of Need of Legal Services 8
DR 2-105 Limitation of Practice 9
DR 2-106 Fees for Legal Services 9
DR 2-107 Division of Fees Among Lawyers 9
DR 2-108 Agreements Restricting the Practice of a Lawyer 9
DR 2-109 Acceptance of Employment 9
DR 2-110 Withdrawal from Employment 9
9
0 Copyright 1969 by American Bar Association CANON 3. A LAWYER SHOULD ASSEST IN PREVENTING THE
UNAUTHORIZED P•ACTICE OF LAW 15
Ethical Considerations
Disciplinary Rules 15
DR 3-101 Aiding Unauthorized Practice of Law IS
DR 3-102 Dividing Legal Fees with a Non-Lawyer IS
DR 3-103 Forming a Partnership with a Non-Lawyer 15
15
CANON 4. • mwrint SHOULD PRESERVE me CONFIDENCES
AND SECRETS OP A crime 16
Ethical Consideration
Discipfinary 16
ules
DR 4-101 RP reservation of Confidences and Secrets of a Client 17
17
CANON 5. A LAWYER SHOULD EXERCISE mmenemarrr PROFESSIONAL JUDGMENT
ON
BEHALF OP A CLIENT
18
Ethical Considerations
18
Interests of a Lawyer That May Affect His Judgment
Interests of Multiple Clients 18
Desires of Third Persons 19
20
Disciplinary Rules
20
DR 5-101 Refusing Employment When the Interests of the Lawyer May Impair
His Independent Professional Judgment
20
DR 5-102 Withdrawal as Counsel When the Lawyer Becomes a Witness
DR 5-103 Avoiding Acquisition of Interest in Litigation 20
DR 5-104 Limiting Business Relations with a Client 21
DR 5-105 Refusing to Accept 21
or Continue Employment if the Interests of
Another Client May Impair the Independent Professional
Judgment of the Lawyer
DR 5-106 Settling Similar Claims of Clients 21
DR 5-107 Avoiding Influence by Others Than the Client 21
21
CANON 6 A LAWYER SHOULD REPRESENT a CLIENT COMPETENTLY
23
Ethical Considerations
Disciplinary Rules 23
DR 6-101 Failing to Act Competently 24
DR 6-102 Limiting Liability to Client 24
24
CANON 7. • LAWYER SHOULD REPRESENT A CLIENT ZEALOUSLY
WITHIN THE BOUNDS
OF L. LAW
24
Ethical Considerations
Duty of the Lawyer to a Client 24
Duty of the Lawyer to the Adversary System of Justice 24
26
HI
Page
Disciplinary Rules 27
DR 7-101 Representing a Client Zealously 27
DR 7-102 Representing a Client within die Bounds of the Lew 27
DR 7-103 Performing the Duty of Public Prosecutor or Other Government Lawyer 27
DR 7-104 Communicating with One of Adverse Interest 28
DR 7-105 Threatening Criminal Prosecution
DR 7-106 Trial Conduct
28
28
CODE OF PROFESSIONAL RESPONSIBILITY
DR 7-107 Trial Publicity 28
DR 7-108 Communication with or Investigation of Jurors 29
DR 7-109 Contact with Witnesses
DR 7-110 Contact with Officials
29 PREAMBLE AND PRELIMINARY STATEMENT
29
CANON 8. A LAWYER SHOULD ASSIST IN IMPROVING TILE LEGAL SYSTEM Preamble three separate but interrelated parts: Canons, Ethical
33
Ethical Considerations The continued existence of a free and democratic Considerations, and Disciplinary Rules.' The Code is
33 ociety depends upon recognition of the concept that
Disciplinary Rules designed to be adopted by appropriate agencks both as
34 justice is based upon the rule of law grounded in re- an inspirational gdis embers of the Proffissio.
DR 8-101 Action as a Public Official 34
DR 8-102 Statements Concerning Judges and Other Adjudicatory Officers spect. for the dignity of. the individual and his capacity and as a basis for ciplinaryaction when the conduct
34 tthough reason for enlightened self-government.' Law of a lawyer falls below the required minimum standards
CANON 9. • LAWYER SHOULD AVOID EV. THE APPEARANCE OP PROFESSIONAL IMPROPRIETY 35 so grounded makes justice possible, for only through stated in the Disciplinary Rules.
Ethical Considerations such law does the dignity of the individual attain respect Obviously the Canons, Ethical Considerations, and
35 and protection. Without it, individual rights become
Disciplinary Rules . 35 Disciplinary Rules cannot apply to non-lawyers; how-
DR 9-101 Avoiding Even the Appearance of Impropriety subject to unrmtrained power, respect for law is de- ever, they do define the type of ethical conduct that the
35
DR 9-102 Preserving Identity of Funds and Property of a Client stroyed, and rational self-govmnment is impossible. public has a right to expect not only of lawyers but
35
Lawyers, as guardians of the law, play a vital role in also of their non-professional employees and associates
DEFINITIONS 37 the preservation of society. The fulfillment of this role in all matters pertaining to professional employment
IND. requires an understanding by lawyers of thek relation- A lawyer should ultimately be responsible for the con-
39
ship with and function in our legal system.. A conse- duct of his employees and associates in the course of the
quent obligation of lawyers is to maintain the highest professional representation of the client.
standards of ethical conduct. The Canons are statements of axiomatic norms, ex-
In fulfilling his professional responsibilities, a lawyer pressing in general terms the standards of professional
necessarily assumes various robes that require the per- conduct expected of lawyers iu their relationships with
formance of many difficult tasks. Not every situation the public, with the legal system, and with the legal pro-
which he may encounter can be foreseen,' but funda- fesmon. They embody the general concepts from which
mental ethical principles are always present to guide the Ethical Consideration and the Disciplinary Rules
him. Within the framework of these principles, a law- are derived.
yer must with courage and foresight be able and ready The Ethical Considerations are aspirational in charac-
to shape the body of the law to the ever-changing rela- ter and represent the objectives toward which every
tionships of society' member of the profession should strive. They consffi
The Code of Professional Responsibility points the tute a body of principles upon which the lawyer can
way to the aspiring and provides standards byewhich to rely for guidance in many specific situations.'
judge the transgressor. Each lawyer must fid within The Disciplinary Rules, unlike the Ethical Considera-
his own conscience the touchstone against which to test tions, arendatory in character. The Disciplinary
the extent to which his actions should rise above mini- Rules statethethe minimum level of conduct below which
mum standards. But in the last analysis it is the desire no lawyer can fall without being subject to disciplinary
for the respect and confidence of the members of his action. Within the framework of fair trial,' the Dis-
professionand of the society which be serves that ciplinary Rules should be uniformly applied to all law-
should provide to a lawyer the incentive for the highest yers,' regardless of the nature of their professional
possible degree of ethical conduct. The possible loss of activities.. The Code makes no attempt to prescribe
that resp.ect and confidencè
onfidence is the ultimate sanction. So either disciplinary procedures or penalum^ for viola-
long as its practitioners are guided by these principles, tion of a Disciplinary Ruin,. nor does it undertake to
the law will continue to be a noble profession. This is define standards for civil liability of lawyers for profes-
its greatness and its strength, which permit of no com- sional conduct. The severity ofjudgment against one
promise. found guilty of violating a Disciplinary Rule should be
determined by the character of the offense and the at-
Preliminary Statement tendant circumstances.. An enforcing agency, in ap-
plying the Disciplinary Rules, may find interpretive
In furtherance of the principles stated in the Pre- guidance in the basic principles embodied in the Canons
amble, the American Bar Association has promulgated and in the objectives reflected in the Ethical Con-
this Code of Professional Responsibility, consisting of siderations.
NOTES
I. The footnOteS are Intended merely to enable the reader social calms that are Its reasons for being." Cheatham,
to relate the provisions of this Code to the
Professional Ethics ABA Canons of
adopted in 1908, as amended, the Opin-
Availability of Legal Services: The Responsibility of the
Individual Lawyer and the Organized Bar, 12 U.C.L.A.
ions of the ABA Committee on Professional Ethics, and • Ray. 438. 440 (1965).
limited number of ofother thesources; theybyarethenotABA intended
be an annotation views taken Specialto 6.The
Judicial Supreme
and lulu.Ethics
Court"The
In 1967. of Wisconsin adopted a Code of
Committee on Evaluation of Ethical
Bing ABA Canons refer to the ABA Canons of Prof.-
Standards. Footnotes
eral the standards
desirable beingcode Is divided
statements of into
tenet of conduct should be, the rules being
whatstandards
dm gen-
donal Ethics, adopted In 1908, as amended. particular canons,
2. C f. ABA CatioNa, Preamble.
3. Il lhe lawyer individual judgeEthicstothe Notation ofInwhich
aanMions." shall subjectofan•
m Promulgation
understanding hisstands
ofobligations today in special need of • clear
obligations and of the vital connection
Code of Judicial
573, 874 (1967). , 36 Wis. 2d 252, 255, In N. W. ad
inbetween
society."thoseProles.onal and the role his profession plays The portion of the Wisconsin Code of Judicial Ethics en-
titled "Standards" slates That of"MU following standards set
4."No generalA.B.AJ. 1159,
Responsibility: Report of the Joint
1160 (1958). forth
W..the24significant qualities the ideal Judge . en-
Conference,
statement of the responsibilities
rofusion can encompass Si! the situations in which the
of the legal 16 at 256,tea153 N. W. 241 at 875. The portion Id.,
Phstewyer ailed "Rules" that "Mho court promulgates the fol-
own may
peculiarbe placed.
demands.Each Theseposition
demands heldthebylawyer
him make
must lowing
embodied rules because the requirements of judicial conduct
clarity
he for
serves." himself In the light of the paOicstae role in which tIons if theytherein
259, 153 N. W.am are of sufficient gravity to warrant sanc-at
24 not
at obeyed
876. . ." Id., 36 Wis. 2d
Conference, 44 A.B.A.J. 1139. 1215 (1958).
Professional Responsibility: Report of the Joint
5."The law and 7. "Under the conditions of modern practice it Is pecu-
Utions change. Theyitsmust
Institutions
changeand change
If they ereastorabies
social con-
preserve, liarly necessary h
merely dm lawyer should understand. not
much
which less advance. the political social from but dmthe established
reasons standards
underlying thugofstandards.
professional conduct,
Today the
true
famine ofthey
the derive
most
of taw.
their
important
The
purposes and their life. This is
of legal
too,institutions, the prw lawyer
many plays
developing • changing
fields theand Increasingly
precise contributionvaried
of therole.
legalIn
conditions change inprofession,
order to preserve mustandchange
advancewhen the e
rt iUnt Stffie",:driCe.. IPS"Z.111"..1".11159 (1958).
iv
AMERICAN BAR ASSOCIATION
"A true sense of professional responsibility nom derive Bar
Bar r It
If we are to maintain public confidence in the ...thy
understanding of the reasons that lie back of ape-
Bo
eihc restraints. such as those embodied in the Canons. The
Qround. for the lowycc's peculiar obligations areto be
of the administration of justice." In re
Meeker. 76 N. M. 354, 357. 414 PIO 862. 864 (1966), ap- CANON 1
peal dismissed, 385 U.S. 449 (19671.
found to the nature of his calling. The lawyer who seeks 10. See ABA Canoe 45.
t
clear understanding of his Maks will be led to reflect on
he specie/ services his profession renders to society and the
"The Canons of this Association govern all its members,
irrespective of the era
A Lawyer Should Assist in
of' their practice. and the ann.-
services it might render if its full capacities were realized.
When the lawyer fully underst.ds the nature of his ofhm.
cation of Me Canons is not affected by statutes or regu
lations governing certain activities of lawyers which may
Maintaining the Integrity and
he will then discern what restraint. are nemssary to keep
that office wholesome and effective." Id.
prescribe less stringent standards." ABA Comm. no Pan-
s Beaten, OPINIONS. No. 203,1940) [hereinafter Competence of the Legal
8. "Disbarment, designed to protect the public, ls a pun-
Op inion' ).
ishment or penalty imposed on the lawyer.. . . Ile Is
accordingly entitled to procedural due proces.,which in-
e"Cl?). 0
,1174'grtit e 15r( .1';'3'1')i. Profession
"There is generally no prescribed discipline for any
cludes fair notice of the charge." In re Moffat°. 390 U.S. Particular type of Improper conduct. The disciplinary
544, 550, 20 L. Ed. 2d 117, 122, 88 S. Ct. 1222, 1226 0968). measures taken are discretionaseen y with the entitle. which ETHICAL CONSIDERATIONS
rehearing denied, 391 US. 961, 20 L. Ed. 2d 174, 88 S. CI. may disbar, suspend, or merely sure the attorney m the EC 1.1 A bane tenet of the professional
1833 (1968). nature of the offense and past Indicts of cheraCler may responsibility Disciplinary Rules is brought to the attention of the
"A State cannot exclude • person from the practice of warrant." Note, 43 Coansti L.Q. 489. 495 (1958). f lawyers is that event Person in our society should proper officials. A lawyer should reveal voluntarily to
law or from any other occupation in a manner or for reasons 12. The Code seeks only to specify conduct for which • have ready access to the independent professional ser-
that contravene the Due Process or Equal Protection Clause those officials all unprivileged knowledge of conduct of
lawyer should be disciplined. Recommendations as to the vices of a lawyer of integrity and cotopetence. Main- lawyers which he believes clearly to be in violation of
of the Fourteenth Amendment. . . . A State can require procedures to be used in disciplinary actions and the groanty taining the integrity and improving the competence of
high standards of qualification . . . but any qualification of disciplinary memurm apprOpriele for violations of the the Disciplinary Rules! A lawyer should, upon request
must have • rational connection with the applkant's fitness the bar to inlet the highest standards is the ethical re- serve on and assist committees and boards having re-
Code are within the jurisdiction of the American Bar Associ- sponsibility of every lawyer.
or capacity to practice law." Schware v. Ed. of Bar Ex- ation Special Committee en Evaluation of Disciplinary En- sponsibility for the administration of the Disciplinary
aminers. 353 U.S. 231, 239, 1 I.. Ed. 2d 796, 801-02, 77 S. orcement. EC 1.2 The public should be protected from those who ues.'
Ct. 752, 756 (1957). 13. "The severity of the Judgment of this court should be am not qualified to be lawyers by reason of a deficiency
"(Ale accused lawyer may expect that he will not be In proportion to the gravity of theoffenses, the moral in education` or moral standards' or of other relevant EC 1-5 A lawyer should maintain high standards of
condemned out of a catniciousself-riohteousnen or denied turpitude Involved, and the extent that the defendant's acts professional conduct and should encourage fellow law-
the essentials of a fair hearing. .. Kingsland v. Doney, 338 factors' but who nevertheless seek to practice law. To
and conduct affect his professional qualifications . practice yers to do likewise. He should be temperate and digni-
U.S. 318, 320, 94 L. Ed. 123, 126, 70 S. CO. 123, 124-25 law." Louisiana State Bar Assn v. Steiner, 204 La. 1073, assure the maintenance of high moral and educational
(1949). standards of the legal profession, lawyers should af- fied, and he should refrain from all illegal and morally
1092-93, 16 So. 34 843, 850 (1944) (Higgins, J., concurring
"The attorney and counsellor being, by the solemn indecree). firmatively assist courts and other appropriate bodies in reprehensible conduct.° Because of his position in so-
Oklal act of the court, clothed with his office, does not hold "Certainly an erring lawyer who has been disciplined and promillgating, enforcing, and improving reqoirements ciety, even minor violations of law by a lawyer may tend
It as • matter of grace and favor. The right which It con- who having paid the penalty has given mdsfactory evicknce for admission to the bar' In like manner, the bar has a to lessen public confidence in the legal profession. Obe-
fers upon him to appear for suitors. and to argue causes. of repentance and has been rehabilitated and restored to Mt positive obligation to aid in the continued improvement
dience to law exemplifies respect for law. To lawyers
Is something more than • mere indulgence, revocable at the place et the bar by the court which knows him best ought especially, respect for the law should be more than a
pleasure of the court, or at the command of the legialature. not to have what amounts to an order of permanent dis-
of all phases of pre-admission and post-admission legal
education. platitude.
It is a right of which he can only be deprived by the judg- barment entered against him by a federal court solely on
ment of the court, for moral or professional danguenc," the basis ot an earlier criminal record and without regard EC 1-3 Before recommending an appliunt for admis- EC 1-6 An applicant for admission to the bar or a
Ex pane Garland, 71 U.S. (4 Walt.) 333, 378-79, 18 L. Ed. to Ida subsequent rehabilitation and present good char- lawyer may be unqualified, temporarily or permanently,
366, 370 (1866). sion, a lawyer should satisfy himself that the applicant is
ater . We think, therefore, that the district won of good Initial character. Although a lawyer should not for other than moral and educational reasons, such as
cht,e—rig;,11„,.`;°,7„-1,;1.4=1,71,517:.!'r.`gf,,.1^4
(1963).
shotild reconsider the appellant's aPPlicatioo for sfirnimion
and grant it unless the court finds it tor. be facto thatat.
he
become a self-appointed investigator or judge of appli-
an for admission, he should report to proper officials
cts
mental or emotional instability. Lawyers should be dili-
gent in taking steps to see that during a period of dis-
CIul
9. The can of professional ethics must be enforced
by the Court. and must be respected by members of the
ghee;a"cl
1958).
r:'W42, 151 F.`1,14.1 69-70 ( lot
(`7,1' all unfavorable information he possesses relating to the
character or other qualifications of an applicant'
qualification such person is not granted a license or, if
licensed, is not permitted to practice.' In like manner,
when the disqualification has terminated, members of
EC 1-4 The integrity of the profession can bemain-
the bar should assist such person in being licensed, or,
tained only if conduct of lawyers in violation of the
if licensed, in being restored to his full right to practice.
DISCIPLINARY RULES
DR 1.101 Maintaining Integrity and Competence of (4) Engage in conduct Involving dishonesty, fraud,
the Legal Profession.
deceit, or misrepresentation.
(A) A lawyer Is subject to discipline if he has nude a (5) Engage In conduct that is prejudkffil to the ad-
tuaterially false Slaininent la, or if he bas dab.
ministration of justice.
erately failed to disclose a material fact requested (6) Engage la any other conduct that adversely re-
In connection with, his application for admission to
the bar.. flects on his illness to practice law..
(B) A lawyer shall not further the application for ad- DR 1-103 Disclosure of Information to Authorities.
mission to the bar of another person known by him (A) A lawyer possessing unprivileged knowledge of a
to be unqualified In respect to character, education, violation of DR 1-102 than report such knowledge
or other relevant attribute:. to a tribunal or other authority empowered to In-
vestigate or act upon melt violetion..
DR 1-102 Misconduct
(A) A lawyer shall nos (B) A lawyer possessing unprivileged knowledge or
(1) Violate evidence concerning another lawyer or a judge shall
a DisciplitsikY
(2) reveal fully such knowledge or evidence upon
Circumvent a Disciplinary Rule through actions
of another.. proper request of a tribunal or other authority em-
(3) Engage In Illegal conduct involving moral Wrath. powered to Investigate or act upon the conduct of
tude.. la wiser or lodge..
•. NOTES
1. (Me cannot conclude that all educational restrictions
[on bar admission] are unlawful. We assume that few would fit because of bad charaner, evidenced by their course of con-
duct, tO participate In the administrative law, would seem to
deny that a grammar school education requirement, before
taking the bar examination, was reasonable. Or that an ap- be unquestioned In the matter of preservation of judicial
plicant had to be able to read or write. Once we conclude dignity and integrity." In re Monaghan, 116 VI. 53,122 A.2d
that some restriction Is proper, then It becomes • matter of 665, 670 (1966).
degree—the problem of drawing the line. "Fundamentally, the quernion involved In bath situation.
admission and disciplinary proceedings] is the same—la
;We conclude the fundamental question hem is whether the appikent for admisston or the attorney sought to be dis-
ciplined a fit and proper person to be permitted to
Rule IV, Section 6 of the Rules Pertaining to Admishon of
taw, and that usually turns upon whether he has committedpractice
A pplicants to the State Bar of Arizona is 'arbitrary, capricious
or is Moly to continue to commit acts of moral turpitude.
sod unrea.nabie, We conclude an educationai requimment
of graduation from an accredited law school is not." Hackln At the time of oral argument the attorney for respondent
Lockwood, 361 P.2c1 499. 503-4 (9th Cir. 1966), cur. denied, frankly .oceded that the lest for admission and for discipline
385 U.S. 960, 17 L. Ed.24 305, fil S. Ct. 396 (1966). is and should be the now. We agree with Mb concession."
2. "Every state in the United States, es a prerequisite for allinan v. Comm. of Bar Examiners, 65 Ca1.2d 447, 453, 421
admission to the practice of law, requires that applicants P.ad 76. 81, 55 Cal.Rptr. 228, 233 (1966).
Pokms 'good moral character.' Although the redldreinein is 3. "Proceedings to gain admission to the bar are for the
urpose of protecting the public and the courts from the
of judicial origin, it is now embodied in legislation In most
states." Comment. Procedural One Process and Character
pministration. of persons unlit to practice the profession. Al'
Hearing. for Bar Applicant, 15 Smn. L. Rev. 500 (1963). are officers of the court appoinmd to assist the court
"Good character in the members of the bar Is essential to in the administration of Justice. Into their hands are com-
the premrvation of the Integrity of the courts. The duly and mitted the property. the liberty and sometime. the lives of
power of the court to guard its portals against intrusion by their clients. This commitment demands a high degree of
men and women who are mentally and morally dishonest, en intelligence. knowledge of the law, respect for its function In
society, woad and faithful judgment end, above all else,
4 AMERICAN BAR ASSOCIATION
The attorney should not adv.< or sanction acts
In en :::37",11716;g'n'tZ; by his client which he himself should not do.' Opinion 75." CANON 2
(Holden. dissenting). 13."The most obvious non-professional ground for dis-
4. "A bar composed of lawyers of good moral character barment is cOrniction for a felony. Most stales make eon-
Is a worthy objective but it is unnecessary to sacrifice vital
freedoms in order to obtain that goal. It is also important vktion for a felony grounds Inc automatic disbarment. Some A Lawyer Should Assist the
of these states, including New York. make disbarment manda-
both to society and the bar Itself that lawyers be unintirni.
dated-free to think, speak, and act as members of an In- tory upon conviction for any felony, while others require
disbarment only for those felonim which involve moral
Legal Profession in Fulfilling
dependent Bar." Konigsberg r. State Bar, 353 U.S. 252. 273,
1 L. Ed. 2c1 810, 825. 77 S. Ct. 722, 733 (1957). turpitude. There are strong arguments that some felonies.
such as Involuntary manslaughter, relied neither on an at.
Its Duty to Make
5. See ABA CASON 29. torney's fitness, trustworthiness, nor competence and, there-
6. ABA CAN. 28 designates certain conduct as unprofes-
ional and then states that: "A duty to the public and to the fore, should not be grounds for disbarment. but most states Legal Counsel Available
profession devolves upon every member of the Bar harlot tend to diary rd these arguments and, following Me common
knowledge of such pond«s upon the pan of any practitioner law rule, male disbarment mandatory on convictMn for ton
felony." Note, 43 Commu L.Q. 489. 490 (1928). ETHICAL CONSIDERATIONS
Immediately to inform thereof, to the end that the offender
may be disbarred... ABA Canon 29 states a broader ad- "Some states treat conviction for misdemeanors as grounds EC 2.1 The need of members of the public for legal
EC 2-7 Changed conditions. however, have seriously
monition: "Lawyers should expose without fear or favor be- for automatic disbarment .... However, the vast maiorit, services' is met only if they recognise their legal Ma-
accepting the common law rule, require that the misdemeanor restricted the effectiveness of the traditional aelection
fore An proper tribunals corrupt or dishonest conduct in the ims, appreciate the importance of seeking assistance,•
involve moral turpitude. While the definition of moral turpi- proems. Often the reputations of lawyers are not suf-
profession." tude rmaY Prove ,
and are able to obtain the services of acceptable legal
ficiently known to enable laymen to make intelligent
7. "It is the obli.tion of the organized Bar and the in- ilicfficult, It teems only mope; :halt:hose counsel.. Hence. important functions of the legal pro-
101)0 lawyer to give unstinted cooperation and .sistance choices!. The law has become increasingly complex
ZinuenInt,.-„ples■or:hgfr Ittc'errro'undantforstd: fession are to educate laymen to recognize then' prob-
to the highest court of the nate in discharging its fonction and barmen, A good ex is an assault and battery con- lems, to facilitate the process of intelligent selection of
and specialized. Few lawyers are willing and competent
duty with reaped to discipline and in purging the profmsion to deal with every kind of legal matter, and many lay.
of the unworthy." Report of the Smcial Committee on Dis- viction which would not Involve moral turpitude unless done lawyers, and to assist as making legal servicees fully
with heeler and deliberation... Id. at 491. available.' men have difficulty in determining the competence of
ciplinary Procedures, 80 A.B.A. REP. 463, 470 (1955). lawyers to render different types of legal services. The
8. Cf. ABA Canon 32. "The term `moral turpitude. has hero used in the law foe
unturies. It h. been the subject of many decisions by the Recognition of Legal Problems selection of legal counsel particularly difficult for
9. "We decline, on the present record, to disbar Mr. Sher- coons but has never been dearly defined became of the na- transients, persons moving into new areas, persons of
ma. or to reptirnand him-not became we condone his ac- EC 2-2 The legal profession should assist laymen to
tions, but because. as heretofore indicated, we are concerned ture of the term. Perhaps the best general definition of the limited education or means, aid others wh o have little
with whether he Is mentally responsible for what be has done. term 'moral turpitude' is that It imparts an act of haunts., recogni. legal problems because such problems may
or no contact with lawyers."
vileness or depravity in the duties which one person owes to I be self-revealing and often are not hirtely noticed..
"The logic of the situation would scorn to dictate the con- EC 2-8 Selection of a lawyer by a layman often is the
dmion that, if he was mentally responsible for We conduct another or to society In general which Is contrary to the usual, Therefore, lawyers acting under proper auspices should
we have outlined,be should be disbarred; and, If he was not accepted and customary rule of right and duty which a person encourage and participate in educational and public result of the advice and recommendation of third parties
mentally responsible, he should not be permitted to Pradim
law.
should follow. 58 CJ.S. at page 1201. Although offense.
Baal. revenue laws have been held to be crimes of moral
relations programs concerning our legal system with
particular reference to legal problems that frequently
-relatives, friends, acquaintances, business associates,
or other lawyers. A layman is best served if the recom-
"However, the flaw In the logic Is that be may have been urpitude, it bail also been held that the attempt to evade the mendation is disinteresmd and informed. In order that
mentally Irresponsible fat the time of his offensive conduct) payment of taxes due to the government . subdivision arise. Such educational programs should he motivated
thereof. while wrong and unlawful, does not involve moral by a desire to benefit We public rather than to obtain the recommendation be disinterested, a lawyer should
, and, yet, have sufficiently improved in the almost two not seek to influence another to recommend his employ-
and one-half years InMrverdng to be able to capably and Comm. publicity or employment for particular lawyers" Ex-
competently represent his clients. ... nc.11,Z, AC9VVI. 9471'.1722.ci, . 7. 1
7414r,"M amples of pessible activities include preparation of ment." A lawyer should not compensate another
(scr-
een for rcommending him. for influencing a prnpective
(1965). institutional advertisements' and professional articles
'We would make clear that we are satisfied that a case has "The right and power to discipline an attorney, as ore of Its for lay publications. and participation in seminars. lec- cli.t tonmploy
e him, or to encourage future recom-
been made against Mr. Sherman, warranting a refusal to officers, is inherent in the non. . . . This power is not tures, andcivic programs. But a lawyer who partici- mendations."
permit him to further practice law In this state unless he can limited to thme Instancesof misconduct wherein he has been pates in such activities should shun personal publicity..
establish his mental irresponsibility et the time of the Mime= employed, or has acted, In a profemional capacity: but. on Selection of a Lawyer: Professional Notices
charged. The burden of proof is upon him. the contrary, this power may be menised where his mis- and Listings
EC 2.3 Whether a lawyer acts properly in volunteer-
"If he establishes each mental irresponsibilitYlthe burden conduct outside the scope of his professional relations shows EC 2-9 The traditional ban against advertising by
Is then upon him to esMblish his present capability to ing advice to a layman to seek legal services depends
prac- him to he an unfit person 10 practice law." In re Wilson, upon thecircumstances." The giving of advice that
lawyers, which is subject to certain limited exceptions, rs
tice law.' In In Sherman. 58 Wash. 2d 1, 6-7, 354 P.24 888, 391 S.W.2d 9)4. 917-18 (Mo. 1965).
one should take legal action could well be in fulfillment
rooted in the public interest. Competitive advertising
890 (1960). cert. denied. 371 U.S. 951, 9 L. Ed. 2d 499, 83 S. 14. "It is a fair characterization of the lawyer.. resonant- would encourage extravagant, artful, self-laudatory"
Cl. 506 (1963). lanky In our society that he stands as a shield; to quote of the duty of the legal profession to assist laymen in
brashness in seeking business and thus could mislead
10."TMs Court has the inherent power to revoke a license Devlin, J., In defense of right and to ward off wrong. From recognizing legal problems." The advice is prope
r the hymn! Furthermore,
to practice law in Mis State, where such license was issued a profession charged with these responsibilities there must be only if motivated by a de ire to protect one who does it would inevitably produce
by this Court, end its issuance was procured by the fraudulent exacted those qualities of truth-speaking, of a high sense of unrealistic expectations in particular eases and bring
not recognize that he may have legal problems or who
concealment, or by the false and fraudulent representation honor, of granite discretion, of the strictest observance of is ignorant of his legal rights or obligation. Hence, the
about distrust of the law and lawyers... Thus, public
by Me applicant of a fad which was manifestly material to fiduciary responsibility. that have, lheeogboul centuries, cOnfidence in our legal system would be impaired by
the issuance of the license... North Carolina ex rel. Attorney been unnpendiously described as 'moral character.'" advice is improper if motivated by a desire to obtain
such advertisements of professional services. The at-
General v. Corson 209 N.C. 320, 326, 183 S.E. 392, 395 Schware v. Bd. of Bar Examiners, 353 U.S. 232, 247 1 L. personal benefit," secure personal publicity, or cause
litigation to be brought merely to harass or init. torney-client relationship is personal and unique
.S133t1)4, 171. denied. 298 U.S. 662, 80 L. Ed. 1387, 56 S. Ct. Ed. 2d 796, 806, 77 8. Ct. 752, 761 (1957) (Frankfurter, 2. an- should not be established as the result of pressores and
coucurrinid. other. Obviously. a lawyer should not contact a non- and
client, directly or indirectly, for the purpose of being deceptions." History has demonstrated steal public con-
894;.°Z,.ALP.7:;,"76°L.V.'4.1rPL3.1 'Particularly apifficable here is Rule 4.47 providing that 'A fidence in the legal system 4 best preserved by Strict.
P. irs.(21: lawyer should always maintain his integrity; and shall not retained to represent him for compensation.
795 (1958). willfully commit my act against the interest of the Public: tam self-imposed controls over, rather than by unlimited,
11. See ABA CAN. 29. EC 2-4 Since motivation is subjective and often dif- advertising.
shall he violate his duty to the coons or his clients; nor
12. In ABA Opinion 95 (1933), which held that a municipal shall he, by any misconduct, commit any offense mai ,. Pm ficult to judge, the motives of a lawyer who volunteers
attorney could Vol permit police officers to interview persons advice likely to produce legal controversy may well be EC 2-10 Methods of advertising that are subject to
laws of Missouri or the United Mates ol AINATICN, which
with claims against the municipality when the attorney know amounts to a crime involving acts done by him contrary to suspect if he receives professional employment or other the objections stated above" should be and are pro-
the claimants to be represented by counsel, the Committee 00 Maim. honesty, modesty or good morals; nor shall he be benefits as a result." A lawyer who volunteers advice hibited." However, the Disciplinary Rules recognize
Professional Ethics said: guilty of any other misconduct whereby, for the protection the value of giving assistance in the selection process
"The law officer is, of course, responsible for the acts of that one should obtain the services of a lawyer generally
of the public and those charged with the administration of should not himself accept employment. compensation, through forms of advertising that furnish identification
Chol
nrrol7 '5'41 justice, he Would no longer be entrusted with the duties and or other benefit in connection with that matter. How- of a lawyer while avoiding such objections. For ex-
responsibilities belonging to the office of an attorney.'" In re ample, a lawyer may be identified in the classified sec-
(amnned 209 N.eY V. 354-1912) held that It was • matter of Wilson. 391 S.W .2d 914, 917 (bin 1965). ever, a 4 not improper for a lawyer to volunteer such
disbarment for an attorney to adopt a general coarse of a, lion of the telephone directory," in the office building
proving the unethical conduct of employees of his client, even
though he did not actively participate therein.
15. See ABA CArion 29; 0. ABA CANON 28. adv. and render resulting legal services In close
friends, relatives, former clients (in regard to matters
directory, and on his letterhead and professional card..
16. CI. ABA Canons 28 and 29. But at all times the permitted notices should be dignified
germane to former employment), and regular clients."
and accmate.
EC 2.9 A lawyer who writes or speaks for the purpose
EC 2-11 The name under which a lawyer conducts
of educating members of the public to recognize their
his practice may be a factor in the selection process...
legal problems should carefully refrain from giving or
The use of a trade name or an assumed name could mis-
app.ring to give a general solution applicable to all
lead laymen concerning the identity, responsibility, and
apparently similar individual problems," since slight
status of those practicing thereunder." Accordingly,
changes in feed situations may require a material vari-
a lawyer in private practice should practice only under
ance in the applicable advice; otherwise, the public may
his own name, the name of a lawyer employing him, a
be misled and misadvised. Talks and writings by law-
yers for laymen should caution them not to attempt to partnership name composed of the name of one or more
of the lawyers practicing in a partnership,
solve individual problems upon the basis of the in-
formation contained therein." mitted by taw, in the name of a professionalor. if Per-
legal cor-
poration, Which should be clearly designated as such.
Selection of a Lawyer: Generally For many years some law firms have used a firm
retaining on or more names of deceased or name
EC 2-6 Formerly a potential client usually knew the partners aides retired
reputations of local lawyers for competency end integ- uch practice is not improper if the firm is
rity and therefore could select a practitioner hi whom a bona fide successor of a firrn in which the
Or retired person was a member, if the use of deceased
he had confidence. This traditional mlection process the name
4 authorized by law or by contract. and if the publi
worked well because it was initiated by the client and not misled thereby." However, the name c is
the choice was an informed one. of a partner
who withdraws from a firm but continues to practice
6
6 AMERICAN BAR ASSOCIATION CODE OF PROFESSIONAL RESPONSIBILITY 7
l
aayw ould.
oirm b,e
r.o
.n;iii tep
d. . the firm name in order to
fam Nugent. A lawyer should be mindful that many persons of the bar to make legal services fully available, a law- ciously injuring another... Likewise, a lawyer should
who desire to employ him may have had little or no yer should not lightly decline proffered employment. decline employment if the intensity of his personal
expellernce with fee charges of lawyers, and for this The fulfillment of this objective requires acceptance by feeling, as distinguished from a community attitude,
EC 2-12 A lawyer occupying a judicial, legislative, or reason he should explain fully to such persons the a lawyer of Ins share of tendered employment which may impair his effective representation of a prospective
public executive or administrative position who has the reasons for the particular fee arrangement he own... may be unattractive both to him and the bar generally... client. If a lawyer knows a client has previously ob-
right to practice law concurrently may allow his name
to remain in the name of the firm if he actively con- EC 2-20 Contingent fee arrangements" in civil caws EC 2.27 History is replete with instances of distin- tained counsel, he should not accept employment m the
tinues to practice law as a member thereof. Other wise. have long been commonly accepted in the United States guished and sacrificial services by lawyers who have matter unless the other counsel approves. or with-
his name should be removed from the firm name,and . in proceedings to enforce claims. The historical bases represented unpopular clients and causes. Regardless draws, or the client terminates the prior employment."
he should not be identified as a past or present member of their acceptance are that (lj they often, and in a of his personal feelings, a lawyer should not decline EC 2-31 Full availability of legal counsel requires
of the firm; and he should not hold himself out as being variety ofcircumstances, provide the only practical representation because a client or a cause is unpopular both that persons be able to obtain counsel and that
a practicing lawyer. m eans by which one having a claim against another can or community reaction is adverse.. lawyers who undertake representation complete the
economically afford, finance, and obtain the services of EC 2-28 The personal preference of a lawyer to work involved. Trial counsel for a convicted defendant
EC 2-13 In order to avoid the possibility of mislead- a competent lawyer to prosecute his claim, and (2) a should continue to represent his client by advising
ing persons with whom he deals, a lawyer should be scru- avoid adversary alignment against judges, other law-
successful prosecution of the claim produces a rer out yers,. public officials, or influential members of the whether to take an appeal and, if the appeal is prose-
puRus in the representation of his professional status.. of which the fee can be paid.. Although a lawyer cuted, by representing him through the appeal unless
He should not hold himself out as being a partner or community does not justify his rejection of tendered
generally should decline to accept employment on a employment. new counsel is substituted or withdrawal n permitted
associate of a law firm if he is not one in fact," and contingent fee basis by one who is able to pay a reasoff by the appropriate court.
that should not hold himself out as a partner or associ- able fixed fee, it is not necessarily improper for a law- EC 2-29 When a lawyer is appointed by a court or
ate if he only shares offices with another lawyer." requested by a bar association to undertake representa- EC 2-32 A decision by a lawyer to withdraw should
yer, where justified by the particular circumstances of be made only on the basis of compelling sire -
case, to enter into a contingent fee contract in a civil tion of a person unable to obtain counsel, whether for
EC 2-14 In some instances a lawyer confines his prac- financial or other reasons, he should not seek to be ex- stances", and in a matter pending before a tribunal be
tice to a particular field of law.. In the absence of caw with any client who, after being fully informed of must comply with the rules of the tribunal regarding
all relevant factors, desires that arrangement. Because cused from undertaking the representation except for
state controls to insure the existence of special compe- compelling reasons.. Compelling reasons do not in- withdrawal. A lawyer should not withdraw without
tence, a lawyer should not be permitted to hold himself of the human relationships involved and the unique considering carefully and endeavoring to minimize the
character of the proceedings, contingent fee arrange- elude such factors as the repugnance of the subject
out as a specialist° or as having special training or matter of the proceeding, the identity.. or position of a possible adverse effect on the rights of his client and
ability, other than in the historically excepted fields of ments in domestic relation cases are rarely justified. In the possibility of prejudice to his client^ as a result of
administrative agency proceedings contingent fee con- person involved in the ease, the belief of the lawyer
admiralty, trademark, and patent law.. that the defendant in a criminal proceeding is guilty," his withdrawal. Even when he justifiably withdraws, a
tracts should be governed by the same consideration as lawyer should protect the welfare of his client by giving
EC 2-15 The legal profession has developed lawyer in other civil cases. Public policy properly condemns or the belief of the lawyer regarding the merits of the
civil case.. due notice of his withdrawal," suggesting employment
referral systems designed to aid individuals who are contingent fee arrangements in criminal cases, largely of other counsel, delivering to the client all papers and
able to pay fees but need assistance in locating lawyers on the ground that legal set vices in criminal cases do EC 2-30 Employment should not be accepted by a property to which the client is entitled, cooperating with
competent to handle then particular problems. Use not produce a res with which to pay the fee. lawyer when he is unable to render competent service" counsel subsopently employed, and otherwise en-
of a lawyer referral system enables a layman to avoid EC 2-21 A lawyer should not accept compensation or or when he knows or it is obvious that the person seek- deavoring to nunimi. the possibility of harm. Further,
an uninformed selection of a lawyer because such a any thing of value incident to his employment or see- ing to employ him desires to institute or maintain an he should refund to the client any compensation not
system makes possible the employment of competent avices from one other than his clieot without the knowl- action merely for the purpose of harassing or math earned during the employment..
lawyers who have indicated an interest in the subject edge and consent of his client after full disclosure..
matter involved. Lawyers should support the principle
EC 2-22 Without the consent of his client, a lawyer
of lawyer referral systems and shouldencourage the should not associate in a particular matter another law- DISCIPLINARY RULES
evolution of other ethical plans which aids
id in the selec-
yer outside his firm. A fee may properly be divided be- DR 2-101 Publicity In GetteraL,
tion of qualified counsel. by name and as a lawyer, and giving his ad-
tween lawyers. properly associated if the division is in (A) A lawyer shall not prepare, came to be prepared, dresses, telephone numbers, the mine of his
EC 2-16 The legal profession cannot remain a viable proportion to the services performed and the responsi- use, or participate in the use of, any form of public law font, and any loformation permitted un-
force in fulfilling its role in our society unless its mem- bility assumed by each lawyer" and if the total fee is connounication that embalm professionagy self der DR 2-105, A professional cord of a law
bers remise adequate compensation for services an reasonable. laudatory stalanents calculated in attract lay firm may oho give the names of members and
dered, and reasonable fees" should be charged in EC 2-23 A lawyer should be zealous in his efforts to clients; as used herein, "public connimmicallon. In- associates. Such cards may be used fur idea-
appropriate cases to clients able to pay them. Neverthe- avoid controversies over fees with clients.' and should cludes, but is not limited to, communication by tifirolion" but may not
n ot be published in peri-
less, persons unable to pay all or a portion of a reason- attempt to resolve amicably any differences on the sub- means of television, radio, motion pkt are, news- odicals, .401431.71,
paper, magazine, or book. or other
able fee should be able to obtain necessary legal ser- ject.. He should not sue a client for a fee unless neves- media."
vims," and lawyers should support and participate in sary to prevent fraud or gross imposition by the client." (II) A lawyer shall not publicize himself, his parker, or (2) A brief professional announcement card stating
ethical activities designed to achieve that objective... associate as a lawyer through newspaper or maga- new or changed associations or addresses,
Financial Ability to Employ Counsel: zine advertisements, radio or television announce- change of firm MUM, or similar °tatters per-
Fins plat Persons Unable to Pay Reasonable Fees ments, display advertisements in city or telephone
directories, or other 111.1IS of commercial pub- taining to the professional office of a lawyer
EC 2-24 A layman whose financial ability is not suf- or law firm, which may be mailed to lawyers,
ficient to permit payment of any fee cannot obtain legal licity,^ nor shall he authorize or penal others to clients, former clients, personal friends, and
EC 2-17 The determination of a proper fee requires do an in his behalf^ except as permitted under DR
consideration of the interests of both client and lawyer.. services, other than in cases where a contingent fee is relatives.. It shall not state blographimi data
appropriate, unless the services are provided for him. 2-103. Ibis does sot prohibit sad digni-
A lawyer should not charge more than a reasonable except to the cabal reasonably necessary to
Even u person of moderate means may he unable to fied Identification of a lawyer as a lawyer as well
fee,° for excessive cost of legal service would dam lay- as by name": identify the lawyer or to explain the change hi
men from utilizing the legal system in protection of pay a reasonable fee which is large because of the com- bh association, bot it may stale the Immediate
, ity,..rovelty, or difficulty of the problem or similar
lex (1) In pofitical advertisements when his profes-
their rights. Furthermore, an excessive charge abuses past position of the lawyer." It may give the
F sional status is germane to the political cam- names and dales of predecessor fines In a con-
the profeuional relationship between lawyer and client. paign or to a polideal
On the other hand, adequate ComPeasittiou EC 2-25 Historically, the need for legal services of (2) In public notices when the name and profession tinuing line of succession. It shall not state
in order to enable the lawyer to serve his client ef- those unable to pay reasonable fees has been met in of a lawyer are required or authorized by law the nature of the practice except as permitted
fectively and to preserve the integrity and independence part by lawyers who donated their services or accepted under DR 2-105."
or are reasonably pertioent for a purpose other (3)
of the profession... court appointments on behalf of such individuals. The A sign on or near the door of the office and
than be attraction of potential clients..
basic responsibility for providing legal services for (3) In roodne reports and announcements of a in the building directory identifying the law
EC 2-18 The determination of the reasonableness of those unable to pay ultimately rests upon the individual
bona fide bness, civic, professional, or po- office. The sign shall not stale the nature of
a fee requires consideration of all relevant circum- lawyer, and personal involvement in the problems of the proclice, except as permitted under DR
stances," including those stated in the Disciplinary litical organization in which he serves as a
the disadvantaged can be one of the most rewarding director or officer. 2-105.
Rules. The fees of a lawyer will vary according to experiences in the life of a lawyer. Every lawyer, re-
many factors, including the time required, his experi- (4) In and on legal documents prepared by hint. (4) A letterhead of a lawyer identifying him by
gard)ess of professional prominence or professional name and as a Wryer, and giving his addresses,
ence, ability, and reputation, the nature of the employ- workload, should had time to participate in serving the
(5) In and on legal textbooks, treatises, and other
ment, the responsibility involved, and the results ob- legal publications, and in dignified advertise- telephone numbers, the name of his law firm,
disadvantaged. The rendition of free legal services to associates and any information permitted un-
tained. Suggested fee schedules and economic reports ments thereof,
those unable to pay reasonable fees continues to be an der DR 2.105. A letterhead of a law firm
of state and local bar associations provide some gaid- obligation of each lawyer, but the efforts of individual (C) A lawyer shall not compensate or give any thing of
ance on the subject of reasonable fees." It is a com- value to represenadva
e of the press, radio, tele- nay also give the names of members aud as-
lawyers are often not enough to meet the need.. Thus sedates," and names and dates relating to de-
mendable and long-standing tradition of the bar that it has been necessary for the profession to institute ad- vision, or other communkation medium in antici-
special consideration is given in the fixing of any fee pation of or la return for professional publicity in ceased and retired members." A lawyer may
ditional programs to provide legal services.. Accord- news If be designated "Of Counsel" on a letterhead if
for services rendered a brother lawyer or a member of ingly, legal aid offices,"lawyer referral services,. and he has a continuing relationship with a lawyer
his immediate family. other related programs have been developed, and others DR 2-102 Professional Notices, Letterheads, Offices, or law firm, other than as a punier or assod-
EC 2-19 Assoon as feasible after a lawyer has been will be developed, by the profession." Every lawyer and Law Lists ate. A lawyer or law firm may be designated
employed, it is desirable that he reach a clear agree- should support all proper efforts to meet this need for (A) A lawyer or law firm shall not use professional as "General Counsel or by similar profess
ment with his client as to the basis of the fee charges legal services." cards, professional announcement cards, office shoal reference on steamier, of a client if he
to be made. Such a course will not only prevent later signs, letterheads, telephone dirmtory listings, law or the firm devotes a substaodal amount of
misunderstranding but will also work for good relations Acceptance and Retention of Employment lists, legal directory listings, m sham professiorial professional time in the representation of dud
between the lawyer and the client. It is usually bene- EC 2-26 A lawyer is under no obligation to eel as notices or devices," except that the following may client." The letterhead of • law firm may give
ficial to reduce to writing the understanding of the adviser or advocate for every person who may wish to be used if they are in dignified form the names and dales of predecessor firms ha a
parties regarding the fee, particularly when it is con become his client; but in furtherance of the objective (1) A professional card of a lawyer identifying him continuing line of succession.
8 AMERICAN BAR ASSOCIATION CODE OF PROFESSIONAL RESPONSIBILITY 9
(5) A !bathe of the office of a lawyer or law finn jurtsdictionseu however, the more firm name may his stokes does so as a result of cooduct pro-
in the alphobetithl and classified writhes of be used In each jurisdiction. skill requisite to perform the legal service
hibited under this Disciplinary Rule. properly.
the telephone directory or directories for the (E) A lawyer who is engaged both in the practice of
geographical area or areas in which the lawyer DR 2.104 Suggestith of Need of Legal Services.. (2) The likelihood, if apparent to the client, that
law and another profession or business shall not or (A) A lawyer who has ghee unsolicited advice to • the acceptance of the particular employment
resides or mainedas offices or in which • sig. Indicate ou his letterhead, office sign, or profes-
nifiCant part of his clientele resides" and to the laymen that he Mould obtain counsel or lobe lege] preclude other employoreut by the lawyer.
sional card, our shall he identify himself as a (3) The
T fee customarily charged to the locality for
city directory of the city in which his or the lawyer in any publication la connection with his action shall not accept employment resulting from
firm.s office is located. but the listing may that odvice.^ except that: ahnithe legal services.
other profession or business. (4) The amount Involved and the results obtained.
give onO the mune of the lawyer or law firm, (1) A lawyer may accept employment by a close
(F) Nothing contained herein dull prohibit • lawyer (5) The time limitations lammed by the clieut or
the fact he is a lawyer, addrthses, and tele- from using or permitting the use, to connection friend, relative, former client (If the advice is
phone numbers.. The listing Moil not be In germane to the former employment), or one by the circumstances.
with his name, an earned degree or title derived whom the lawyer reasonably believes to be a (6) The nature and length of the professional re-
distinctive form. or type.. A law firm may therefrom indicating his Indidiag in the law. lationship with the client
have a listing In the tints name separate from chkoLm (7) The experience. reputation, and ability of the
that of Its members and associates.. The list- DR 2-103 Recouruithdaton of Professional Employ- (2) A lawyer nary accept employment that results
ing in the classified section shall not be under ment:. from his participalion In mashie. designed to lawyer or lawyers performing the services.
(A) A lawyer shag not recomothod employment, as a (8) Whether the fee Is fixed or contingent..
• heading or classification other than "At- edmale laymen to recognise legal problems, to
torthys" or .Lawyert. except that additional private practitioner,°• of himself, his partner, or make intelligent selecdon of counsel, or to (C) A lawyer shall not enter lulu as arrangthient for,
headings or classifications descriptive of the associate to a nos-lawyer who ins not sought his utilize available legal services if such activities charge, or coiled a contingent fee for represent-
advice regarding employment of a lawyer:. ing a defendant to n criminal case..
types of practice referred to in DR 2.105 are are couducted or sponsored by any of the
permitted... OD Except as permitted under DR 2-103 (C), a lawyer offices or organizations enumerated in DR DR 2-107 Division of Fees Anal./ Lawyers.
(6) A listing in a reputabk law list. et legal di- shall not compensate or give anything of value to 2-103(0)(1) through (5), to the extent and un- (A) A lawyer shall not divide a fee for legal serykes
rectory giving brief biographical and other in- a person or organisation to recommend or secure der the conditions prescribed therein. with another lawyer who is not a partner to or
formative data A law Wt or directory is not his employment.. by • client, or as a reward for (3) A lawyer who Is furnished on paid by any of associate of his law firm or law office, lurks=
reputable If its management or contents are haring made recommeudation resulting In his the offices or organizations enumerated In DR (1) The client consents to employithot of the other
likely to be misleading or Injurious to the pub- employment.^ by a client. 2-103(D)(1), (2), or (5) may represent a mem- lawyer after a full disclosure that a division of
lic or to the profession.. A law list to con- (C) A lawyer shallot request a person or organisa- ber or beneficiary thereof, to the extent and fees wM be made.
elusively established to be reputable if It Ls tion to recommend employment, as a private prac- under the conditions prescribed therd. (2) The division is made hi proportion to the ser-
certified by the American Dar Association as titioner, of himself, his partner, or agar:dote,. (4) Without affecting hi. right to accept employ- vices performed and rmpousibility assumed by
being In compliaece with Its rules and stan- except that he may remmi referrals from • lawyer ment, a lawyer may speak publicly or write for each:.
dard. The published data may Include only referral service operated, sponsored, or approved pubilthlion on legal topics. so long m he does (3) The lend fee of the lawyers does not clearly
the following: mum including some of law by a bar associatho representative of the general not emphasize his own professiothl experience exceed reasonable thmpensation for all legal
firm and names of professional amoclatea; ad- bar of the geographical area In which the associ- or reputation and does not understand to give services they rendered the client..
dresses.. and telephone numbers; one or more ation exists and may poy its tem Incident thereto.. Individual advice. (ID This Disciplinary Rule does not prohibit payment
fields of law to which the lawyer or law firm (D) A lawyer Mall not knowingly assist a person or or- (5) It 6110000 to asserting rights or defames of his to a former partner or associate pursthnt to a sopa.
concentrates.' a statement that practice is hauls:Atkin that recommends, thrashes, or pays for client in litigation in the nature of a class action ration or retkeintht agreement
limited to one or more fields of law; a state- legal services to promote the use of his services or dependent upon the joinder of others, a DR 2-108 Agreements Restricting the Practice of •
ment that the lawyer or law fine specializes those of his northers or associates. However, he lawyer may accept, but shalt not seek, employ- Lawyer.
In a particular field of law or law practice but may cooperate in a dignified matinee with the keel ment from those contacted for the purpose of (A) A lawyer shall not be a party to or participate In a
only U authorized under DR 2-105 (A)thh. service activities of thy of the following, provided obtaining their joinder:. partuership or employment agreement with another
date and place of birth; date and place of ad- that his independeut professional judgment is ex- lawyer that restricts the right of a lawyer to prac-
mission to the bar of stale and federal courts; DR 2-105 L011110000 of Practice..
ercised In behalf of ben cheat without interference tice law after the termination of a relationship
schools attended, with dotes of graduation, de- or control by any organinthou or other person: (A) A lawyer shall not hold himself out publicly as a created by the agreement, reel as • condition to
grees, and other scholastic distinctions; public (1) A legal aid office or public defender office: specialist'• or as limiting his practice,. except as paynient of retirement benefits.'"
or quasi-public offices; military service; posts permitted under DR 2-102 (A) (6) or as follows
of honor; legal authorships; legal teaching po- (a) Operated or sponsored by a duly accredited (1) A lawyer admitted to practice before the (11) In roomed:1ln with the settlement of • controversy
law school. United States Potent Office may use the desig- or suit, a lawyer shall 001 enter Into au agreement
sitions; memberships, offices, thmmillee amiant-
us:rots, and section memberships in bar associ- (b) Operated cc sponsored by a bona fide non- nation Patent Attorney, Patent Lawyer, Trade- that restricts his right to practice law, but he may
profit community orgianithlioh enter into an agreement not to accept aey other
ations; memberships and offices In legal fra- (c) Operated or spothored by a governmental mark Attorney, or Trademark Lawyer, or any
ternities and legal socletim; technical and pro- combination of those terms, on his letterhthd representation arising out of a transaction or meet
embraced in the subject matter of the coaleovoray
fesskmal licenses; memberships in scientific,
technical and professional associations and so-
O
(d) Operated,
perated, sponthred, or improved by a bar and office sign, end a lawyer actively engaged
In the admiralty practice may use the desig- or suit thus settled.
association representative of the general DR 2-109 Acceptance of Employment
cieties; foreign language ability; names and ad- bar of the geographical area In which the nation Admiralty or Admiralty Lawyer on his
dresses of references, and, with their consent, lettethead and office sign.. (A) A lawyer shall not accept employment on behalf of
associotion exists:.
names of clients regularly represented.. (2) A military legal assistance office. (2) A lawyer may permit his name to be listed in o persou ff be know or it Is obvious that ouch per
(B) A lawyer to private practice Mall not practice un- (3) A lawyer referral service operated, sponsored, lawyer referral service offices according to the whiles to:
der • trade name, a name that Is misleading as to or aproved
p b a bar association representa- fields of kw in which he will occept referral. (1) Bring a legal action, conduct a defense, or as-
the Ideality of the lawyer or lawyers practicing tive of the general bar of the geographical sea (3) A lawyer available to act as a consellant to or sert a prwIllon In litigation, or otherwise hove
under such mine, or a firm mere containing nooks to which the association exists... as an asoodate of other lawyers In • particular steps taken for hint merely for the purpose of
other thon those of one or more of the lawyers to (4) A bar association represeutotive of the general bf...ch of law or legal service may distribute horn:ohm or malidously Injuring say person:.
the firm, except that the name of • professional bar of the geographical area in which the as- to other lawyers and publish in legal journals a (2) Present a claim or defense 10 litigation that is
corporalion or professionalassociation may con- sociation exists.. dignified announcement of such availability,. not warranted under existing law, 11111081111 can
tain .P.C.. or °P.A.. or similar symbols Indi- (5) Any other non-profit organisation that recom- but the announcement shall not contain a rep. be supported by good faith argument for an
cating the nature of the orgadmtioe, and if other- mends, furnishes, or pays for legal services to nth:dation of special competence or experi- extension, modification, or reversal of existing
wise lawful a firm may use as, or continue to in- Its members or beneficiaries, but only in those ence.. The announcement shall not be dis- law.
clude In, Its name the name or nanies of one or Mentor. and to the extent that controlling con- tributed to lawyers more frequently than once
more deceased or retired members of the firm or DR 2-110 Withdrawal from Employment:.
stitutional interpretation at the lime of the Iv a calendar year, but It may be published (A) In general
of a predecessor firm In e confining line of suc- rendition of the services requires the allowance periodically In legal journals.
cession:. A lawyer who assumes a judicial, legis- (4) A lawyer who Is certified as • specialist to a (1) If permission for withdrawal from employment
of such legal service activities,. and Only if is required by the rules of a tribunal, a lawyer
lative, or public executive or administrative post or the following conditions, unless prohibited by particular field of low or law practice by the
office shaft not permit his name to remain hi the such interpretation, are met: authority having jurisdiction under stale law shall not withdraw from employment In a pro-
name of a law firm or to be used in profethional (a) The primary purposes of such organiration over the subject of specialization by lawyers ceeding before that tribunal without its wr-
node. of the firm during any significant period in oth/do.
do not include the rendition of legal oth- may hold himself out as such specialist but only (2) In any event, a lawyer shall not withdraw from
which he it not actively and regularlY practicing vices.
he la accordance with the rules prescribed by that
law as a member of the firm:• and during such (h) The furnishing, or pirybitt authority.. employment until he has taken reasonable steps
period other members of the firm shall not use his for legal services to its members Is incl. to avoid foreseeable prejudice to the rights of
name In the firm name or in professional notices DR 2-106 Fee. for Legal his client, lucluding giving due notice to his
dental and reasonably related to the pri- (A) A lawyer shall not eater into an agreement for, client •Ilowing lime for employment of other
of the firm.. mary purposes of such orgindmIlon.
(C) A lawyer shall not bold himself out as having a charge, or collect an illegal or clearly excessive counsel, delivering to the client all papers and
partnership with one or more other lawyers unless (c) Such organization does not derive a fine.- fee.. property to which the client Is entitled, and
they are In fact partners.'" dal benefit from die re:Wilke of legal (It) A fee is clearly excessive when, after a review of complying with applicable laws and rules.
(D) A partnership shall not be formed or coutinued services by the lawyer. the facts, a lawyer of ordinary prudence would be (3) A lawyer who withdraws from employmeet
between or among lawyers licensed in different (d) The member or beneficiary for whom the left with a definite end firm conviction drat then shall refund promptly any part of a fee paid
jurk.dicfiona unless all enumerations of the mem- legal services are rendered, and out such
organization to recognised as the client of
fee is in excess of a reasonable fee. Factors to be la advithe that has not been earned.
bers and associates of the firm on Its letterhead and considered as guides In determining the reasonable- (It) Mandatory withdrawol.
in other Issible Iktlnga makelear the juris- the lawyer in that matter. ness of a fee Include the followirth A lawyer thpresentIng a client before tribunal,
dictional limitations on those members and asso- (E) A lawyer shall not accept employment when he (1) The thne and labor required, the novelty and with its permlthon if required by a ts rules, shall
ciates of the firm not licensed to practice In all listed knows or it Is obvious that the person who seeks difficulty of the quo:dons Involved, and the withdraw from employment, and l lawyer repro.
10 AMERICAN BAR ASSOCIATION CODE OF PROFESSIONAL RESPONSIBILITY 11
seining a client in other natters shall withdraw (c) holds that the lawyer pursue a course of
"There Is no ethical or307other
9. Cf. ABA Opinions
torney may not write articles
(1962)valid
on
andreason
leg
179 (1938).
why an a dotswhich
by this, 'sitelf-laudation'
is 'reprehensible.' This seems
is measured... to be
State the test
v. Nichols,
from employment, if; conduct th is ill et s proIbed
alms al subjects for maga- 151 So. 2d 257, 259 (Fla. 1963).
trade and newspapers. The fact that the pub lication is •
(1) Ile knows or it Is obvious that his °Bent Is under the D sci pl nR ulha
22. Were It not for the prohibitions of ... /Canon 27]
journal or magazine, to tEL difference as to the lawyers could, and no doubt allwould be forced
bringing the leant action, conducting the de- (d) By other conduct renders it unreesonably
ethical questk.n involved. On the other hand, it would to engage
be competitively
to explainin 10advertising the publicofwhy kin. in which serveea. mould
fense, or asserting a position hi We litigation, difficult for the lawyer to carry net his em-
or It otherwise having steps taken for him, ployment effectively. unethical
theother and
attorney tocontrary
allow his.to theas precepts of
toa befreecarried the Cano m for
the magazine
seek he could better and
merely for the purpose of harassing or ma- (e) insists, in a natter not pending before a orsubscribera
publication legal Inadviser for theto accomplish
"Susceptible more as than
we his brothers al the Bar.
liciously injuring any persons. tribunal, that the lawyer engage in conduct lo the publication Such would be contrary thenhbehaencouraged
whic to are
choose to advertisin
an arytorney g the publicbasis
ovhe would
os programof
rather thand the on hishet..
(2) lie knows or it is obvious that his continued
employment swill result in violation of a Dis-
ciplinary
that Is contrary to the judgment and advice
of the lawyer Ind not prohibited meder the
Disciplinary Rules. Opinions 31..1742P.
," rt'd
ess.9
i ;a
and
s,711Wr e0v0=7 4
b.17t1 re'
Opinion
1
'162 (1936).S00 reputation wham
mono
This would certainly main, if not destroy. the dignity
e arborti
for professional „Witty.
ThisABA
56)."
(3) Ito menial or physical condition renders It on- CANON 28.
reasonably difficult for him to carry out the em-
(0 Deliberately disregards an agreement or
"We 11.
10. See
question can the licontention
me constitutional dimensions: f•ritlhIrlIrnSt. tr.257! he 01r110?119t1S'aLms.x.r.;
whollymeet al thetheoutset that 'solicitation' the Firstis
obligation to the ffiwyer as to expenses or
ployment effectively.
(4) He is discharged by his Client.
fen.
(2) His continued employment is likely to result Amenchnent. outside To this area contention
of freedomsthere protected
are twobyanswers. "p n7C1.'AL"CI,V,
24. 'Ile prohibItIon of advertisins by lawyers deserves
'"
(C) Permissive witholawal.'" to a violation of a Disciplinary Rule. The first
constitutional Is that
rightsalaSlate
by mere .nnot foreclose
labels. The .0.50 the exercise
Is that ab-of some examination. All agree Nat advertisin g by an indi-
If DR 2.110 (I3) Is not applicable, a Integer moll (3) His inability to work with co-counsel Indkates
stract vidual lawyer, if permitted
the materwillgoes detract horn the dignity
this. Per-of
which discussion not the only species
the ThatofAmendmentcommunication the professMn, but and deeper than
not request permission to withdraw in matters
pending before a tribunal, and may not withdraw
that the best inderesis of the client likely will be
served by withdrawal. protect the ConstitutMn
vigorous advocacy. protects:certainly of lawful ends, ...aim(
also haps
reasons the most understandable
we have found are stated by acceptable
one commentator additional as
In other matters, Imams such request or such with-
drawal Is because: (4) His mental or physical toreador. renders it
difficult for him to carry out the employment
governmental s intrusion. . . . follows:
" '1.That advertisements, unless kept within narrow
the"However validillegmayal bepractice
VirgMlahl interestmaintenance
in regulating limits like anyandother ouchtone of solicitation, tendpublicto it
(1) His cHaab
(a) Insists upon preseeneg a claim or defense
ettecfiyely.
traditionally of barratry, up litigation, tendency is against the
li " '2.ineet.
that is not warranted under existing law (5) His client knowingly freely assents to ter-
and cannot be supported by good faith red
ainatioe of his employment. Orfulthc.hwas
Intent rz,P,','01:2tig:7,tidord
of the essence of the l'41.tr. common-law ,Vcct.Praatiel
offensesibeof Thal if there were no restrictions on advertisement,
(6) He believes le good faith, in a procmdIng
fomenting the least publishand theleast mosthonorable
“travag lawyers would
or may haveor been stirring
argument for an extensions, modification,
pending before a tribunal, that the tribunal will
trueupoflilWation.
suits awinstAndgovernments
whatever may
in 01900 be apt
material tocapable
about themselves, largand Mat ant
ate and
harm alluring
fall onwhich
or reversal of existing law:"
aides, the cwrcise in our own, as in this case of First
find the existence of other good cause for with-
(b) Personalty seeks to pursue an illegal course
Amendment rights to would result would, in e measure, the
ofenforce Constitutional rightsmalicio.."
through
of conduct. drawai
NOTES litigation,
NAACP v.asHutton,
a matter law,015, cannot429,be439-40,
deemed ...3.Inducements
rallht TeMi,rat""Z. 0,5J assurances of success 04, car
they atutional of a will; of lawyer referral
draftingadvertising and 227 per mitting insti- 405. 415-16. 422, 83371 S. 27.U.S.
Cl. 328, 336, MI (1963).
9 L. Ed. 2d
or of satisfaction for employment,
to the
I. "Menhave
eed need forofoforelawNan
lneyforhavea system whicha system
functions, of law;
and that holding that
Opinions 205
advertising by lawyer members plans; ofThenionMinas
Opinion
Opi 191 12. See
13. ABA Canon
-The Canons of Professional Ethics of the American could not be realized, andclient, which assurances
That the siring of soch
meansneed need for lawyers." Cheatham,
23 RocaT Me. L. A.. 405
The Law-
ted sponsored plan violated
Ethicsdainstitutional sustained bar Bar
erallyAssociation
prohibit theand the decisions of
ofthe courts fornonegaingen- toassuran.s
use ill means would materially
to secure increase
the end the
desired temptation
by the
. awwi-of
Canon 27.
yer's Role and Surroundings,
Committee, in its of • check-apt direct solicitation business by client.
theplan
Opinion 201,
(1.534.aw Is not self-applying; men must apply and utilize ation "This Committee advertising squarely inonconnection
has panedadvertising question an attorney
munication; either
and alsothroug
condemn h advertisement
the procuring or ofpersonal
businesscom- by "'In other
conclusion words, the reasons for the rule, and for the
I1 in concrete cases. But the ordinary man is incapable.
He cannot know the principles of law or the rid. guiding thelegal
propriety of institutional
checkup plan. Informal Decision C-ill quotes
with indirection throug tohbreed
touters of any bykind.
seeking isoutdisreputable Itentirely,
will notoradmit tothatlimit it Is d.irable
It within aresuch
to prohibit
narrow advertising
bounds that
the machinery
how to1010
formulate of law desires
writing;his
administration;
he is ineffective
he doesand
with inprecision
the presentation
nottoknow putof awith
ollos: expr.s approval the Michigan Ethics Committee as for anclaim
inhaveorder
attorney
to secure them
litigation
s for personal injuries or other grounds of action
as client. , or to employ agents or
those who and
mitted, probability
will * abused.'
ofthat
abuse,thisHarrison
means bawd of on
Dewitt publicity,
Ina comment
if per-
Inc possibility
hishemclaims." As a public service, the bar has in the past addressed ropers, ofor business
to reward tothose who bring or influence the IS
by3.Association,
."This need Ito provide legal services] was recognized the public as to the hnportance of making with, pons,
Id.
counsel in connection with bringing Ms office. . Moreover, it tends 14‘;1'.."4,4,1.1dT,r).r.77.1cdr.".;,=".311
Bar . . Mr. [Lewis
1963-64],F.1 Powell
who said; (Jr..President, American
'Looking at content- In the same way, thealways bar, noreal
such,estate
maytransaclions,
itrecommend
this
this quite easily
quite to the institution
of perjured testimony.
of baseless litigation and the Ed., 1955).
"Of course, competition
M
p . 525. is at the root of the abuses
porary America realistically, we must admit
beenthat despite all program.
mat there is
eel
provided suggestion that
of itsolicitation
does to such
on behalf of
a way
ofordangthe
ercrime
has been recognized in the orlawFromby theearl) times,
condemnation this advertising
pete .
withdoubt If
his the individual
fellows lawyer were ghpermitted to com-In
our efforts
undertoolaw. manyto dale
Thispersons
(and these
usuallyarcresultsnothave
able not
to obtain insignificant),
theirequal Justiorce ABA any individual307lawyer."
(15.62)• Ades,quarrels6 F.Supp.
of common
between barratry,
467. individuals at lawtheorstirrin g up of suits
otherwise... In re have
would no that Mr. InHewpiddle. throu advertising.
ht's three points, quoted above,
we
because poverty 474-75 (D. Mary. 1934).
n v.accorately
Wilson, 102forecast the result" Jacksonville
1958). Bar
for
their ignorance has byprevented
E. Clintonthem from obtaining legal 6. "We recognize
Opinion
a distinction between teaching the lay 14. "Rule Ass'
25. ABA So. 2d 292, 294-95 (Fla.
ofcounsel.' " Address Bomberger, Association 27.
2.
American Law Schools 1965 Annual Meeting, Dec. 28, rerubciltcarlige:"=':ogi="nol Perri' '1O.. i fferfian7= ] memberbyof the Stale Bar shall not solicit profes-
• •• 26. See CANON
309 (1964)
(063) and and 284 284 (1951).
(1951).
PART II, 1965, 61, 63-64 (1965).
and by theorpublic
fur a interest
partimilarandlawyer. nThethe former tends to promote sional •employment 27. Cl. ABA Opinions
1965, "Ainwide
PRocamonca, 313
needreveal.legalLooked services The latter isenhance public the publicofand the Cf. ABA Opinions
gapasseparates
numerousthestudies prolcsilim. calculated to injureestimation "(I) Volunteering tr st or advice except where ties CJe
23.1
its satisfaction, et from ABA C6'51=52733.103 (1961).
for
the side of layman , one reason for the gap is poverty degrade th e profession. ofB blood relationship or trust
u make it appropriate."
Can 1W76 (West 1962).
CAL.
inability to pay legal fees. Another set USI xeaa 30. See
ofandreasons
the consequent
Inc AND PlIOFESSIONS CANON
which Is calculated to teach layman the A member her of the StatethroughBar shallor in
"Adverlisins legaltheservices
31. Id.
is wnoran a of the need for and the value of advise inquirera or r.der continued use of a firm name by one orofmore sur-
15. "Rule lb . . .
of where to find a dependable benefits andlayadvantages Mil to them not
andofenable
preventive viving
The
legal services. and ignorance 10 render • connection with a newspaper. radio or other publicity whose.rtners isafter
in thethefirmdeath title isoffor a member thebyfirm
lays
chargingof the law, and there h fear of overrea.ing and °vet- benefitdesirable
lawyer. There is fear of the mysterious pr.esses and de-
by lawyers, a fear stimulated by the .casio.1
the pubtic
179 (1938).and beneficial the lawyer
professional service... .ABA
=s","Till'Zflirr'ornlath 'sur:IraVrc5e'yh'Ilriatrrc= PrI7c1 Canon. nameof Ethics.by theirThe Mintr.son
expressly
and severalthisefforts
permitted
I,that all of the
the
,,,,`1401a lional7. "IA
Opinion
bar
educationalassociation]
campaign moy socnsage asinItwith
longlaw., adoesdi gnified /alike- for his servic.."
16076 (West 1962). Boson. win
CAL. PROFESSIONS Coo. of yearslnhave .ntributed ofto athefirm haood will attached over a period
to the firm
""T c""nm.,,terri.4 the Identification of a particular thenotcout
involve M. "In any case where a member might well apply the name. Ow
will lecase ving widespread connection,
rie.1;.is„,114', not only the right but the dot, of44. the0;40). Mice given In the ;minion to his individual agate, the this good disturbed bya change In firm
a oflossname eve.
heck-op
program. Such educational material may point the
as4.a "Itwhole tolawyer rendering the opinion anon ruing problems common lime a nameof thepartner dies,toand theNat reflects in some
profession
to utilize ouch methods as may be developed to value of the annual check-up and maY be Printed in new.-
members of an association degree good will building which the
brine
so longtheasaerviccs
this320canof(M.).
its
be members
done ethically to those who need
, and with Wank),"
them, E! °'.;••c".Tra,_°,11P9, 1ill21..;r00br:"."17; or pro The
through a periodic bulletin] and distributed tomember
should specifically the members
state that• survivins
labor partners
through have contributed their up,
time.
this skidlassofand
"Mhere is a responsibility printe'
through r'materials may ore
the offices of personsdismouted othea rdisnifieu with
having close dealings way this opinion
basis for handling should hisnotindividual
be relied on by
affairs, any
butpublication
that in every as firm name is a periodandof toyear, mat To theavoid
requirements the
theto
to those who on the bar 10Themake legal ser- Canon aredielisted."
individuals constituting
ABA Opinion continued.
as, for example, banks, real estate agents, insur- case he should consult his counsei. In the of firm from Woe
vices
lege
elusive
available
brings responsibilities,' need
can bethem.expanded to teed,IBM.
maxim, cx- lawyers
ance agents
ofh.s. The barandassociation
others. Theymaymayprepare be available
andannual in lawyer.'to
distribute
the opinion the association 273 should make
(1946). a similar stem-
time
name "Ac.ptedof a law localfirm custom
ABA Opinion
doe not
267the0945).
to New York recognizes that the
to assureprivilege
that thetoservice render is public sent. brings inresimnsitnn
ma.... ABA Opinion
necessarily identify the Indi-
Cheatham, available to those need of it. lawyers materials and forms for
307 (1961), ow In the legal on17.the"Aavailability
group of recent of legal interrelated
services.. chang. !One! eschange
bean directly
andis the
vidual members of the firm, and hence the continued use of
8.. "A- lawyer may propriety rile articles for pubh.,
with information .astantly acceleratins urbanization the country the aadweased
firm name one,* death of one or more partners useisofbya
Availability of Legal Services: The Responsi- check Up.. ABA Opinion
decline deception and sisname
permissible.... firmThe OMcontinued
nob
he gives upon the law to retainofasperaonal and neighborhood knowledg e of whom partner' in thewithdraws
bility of the Individual Lawyer and of the Organized Bar,
12 "The L. Rev. 438. 443 (1965).
obligation to provide legal services for those actually ABA a professional man." Cheatham, the fact that Another partner is nottheaffected
from firm nd a
caught up in litigation carries with It the obligation to The
alleged newslnwrs, by means theirof wares,
which respondents are s
of Legal Services: The Reponsibility
Availability
of the ndivdua
Bar, 12 U.C.L.A. L.I 000.i 438,l
ofnounion
have advertised bywere theirsentfirm.to•the a. 1:407f
dropped. rte
make
those preventive
unaccustomed legaltoadvice
business accessibk
affairs toandall.fearful
It is among
of the clients represented •• 440 (1965).
Lawyer and the Organizedof
1crof.sional Etnics, thAp.7.707. go.'t.ng 100100,
skillfulIf They contain no reference to any cases tohandled
rulings ofbycoboards,
the re- 111. Cheatham, N.Y.SLE.J. 455 (1967).New yolk State Bar 'risen, 39
itways of the law that insuch
time,advice is often most needed. Cf.
received the most valiant and spondents. Their contents are confined A Lawyer When Needed.- Legal Ser-
63 Cosow L. Rev. 973, 974
is 01.4 (1963). ABA Canoe Cf. ABA Croton25833(1943).
vices /or the Middle Classes,
representathm in court may come too late." commissMns and with its on problems of interest hbor 27. 32.
Cl. ABA Opinion
and 315 (1965).
44 A.B.A.J. union,
Projectional
together proposed andandother
completed legislation
ght 19. See
ABA 283 (1950)
ABA Opinion
and 51 (19371.
period of years institutional advertising of Important to theandBrotherhood, Theitems which mieite is28.acourse
Responsibility: Report al the Joint Conference, 33. Ct. ABA Opinions
1159, 1216 (1958). affect unions their members. r.pondents 21.
20. See
" 'Self-laudation.
CANON
very flexible concept; Canon 27 316 (1967).
forathe
34. See ABA Opinion
5. does not define It. so awhat W. "The word 'associates' has a variety of eanings.
otherbenefit of the public have been asapproved Opinion 213 of the Committee on Professional Ethics and given stateofof facts would wouldnobedoubt Principally
letterheadsthrough custom has the comeword to bewhen used on
as the
"Over
by this and Ethics Commit.. as well the Grievances as permitting tirmh practice. After studying this to constitute
vary it under conduct said
of law firms regarded de-
opinion. we agree that does notof offend
sending newsletters Canonof the 27."above judgeas Itsaid
the opinions of wren vary. As
,it would vary as the length of the chancellor's
a famous English scribing hasthoseofwho are employees ot the firm. Became the
by
"To the wme effect areradio opinions of this Committee: type to 194 egular
ars`clients fn re wordmach.
Ran. 362. 371, 399 P.2d 865, 872-73 (1965). foot. must andbeowe, in wordstoneandoftone that will 'offend WI..theIt thethis special Menth.... in to describe
regul
dealing
legalwith advice isprograms .nnectiona with
...Ned presenting
situ- Ratner, Required
ation in which
Opinion 179
92 (1933). traditions our profcsaion.. the
lawyer relationships law
otherthethusc of the word
an employer-employee
11th
C). ABA Opinion the
is like's'
12 AMERICAN BAR ASSOCIATION CODE OF PROFESSIO NAL RESPONSIBILITY 11..
53
8.
to be misleading" In re Sussman and Tanner, 241 Ore. trade. .. . Suite to collect fees should be avoided. Only allon, Oct. 30, 1946, 71 A.B.A. Red 103, 109-10 (19
246, 248, 405 P.2d 355, 356 (1963). wHere hem rcurtistan.s imperatively require, should resort 46). 77. Q. ABA Canon 27; see generally ABA OPINION 293
61. "The defense of indigent citizens, without compensa-
According to ABA Opinion 310 0963). use of the term be had to a suit to compel payment. And where • lawyer tion, is carried on throughout the country by lawyers repre-
. associal." would be misleading in two silmtions: (I) does resort to a suit to enforce payment of fees which In- 117085.7)C
./. ABA Opinions 133 (1935), 516 (1931). 107
where two laWYet9 are partners and they share both re- volve. a dimlosure, he should carefully avoid any disci... senting legal aid societies, not only with the approval, but (19341, 73 (1932). 59 0931), and 43 (1931).
sponsibility and liability for the partnership; and (2) where ,
n.oilAcirl2r,orecgsoary143 obtaining or defending his rights." th the commendation of those acquainted with the work. 79. "There can be no justification for the participation and
two lawyers practice separately, altering no responsibithe A N
NCI infrequemly services are rendered out of sympathy or
acquiescence by an attorney in the development and pub-
liability, and only share a suite of offices and some costs. But O ct. BA Oploiion 33)10 (19611. tot other philanthropic reasons, by Individual lawyers who lication of an article which, on Its face, plainly amounts to
do not represent legal aid societies. There is nothing what-
36. "For a long time, many lawyers have, of necessity, 55. "As a society Increases in size, sophistication tad tech- ever in the Canons to prevent a lawyer from performing a self-interest and .ethical presentation of his achieve-
limited their practice to certain branches of law. The in- nology, the body of laws which is required to control that
cre.ing complexity of the law and the demand of the public society also incrmses In size, scope and complexity. With
such au act, nor should there he" ABA Opinion 198
(1935).
r67:141'.°2:7V.V.il'i; i',..64,118ofaTrb.. II App. Div. 341
for mom expertmas on the part of the lawyer has, in the this growth, the law directly affects more and mom facets 62. But cf. ABA Cmon 31. An announcement of dm fact that the lawyer had m-
past few years-particularly In the last ten years-brought of individual behavior, creating an expanding need for legal 63. "One of the highest services Me lawyer can render to aimed and the name oir the person to soccad him, be take
about specialization on an increasing male." Report of Me services on the part of the Individual members of the weiety. causer lam Pe th'
Special Committee on Speciellmtlon and Specialized Legal . As legal guidance in social and commercial behavior a o cent whom official communication to thorie
bm em'
p'
io'
yn'
ed 139. e
'r con
'nee
causes are in disfavor with the general public.. Profes- with the administrative agenur .te
'"
d
Service, 79 A.B.A. Rem. 582, 584 (1954). increasingly becomes necessary, there will come • concur- (..::41,,
,,o.,,,, a orstrumentahty [that had
37. ''In varying degrees specialization has become the rent demand from the layman that such guidance be made
sional Responsibility, Report of the Joint Conference. 44 ,;‘"%:
,,,,,,,,bsi,), on.
.fcal
i,..z(?4,
modus operandi the the legal profession... AnIera- available to him. This demand will not conic from those
A.B.AJ. 1159, 1216 (1958). 1tirg:.:211
.,.4.(1,
...
71
C111 OCely is specialimtion on... The present Canoe,. who are able to employ the best of legal talent, nor from
One author proposes the following proposition to be In- perience In and acquaintance with the ., ..f21
,0
h..1:1:s
various *parlor=s
cluded in "A Proper Oath for Advocates. : "I recognise that and agencies of the governmmt, and • laudation
however. do not show lawyers to make known to the lay those who can obtain legal assist.ce at little who cost. It it is sometimes difficult for clients with unpopular e I
public the fact that they cottage in the practice of a specialty.
Tucker, The Large Law Firm: Considerations Corn
will come from the large 'forgotten middle income class.'
who can neither afford to pay proportionately large fees cam to assure that the client with the unpopular cause Is
use
to obtain proper legal representation. I will do all that I laV, 1:
'It
br2yLT:t.T.Maa, I tit, %V.1„:'
,. --h 08
the
or qualify for ultra-low-cost mrvices.The legal Prole.n "It can have but one primary purpose or or. to ate
Mc,‘raz,;'! P"'""°"°' properly represented, and that the lawyer representing such the lawyer In securing professional employment In private
£713'c'
sf I tts must recognise this inevitable demand and Conaider methods a client receives credit from and support of the bar for
38. See ABA CANON 27. whereby it can be satisfied. If the Profession fails to pro- handling such a matter." Thode, The Ethical Standard for
39. See ABA CANON 12. vide suchmethods, the laity Comment, Providing the Advocate. 39 Texts L. Rev. 575, 592 (1961).
:ggcl
,r.ar,V.YA7A60„717i°
. ,..1,
71 .5. 7fir --'''''
40. Cf. ABA CANON 12. Legal Services for the Middle Class in Civil Matters: The Cf. ABA OpinMns 285 . and mu'ilyst).
41. "I( there is any fundamental proposition of govern- Problem, the Duty and a Solution, 26 U. Pere. L. Rev. 811,
16068.... It is the duty of an attorney: 80. "The question is always .. . healer under the cir-
ment on which all would agree, It is that one of the highest 1111-12 (1965). cumstance the furtherance of the professional employment
goals of society must be to achieve and maintain equality The issue Is not whether we shall do something or do "(h) Never to Mee, for any consideration personal to of he lawyer is the primmy purpose of the advertisement,
before the law. Yet this Ideal remains an empty form of nothing. The demand for ordinary everyday legal jusdce himself. the cause of the defenseless or the oppressed.. or is merely a necmsary INCIdOnl of • propm and legitimate
CAL Busits.s AM Palaces.. Coma 86068 (W. 1962).
words unless the teas) profession Is ready to provide ade- mi great md the moral nature of the demand is so strong Virtually the same language is found in the Oregon statutes objective of the client which does not have the effect of
quate representation for those unable to pay the usual fees.. that the issue has become whether we devise, maintain, and at Om. Rev. Stara. Ch. 9 89.460(8). unduly advertising him." ABA Opinion 290 (1936).
Professional Representation: Report of the Joint Conference, support suitable agencies able to satisfy the demand or. by See Rostow, The Lawyer and Ilia Client, 48 A.B.AJ. 25 See ABA Opinion 285 (1951).
44 1159, 1216 (1958). our own default, form the government to take over the lob. and 146 0962).
42. See ABA Carron 12. supplmt us. and ultimately dominateus.. Smith. Local 64. See ABA Canons 7 and 29.
43. Cf. ABA CANON 52. Service Offices for Persons of Moderate Means, 1949 Wis. "We ere the opinion Mat it is not professionally Ini- 82. "Rule T.
44. ..When members of the Bee are Maimed to render L. Rm. 416, 418 (19491. oft
legal services for inadequate compensation, as a consequence 56. "Lawyers have peculiar responsibilitim for the just Erhelrlat.?;ei t=or' th:7Zt' cl=sTrnagi "lAt member of the State Bar shall not solicit pro-
the quality of the service rendered may be lowered, the wel- administration of the law, and these responsibilities include the f esslonal employmmt by ....
contrary, it is highly prop:0 that he do so. Unfortunately.
fare of the profession injured and the administration of providing advice and representation for needy persons. To "(9) The making of gifts to representatives of the
justice mark less efficient." ABA Opinion 302 (1961). a degree not always appreciated by the public at large, the iti' irs'dirx press, Sidi, tekvision or any medium of commonly
CI. ABA Opinion 307 (1962). bar has performed these obliaations with zeal and devotion. have claims against members of the Bar because other law-
45. See ABA CANON 12. The Committee Is persuaded, however, that a system of yers will not accept employment to mooted against them. .'.1. 1.?".
11'.:".VP.V.01
,4:1ILVta.fof,6446117;;;
46. Id. justice that mcmpts, in mid-twentieth century America, to The honor of the profession, whose inembms proudly style
"(Ulnder . (Canon 12), this Committee has consistently mee,. the .needs of the financiallyincapacitated accused themselves officers of the court, must surely be sullied if its 83. CI. ABA Opinions 233 (1941) and 114 (1934).
held that mirffmum fee schedules can only be sugg.ted or members bind Memselves by custom to refrain from N. : III Opini n,10
175
o
(
recommended andcannot be made obligatory ... ABA rnrTdoth
se s Orcllasel ZiV' prOeve'lti ccc:sefli'
l'at.o'
dc9rieTti■Ve.
system of adequate representation, therefore, should
forcing J. claims of laymen against lawyers.. ABA
Opinion 144 (19351.
;„
q (1938)
Bu of. ABA auion 216 (1942)anE256(194
.
Opinion 302 (1961). d l 2 3).
"[A] compulsory minimum fee schedule Is contrary to be structured and financed in a manner reflecting ha public 65. ABA Cmon 4 uses a slightly different test, saying. 87. See ABA Opinion 301 (1M).
Canon and raeated, 4zronouncements of thin commit... Importance. We believe that fees for private appointed "A lawyer .signed as counsel for an indigent prisoner ought 88. "[lit has become conunouplace for many lawyers to
counsel should be set by the court within maximum limits not to ask to be excused for any trivial reason participate in government service; to deny them the right.
Cf. AB.7117pinionit 771 )1.1937) and 28 (1930). .ablithed by Me nat... REPORT or THE ATV"( Gm's 66.C1. ABA Canon 7.
47. See ABA CANON 13, see also MACKINNON, Corenn- COMM. LIN POVINITY OO x is ASMINISTYTION OP CPAIMINAL 67. See ABA Canon 5. :rio;itr ‘%"‘;',2ciratVdirggZ`L,17.::,` ":..7 : t.
piece '
Am
r Fees mot Least. Semmes (1961) (A report of the
erican Bar Foundation).
JUSAICII 41-13 (1963).
57. "At present thls representation [of those unable to
pay usual fees] is being supplied in some measure through
68. Dr. Johnson's reply to Boswell upon being asked
what he thought of -supporting • came which V. know r, 1141C, IM:IIIIII011 UNDO •
plain his al
l'
large clement of our profession.
ahe=ote i:r=r•hcIfice eweiTrIcta re. fif;
"A contract for s reasonable contingent fee where aanc- to be bad" was: "Sir, you do not know It to be good or bad
Honed by law is permitted by Canon LI, but the client must he spontaneous generosity of individual lawyers. through till the badge determines Id I have mid that you are to rimary
remain responsible to the lawyer for expenses advanced by legal aid societies, and-increasingly-through the °remolded ate facts faidy; so that your thinking, or what you call P e u''' t o° fthe
'h'p ''''
rio r ':Zero y*m
n‘eMb. ' . brief '"'d d4-
the latter. 'There is to be no barter of the privilege of efforts of the Bar. If those who stand in need of this midi. k nowing, a cause to be bad, must be from reasoning, must
prosecuting • cause for gain in exchange for the promise of
the attorney to prosecute at his own expense.' (Cardoso.
know of its availability and their and is in fact adequately
met, the precise mechanism by which MU service is pro-
vided becomes of secondary importance. It is of meat im-
be from supposing your arguments to be weak and 'neon-
cloilve. But, Sir, that Bnot enough. An argument which me s"cti=7:;nfIn ie rir yed
r b'
lon marle.Auen his leaving that position to enter
meet,
vntr■Me"grve'rlt7
private
C. I. in 1,4 of Gilman, 251 N.Y. 265, 270.271.).ABA does not convince yourself, may convince the Judge to whom
Opinion 246 (1942). ...nee. Sneerer, that both he Impulse to rend.,this you urge it: and it if does convince hint, why, then, Sir. P19.11ABA0°
X=253r (141)?
48. See Comment.. Providing Legal Services for the Middle service, and the plan for making that impulse effective, /i,x,:ro,a2owzniot NA beds r1:13t).'
.. 2 Boswerd., Tim Ltee OP lav9,0,471:;o:e law Kerf:: m
ut; ii
,serezi
oorokotgo for lin Individual
Class in Civil Matters, The Problem. the Duty and a Solu- should arise wit. the legal profession itself.. Proles-
tion, 26 U. PITT. L. Rev. 811. 829 (1965). rLrl.pexr. ,,,,,11,
1,4,i 1,
1 47 „ DI the Joint Conference, 44
5, 69. "The lawyer deciding whether to undertake a case and in other appropriate places as 'assoCiats).?'""11
49. See ABA Can. 38. MIN be able to jud. objectively whether he 4 capable of Opinion 310
Of course, as . . . (Informs) Opinion 6791 points out, 58. "Frey kgal clinics carried on by the organised bar era handling It and whether he can assume Its burdens without 33..
there must be full disclosure of the arrangement [that an not ethically objectionable. 0° Om contrary, they serve a 92. But see ABA Opinion 285 (1951).
v y worthwhile purpme and should be enmuratted." ABA prejudice to previous commitments... Professional Re- 93. See ABA Opinion 295 (1959).
entity other than the client pays the attorney's fee] by the sponsibility: Report of the Joint Conference, 44 A.B.AJ.
attorneyso the client ...." ABA Opinion .720 (1968). Opinion 191 (1939). 1158. 1218 (1958). 94. But see ABA Opinion 313 (1964) which says the
50. "Only lawyers may than in ... a division of fees, but 59. "We ate 01 Ile opinion that the [lawyer referrali Plan 70. "The lawyer must decline to conduct a civil inte Commit. "approves a listing in the clarified al b of
. . . it is not necessary that both lawyers be admitted to been presented does not fall Within the Inhibition of the odrisre,
cooi
torzofootiolatho
wyc000.o
rs only
oow wben
ooldhewl
ottoinoo
g inoo
cirodloes
o
practice in the same state, so long as dm division was based Canon. No solicitation for particular lawyer is involved. to make a defense when convinced that it is nded ?lie lawyers
merely to harem or to injure the opposite party or to work Is made therefor..
en the divisi. of services or responsibility.. ABA Opinion The dominant purpose of the plan is to provide as an ob- oppression or wrong." ABA Cm. 30. 95. "The listing should consist only of the lawyefaame,
316 (1967). ligation of the profession competent legal mei. to Per- 71. See ABA CANON 7.
51, See ABA CMom 34. sons in low-income groups at fees within their ability to pay. address and telephone number." ABA Opinion 313 (1964 ).
The plan is to be peaked and directed by the local Bar 72. Id. 96. "[Alddine to the regular classified listing • 'wood
"We adhere to our previous rulings that where a lawyer
merely brings about the employment of another lawyer Association. There is to he no advertisement of the nune From the face stated we assume that the client has Ile' In which a lawyer claims that be is engaged In •
but renders no service and assumes no responsibility in the of the lawyers co.ituting the panel. The general method discharged the first attorney and given notice of the dis- =lip:oli o:a undeforempt to make his name dMinctive..
atct:ri t,, Ivision of the latter's fee is improper. (Opinion, and purpose of the plan may is to he advertised. Person. charge. Such being the case, the mcond attorney may
7. seeking the legal services will be directed to members of yizerlyA gi
ce6=lo ,yorcni
t4,,, anon 7; Opinions 10, 130, ,o.:97,o.4o;r
,,, 0:
21fla
.1,1
1,!84
0],,A
hti)1.8 tha:. • lawyer could ono; o
w.fiti
'It is assumed that the bar, generally, understands what the panel by the Bar Association. Aside from the filing of
acts or conduct of a lawyer may comtitute 'services' to a the panel with the Bar Association, there is to be no adver- 73. See ABA Canon 44. hone directory or name listed '''
We'nefli
cth. "that
"* b initst
client within the intendment of Canon 12. Such acts on tisement of the names of the lawyers .nstituting the panel. "I will carefully consider, before MUng a case. whether
conduct invariably, if not always, Involve 'responsibility' on If these limitations are observed, we think there is no solici- it appears that I can fully represent the client within the See ABA Opinions 123 (1934) and 53 (1931)•
Ile part of the lawyer, whether the word 'responsibility' be tation of business by or for Pattie.,lawn.rs and no framework of law. If the decision is in the affirmative, then 98. "(1)f a lawyer is • member of a law firm, both the
constrmd denote the possible resultant legal or moral violation of the inhibition of Canon 27." ABA Opinion 205 it will take extreme circumstances to cause nie to decide .1
174 end hemlivillual lawyer may be listed separately..
liability on the part of the lawyer to the client or to others. (1940). later that I cannot so represent him." Thode, The Ethical
or the onus of deciding what should or should not be done 60. "Where. the American Bar Association believes that Standard for the Advocate. 39 Tex. L. Rev. 575, 592 99. See ABA Oplosion 2 ) 84 (1931).
in behalf of the client. The word hietvices' in Canon 12 it is a fundamental duty of the bar to see to it that all per- (1960 (from "A Proper Oath for Advocate' )• 100. See Silverm. , State Bar of Texas, 405 F.2d 410,
must be construed in this broad sense and may apply to the sons req.., legal advice be able to attain It, irrespectim of 74. ABA Opinion 314 (1965) held that • lawyer should (5th Cir. 1968); but see ABA Opinion 286 (1952).
selection and retainer of associate counsel as well . to other their economic status .... not disassociate himself from a cause when "it is obvious 101. Cf A CANON 43.
acts or conduct in the client's behal(." ABA Opinion 204 "Resolved, that the Association approves and sponsors that the very act of disassociation would have the effect of 102. Cf .. AB
AA Opinion 239 (1943).
(1940). the setting up by state and local bar associations of lawyer violating Canon 37." 103. "We are asked to define the word 'AddlyAllef. appear-
52. See ABA CANON 14. referral plans and low-cost legal mrvice methods for the 75. ABA CANON 44 enumerates instances in which ing in the second paragraph of Canon 27 . • .
53. Cf . ABA Opinion 320 (1968). purpose of dealing with cases of persons who might not the lawyer may be warranted in withdrawing on due notice ..,.:11,is Our .oPinioin that an address (other than a cable ad-
54. See ABA CANON 14. otherwise have the benefit of legal advice ... Proceed- drew) the
to the client. allowing him lime to employ another lawyer."
"Ours Is • learned profession, not a mere money-setting ings of the Home of Delegates of the American Bar Assoc, 76. See ABA CANON 44. '0": c.V1'1/1d=erfcc f . NZTZ eddtrhl goLti
. misleading. lf, foe example, an office addreas is given, it
14 AMERICAN BAR ASSOCIATION
Ifmum
placegiven,be that
should
of residence
of abebona fide office.
isidentified
not the same as suchThe residence
as thatif the city address,
in which ortheother 989,L.84Ed.S.2dCt.405,
124.
111383(1964);
S. Ct. 328 NAACP (1963). v. Button, 371 U.S. 415,
cam is located." 249 (1942). law ABA Canon 28.
229 (1941) end 173 0937)•advise CANON 3
to various parts of the country Committed
"EllOday his126, "It certainly
ABA Opinion
104. clients ofiswhich notstatutes,
125. Cf. ABA Opinion.
en Professional Ethics of local and state bar associations are regular new improper for
court a lawyer
decisions. to and ad- A Lawyer Should Assist in
authorizing
to thelistsBarasand lawyers to describe
in notice. legalthemselvm announcements ministrative therulings. mayisaffect client'tos interests.
law
the approved specialists
law lists orin in• great periodical.
variety of and approved
thing.. Dm. provided
formation.... communication strictlythelimited such In- Preventing the Unauthorized
appear,
ioners in connection
ot firms, such withprofessional
the namesannouncement.
of individual practi-
designations as 'International Law,
there other "When
guisedthan
eachregularcommunications go to concerns
clients of the lawyer. they are thinly dis-
or individuals Practice of Law
Public and Private' . 'Trial jury advertisements for Professional emPidirtems and sae
'sod Negligence Actions.; 'PPreparation
hilippine: 'TWar InDamage
PersonalClInaims'
; 'Negligence:
obviously ourimproper."
"It Ls that opinion 213 (1941). ETHICAL
that where the lawyer has no reason to
of lawCONSIDERATION S
ABA Opinion
Anti-Trust' , 'Domestic Relations' ax Law' believe heright,
hasbutbeen supplanted EC 3-1 The prohibition against the practice
Law'. It would teem that the ABA has Wren at least its It might even bebyhisanother
client of any change of fact or law which might defeat the
inn only his duty tolawyer,
adviseithisLI a layman is grounded in the need of the public for
integ competence of those who undertake to Police
ritylegandal services.
by mem is not involved,
officers, abstracters, non-lawyers,
and manysuch as court clerks,
governmental em-
"It1PI=Irttlhttrt
York permittedhisaso'rriTe=,. is not, ht New ell.M' S testamentary purpose as expressed In the will. render Because ployees, may engag e in occupations that require e
whereatexception
inleast,
communications on letterheads
laymen. Thorisshingles
suchtomnoodement le subjectortoelse- lawyer"Periodic notices might be sent to the client for whom
be wisea persomi character of the lawyer-client of the fiduciary
relationship and special knowledg e of law in certainin theareas. Oct the
single
mitted in the fear that traditional specialties, to laymen is per-
Admiralty. Patent,
the for
not the has
thereclient
drawn
has toofbeen
• will,
remanfine
any
sumesting
his will to that it might
determine Me inherently) complex nature of our legal system.and the services
wheneverofthea lawyer exerciseareof professional
e.ential legpublic
al judgment interes t
is
will."change In his situation
whether or
Copyright and Trade-mark." Rend( modification his28. regoiriM 17",ILdetV. `.`iirot'L confined required.
C). ABA Gen. 210 (1941)• toMc.arcr4,117.°
of the Special Com- ABA Opinion
Momimposedwho are subject to rise requirements and regu- EC 3-6 A lawyer often dele
79105. A.B.A. Rea 382, 5a6 ((954).
of the legal profession. lades, and other lay persons.gates Suchtasks to clerks,
ittee on Specialization and Specialized Legal Education,
168 (1937). lations upon members delegation
by the This ABAprovision is proper
seen,
House ofisDelegates included toatconform to action Mmt- taken 127. C). ABA Opinion
the Mid-Winter 128.
129. ABA C.. 43;228cf.Ill(1941)
But f ABA 0 '
See ABA1 34) CANONS 27, 43, and 46. EC
that3-2bear The sensitive variations in the considerations ifclient, the lawyer
supervisesmaintains a
the delegated direct relationship
work, and has with his
com-
ABA Cub. 43(1941). and 169 (1934);
and 194 (19)9/• for aonlawyerlegal todeterminations often make it difficult plete professional responsibility
130.
a lawyer toforrender
Cf. ABA Opinions
106. See
ABA Corson236Ti.
ABA Opinion 131.
ABA Colon 27;251 (1943) and 175286(1938).
See ABA Opinions
(1952). even
judgment, and it is exercise appropriate
therefore professional This delegation enables the work legalproduct?
ofessential
client andthatlawyer
the personal
bet see ABA Opinion
I1S3)4. ThisABA Opti
132. See
pre- more economically
<1. ABA Opinion
on 144 (1939).
nature of the and efficiently. service
267 6(1945),ABA 33; relationship
107. See
2(9 ((941), 208 ( (900), (92 (1939), 97 (1933 ,
319 091. served. Competent thebeprod- EC
ticing3-7lawThe doesprohibition
108. See CANON et. ABA °Pinion,
the ABAprovision House ofisDelegatesincluded toatconform to actionMeet- taken professional
with lawjudgandment a non-lawyer
and (1925). 318 (1967) held, "anything 10 the con-
by(35. the Mid-Winter auctdisciplined,
of a trained familiarity
analytical approach to legalis processes,
legal problems, himself, for then not preventagainst
he is a layman
ordinarily from representin
exposing
prac-g
trary in Formal Opinion 3(5 or In the other opinions cited i't361!"Sr'AB8 of the only him-
109. ABA Opinion
notwithstanding" A %L. on 2 and a firrn ethical commitment. self to possible injury. The purpose legalavail-
pro-
pearslocal
high M the namethat( of a"Wherelaw firma partner
, slate or federal office, which office he intends to
Is
whose name
or aplminkd ap-to 137i Th.
for discipline.
f. chart: 1 ;d a8".c il err. l
i
Nebraybei rska
eessiStateee; Jrk EC 3-3 A non-lawyer who undertakes
matters to handle leg al fession
able to is
theto make
public; but
`but anyone legal
who representation
isdoes
elected
occupy
tendshetoisonly temporarily, at the withendtheof firm,
which time he In- "An attorneyNcb!1-0,1078.4
has the right to contract 136143 y(19ri is
bynot governed as to integrity or legal com- avail
do so.himself of such representation not not
rehelp wish to
that return to his position
not precluded andfrom provided !I:: :.:,,=';:,,irt.°Tgxn, (90),
for kly ,offe he apetence
lawyer. the sante rules that govern the conduct of
but A lawyer is not only subject to that mania- bers of henpublic to recognize
e so, ffic coal profession
legalshould
quiredmem-to
of law byandholding
Inoosd se lung as
ing in the practice does notsuchIn office
fact sever Msenrelgag-a- ofIdstheuniesa
client'sos fundsexcessive m to cmstinne a misapproOnttMn0, and lion is committed to high standards
servedofintoethical
legal understandwhy it may be unwise problems andforto
legalforconsec
also
tionship with the firm but conduct. byThe public t ct
only takes a leave of absence , and (see Opinion 27)." 320 tedinterest is best themselves in matters having sequences
provided
contrary, that there Is en local law, statute or custom to the (19611). ABA Opinion
:natters a regula profession committed such
his term orlimterms
e name of may
office, be retained in the firmprecautions
but only if proper name daring ate and138. State 209 (1940), 190
Q.ex rel. 1-ec v. Buchanan,
CI. ABA Opinione (1939), and(Fl27a. (19 )01
instandards. The Disciplinary Rules protect the public EC 3-8 Since a lawyer should not aid or encoura ge a
taken thetofirm' mislead the .p ublic as to his degree of nankin.. ABA 13; (91 So. 241 33MACKINNoN, (966).
by that they prohibit
improper a lawyer from seeking employment layman to practice law, he should not practice law in
association
lion in001 s affairs.' CONTINGENT Fens roe Loom Seem. (1964) (A Report of
andovertures, from acting
to theincontrol
cases ofofdivided with a layman or otherwise
others with a layman.' This does not mean,share legal fees
CANON see generally
143 Opini (1935).onsNew York798;County Opinion the American Bar Found loyalties, from submitting
in the exercise of his judgment. Moreover, a person the pecuniary however, that
67, and New York City value of the interest
36 and are139. "Contingent be ofpaid
a deceased lawyer
CI. ABA Opinion
192 (1939) fete,ofation).
whether
the law....In civil or criminal caste, who entrusts legal models to a lawyer is protected by specified
and Michigan Opinion 164. a special concern t privilege and by ffie duty of the ill his firmpersons or practice suchmay as hisnotwidow or toheirs.
but cf. ABA
his estate
"In criminal the attorney-clien likeor
Opinion
ABA Caton 33. danger cases, the rule Theis stricter because of the In
andIII.(1934). 277 (19481, of theofa Restatement
corrupting justice. lawyer client.to hold inviolate the con fidences and secrets of law manner, profit-sharin
110. Cj.
c/. ABA Canon 33 second
106
See ABA Opinion
See.
ABA Opinion., 318 (1967). 126 ( (935). 115 (1934), cod 542
conduct criminal case [of ... InContracts]
consideration reads;part ofbargain
of 'aApromise
Section
Ofto his firm which includeg retirement
non-lawyerplans o ffi of a lawyerareor
ce employees
112. 318 (1967) and 316 (1967): el. fee contingent on successA. 2dinis865, Illegal. . . " inECa3-4 A layman to juwho dge seeks
whetherlegal is not not
oftenproper improper?
against sharing These limited exceptions to the rule
ABA CANON 33. Mamltti, 398 area Pa. 86, 156 which967the(1959). position do notlegal With laymen are permissible
Peyton v.
113. C/.
ABA Opinions
ABA "The third of practice use of the con- professional he services
will receive since they aid or
fees
encoura ge laymen to practice
114. "We it clear27thatanda28.lawyer's seeking MOB,
thinkCanons tin.nt is generally considered to be prohibited the matter may well attention. The entrustment of a legal law.
Prosecution and defense
and of criminal Garen. However, there theinvolve the orconfidences, the lifetheofreputation,
Ire Is
meat to an ordinary Mw office, eor appointment to a civil
7141 , ceasizi g on 6 71. 1 (r90, 19)probibit d by . [Canon 27)." are so few cases, are predominantly old, that itonis the property,
Proper freedom, even the client. EC plished3-9 Regulation of the practice of law is accom-
doubtful that there can be said ofto cams
be any oncurrent that no protection
person beofpermitted members toofacttheMpublic demands to engagprincipally by Meofrespective states.'in anyAuthority
Neu
the eubject.. In the absence the validitylaw the confidential e in the practice law conferred
the115. "[Al lawyertomayperform
opportunity not seek... from a Beganpersons not his clients
check-up." contingent
on fees for defense attorney, It Is =cedar),
such atoInc relyofis demanding capacity of a lawyer unless he is subject diction not perit isseheimproper
a grant of the right to juris-
practice
307 (1962). voidtheasconsensus among mmmentators
The naturethatof criminal tow the regulations of the legal profession. elsewhere,
practice and
ABA
against public policy. prac- for a lawyer to engage
EC 3-5 It is neither necessary nor desirable to attempt incourt where
Opinion
78 ( is not permitted by law
(932).
1(7. "'No financial connection of any kind between the
tice Itself makes unlikely the um of contingent fee con- order to do oforbusi-by
116. CI. ABA Opinion
Brotherhood and any lawyer is permissible. No lawyer can tracts." MecKnotem. Cownimene Fags the formulation of a single, specific de finition of what ness and so. However, the demands
cgs 52 (1964) (A Report of the American Bar Foundation). constitut in thethereg mobility
ulationofofourthesociety pose ofdistinct
law byprob-
POI LEGAL Sea-
Prone., soy amount whatsoever to the Brotherhood or ABA see CANON 34 and (1967) tice ofcalllawnforthe practice
relates to theofrendition
law? Functionally, the prac- lents practice the
any of Its pay
departments, officersororgratuity as compensatiwith
membersin connection on. and 294 (1958); judgofment
services for others
of a lawyer. states? In furtherance of the public interest, the legal
140. See
reimbursement of expenses
Ilse procurement of it case.'" In re Brotherhood of R. A.
ABA Opinions
206 (1940), 190 (1939), 171 (1937), 153 (19361,97 (1933),
generally ABA Opinions 2653(6 (1945), that the professional profession should discourag e regulation that unreason-
Trainmen,13 III. 2d 391, 398, (30 N .E. 2d 163, 167 (1958), 63 (1932), 28 (1930), 27 (1930), and 18 (1930). isThehisessenceeducated of the
of lawability
prof.sional
to relate judg ment of the lawyer ably imposes territorial limitations upon the rigorhtupon
of a
(1965). In Pane, (94 Kan. 362, 372, 399 P.2d 865, 873 not exceed uppli.,
141. "Canon 12 contemplete. that a fitwYm' fee aroold
philosophy to a specific legalthe general body and lawyer to handle the legal affairs of his client
problem of a clientif; lawyer
the opportunity of
quoted in re
and thus, the a client to obtain
in the before
services of a
whether .epublic interest Will
the value of she services
(47 ( (935). o
j int or separate
render.... .
are be better served
lied [by adociate allormys]
ofof ahisnot
choice inmatter
all matters
"Canon 12
." 204 only lawyers permitted to act the presen-
"This Court has thisinprofessional
nutters
fees
118.
See ABA Opinion
thecondemned the practise of ern.- involving
judg- tation cont.ted inadmitted
a tribunal
to practice*which
(h
InMom chasing through media
ABA Opinion
professional judgment. Where
thesimilar
practice fashion we have with eqOfualrunners
emphasisand touters.
condemned Yet1.12ef‘teltlegrlh:°:TZZ■Vin . Itt e.,: p. grclionrInhtZe.
the lawyer permanently
bothofoffenses
direct assolicitation by a lawyer. We haveof
seri o us breaches of the Canons community
be an unwarranted fora stated period, apdars to this Committee to
Ethics demanding severe treatment of the offending lawyer."
Ethics
State r. Dawson, 111 So. 2d 427, 43( (Fla. 1959). be re- choose
professional wherestatus. he willrestricdon
practiceonandthe right of a lawyerourto
theinconsistent
Committee with DR PracticeInDISCIPLINARY RULES
119.
quircd "Registrant.
to lo a
thelawyer referral Man] may Accordingly, Is of the (A) A3-101lawyerAiding Unauthorized
shall not oftheLaw.. (2) A lawyer who underfiskes to complete unfin-
reasonabl econtribute
of fees collected registration
by them."
totcharge expense of operating
or bye remarkabl 291 (e(perceMage
956).
It by a ,74'2:,Iitewn'oueina2b1 irnP. d'irceiviZ ra°!7:,?g,!77.70,`..;
10 agree to 300 (1961). (11) Athorized practice aid a non-lawyer
of law..
lawyer ahall not practice law In a jurisdiction
unau- ished
pay tolegtheal estate
b.iness ofofthe
a deceased lawyer may
ABA
It." AAA opinion
Conon 30. proportion of thethetotal
deceased lawyer that
ABA Opinion
competiation
rendered which
227 (1941). _ A member of the State ofwhere
the toprofe.ion
do so would be in violation of regulations
143. See
a caseBar shalloutnotofaccep falrly represents services
CI. ABA Opinion
R121 S'=:111 (g.n. employment
eolety fortotheprosecute
"Rule 13.. .
orofdefend solely spite.t in Mot larisdleti..." by the
120. purpose harassing (3)Adeceased
lawyer orlawyer.
on
orConedelwing86067another 1)11
(A) A3-102
lawyerDividing Legal
122. "If
Institutional a bar association
advertising forhas embarked
an annual ealoncheck-up
It Is notMImproper
a program andof 1. 962). CAL. BUSINESS (Wed or law
e • firm shallFe. with a Non-LawYee
that:not share legal fees with employees inlawa retirement
/inn may Include non-lawyer
in whole orplan,
AND Phoresstons
providd brochures
them available in and reprints,
the lawyer' s office to have Canon 44.Professional Rdponsibllity, DR (1)non-lawye
An except the plan Is baud In part on a profit- evert though
and take." 307 0962/• for persons to reed
144. CI. ABA
5-102 and DR 5-105.
145. See also Cock of ner,agreement
or associatebymay
a lawyer
providewithInchisthefirm, part- sharing arrangem ent.
ABA Opinion
121 (1934). 146. Ct. ABA 4. 386 U.S. 738, 18 L. Ed. 24 payment DR3.103 Forming a partnership with a Non-
death,to hisreemomble to one orof more
time
C).
U.S.123. United
ABA Opinion
Mine
Ed. 2dWorkers 88 v.S. III.Cr.Stale Bar Ass', 389 147. CI. Anders CANON
California, of money,
after his death, estate or pedod (A) A lawyer shall not form a partnership withLawyer.
a nn-
hood217, of R.R. 19 L.Trainmen 426, 353 0967);
e. Virginia, 371 U.S. 1, 12 L. Ed. 2d
Brothe, 18493.L.87Ed.S.2dCL1377, 13960.87(19671,
S. Ct. 2094 (1967). 388 U.S. 924,
rehearing denied. specified persons-. lawyer If any of the activities of the paituershlp
consist of the practice of I..."
15
16 AMERICAN BAR ASSOCIATION CODE OF PROFESSIONAL RESPONSIBILITY
17
NO TES non-lawyer employees of the office. PernenlarlY secre
1. "The condemnation of the unauthorized practice of lifetime and providing for a fixed period over which the taries and those having access to the files; and this ob-- deavor to act ina manner which preserves the evi-
law Is designed to protect Om public from legal services by ligetes a lawyer to exercise care in selecting and train- dentiary privilege; for example, he should avoid profes-
Partner. are to be made, this is not the case. Under these sional discussions in the presence of persons to whom
persons unskilled in the law. The prohibition of lay inter- circumstances, whether the payments arc considered to be ing his employees So that the sanctity of all confidences
mediaries is blended to insure the loyalty of the lawyer to delayed payment of compensation earned but withheld day. the privilege does not extend. A lawyer owes an ob-
and secrets of his clients may be preserved. If the ob-
the client unimpaired by intervening awl pasSIY ...nine ing the partner's lifetime, or %%her they axe considered to ligation extends to two or more clients as to the same ligation to advise the client of the attorney-client privi-
Ifnr Availubttlt -J J red information, a lawyer should obtain the permission of lege and timely to assert the privilege unless it is waived
")n" Chril;r.
Wins I 1 1 Lawyer d thife stlarOnr ITtitaishiLtZIL,!" In isle` vent as by the client.
cited Bar, 12 U.C.L.A. L. Age. 430. 439 Henry S. Droner says in this book, LEGAL ETHICS. at Pei. all before revealing the information. A lawyer must
2. What constitutes unauthorized prmtie c of the law In a t89: It would A., however, that • reasomble agreement always be sensitive to the rights and wishes of his client EC 4-5 A lawyer should not use information acquired
Pfeil jurisdiction is a matter for determination by the to pay the estate • proponion of the receipts for a reason- and act scrupulously in the making of decisions which in the course of the representation of a client to the
mints of that jurisdiction." ABA Opinion 190 (1939). able period is a proper practical settlement for the lawyer.s may involve the disclosure of information obtained in disadvantage of the client and a lawyer should not use,
"In the light of the historical development of the lawyer's services to his retirement or death.'" ABA Opinion 308 his professional relationship.' Thus, in the absence of
01 it Is iMpossible to lay down an exhaustive defini-
functiom, except with the consent of his client after full disclosure,
(1963). consent of his client after full disclosure, a lawyer
tion 'the practice of law' by attempting to enumerate 6. CI
. ABA Opinion such information for his own purposes.. Likewise, a
every conceivable act performed by lawyers in the normal 311 (1964). should not associate another lawyer in the handling of lawyer should be diligent in his efforts to prevent the
7. the States have broad power to regulate the
course of their work." State Bar of Arizona v. Arizona a matter; nor should he, in the absence of consent, seek
Land Title & Trust Co., 90 Ariz., 76, 87, 366 P.24 I, 8-9
(1961), modified. 91 Atte. 293. 371 P. 2d 1020 (1962).
r,IV‘Wc■ficakrswv.I'll?.fSt‘:tuelerbTg,
(1967).
1.'
871.117 211-1,1g counsel front another lawyer if there is a reasonable
possibility that the identity of the client or his confi-
ci
misuse of such information by his emPlor. and
ates! Care should be exercised by a awyer to asso-
vent the disclosure of the confidences andsecrets of
pre-
3. "A lawyer Can employ lay secretaries. lay investigators, "It is a matter of law, not of ethics, as to where an dences or secrets would be revealed to such lawyer. one client to another,' and no employment should be
lay detectives, lay researchers, accountants, lay scriveners, .404
individual may practice law. Each slate has Its own rules." Both social amenities and professional duty should
nonlawyer draftsmen or nonlawyer researchers. fact, he Opinion 316 (1967).
accepted that might require such disclosure.
may employ nonlawyers to do any task for him except mum a lawyer to shun indiscreet conver.hons con-
I. "Much of clients' business crones maze lines. People cerning his clients. EC 4-6 The obligation of a lawyer to P.mve the
counsel clients about law matters. engage directly in the are mobile, moving
t from elate to state. Maw metropolitan ,
practice of law, appear in court` or appear in format Pro- have tinge EC 4-3 Unlms the client otherwise directs, it ' not confidences and secrets of his client continues after the
ceedings a part of the judicial prowls. so long as it is he cocoryml < unity Involving improper for a lawyer to give limited information from termination of his employment.. Thus a lawyer should
who takes the work and vouches for it to the client and be- state. The business of a.. sin t,Bent may involve legal not attempt to sell a law practice as a going business
problems rer outside
sczif977:11b:̀1■6'7■ 4iff'.:,..4t1.7'=" vigitella.Xe geA neral princUle'lha111'1:g721. set-
bookkeeping,
" files to ""'"'''Y
accounting,dole processing, banking,
minting, or other legitimate PurPoses. provided he ex
"afi'tiC't, because, among other reasons, to do so would involve
the disclosure of confidences and secrets.. A lawyer
Vices to cw Jersey residents with respect to New lenee
from several Uaei, he O mar delegate matters may ordinarily be furnished only by New loran ercises due carein the selection of the agency and- should also provide for the pro tection of the confidences
other states so long as he "Is the person Who, on behalf of counsel; but we pointed Out that there ma, be MOItistaN warns the agency that the information must be kept and secrets of his client following the termination of
the firm, vouched foe the work of all of the others and, transactions when strict adherence to this heels would not confidential. the practice of the lawyer, whet/ter termination is due
with the client and In the coon,, did he legal acts defined be in the public interest and that, under the circumstances, to death, disability, or retirement. For example, a
by that state as the practice of law." it would have been not only more costly to the client but EC 4-4 The attorney-client privilege is more limited
"A lawyer cannot delegate his professional responsIbilitY then the ethical obligation] of a lawyer to guard the lawyer might provide for the personal papers of the
alto 'grossly impractical and Inefficient' at have had the diem to be returned to him and foe the papers of the
to a law student employed In his office. He may avail him- settlement negotiations conducted by separate,),aryZa, from confidences and secrets of his client. This ethical pre-
self of Me assistance of the student in many of the fields of different slates." 0%6 j!'" Waring, cept, unlike the evidentiary privilege, exists without re- lawyer to be delivered to another lawyer or to be do-
the lawyer's work, such as examination of case law, finding 221 197 " gard to strayed. In determining the method of disposition, the
and interviewine witnesses, making collections of claims, 47 " nature or source of information or the fact
Cf. ABA Opinion 316 1967). that others share the knowledge. A lawyer should en- instructMns and wishes of the client should be a domi-
examining court records, delivering papers, conveying im- 10. Conduct Permitted by the Disciplinary Rules of nant consideration.
ortant messages. and other similar matters. But the student Canons 2 and 5 does not violate DR 3-101.
is not permitted, until he is admitted to the Bar, to PerNon II. See ABA C.% 47. DISCIPLINARY RULES
the professional functions of a lawyer, such as conducting 12. It should be noted, howenr, that is lawyer may engage DR 4-101 Preservation of Confidences and Secrets of
court trials, giving professional advice to clients or drawing
legal documents toe them. The student in ell his work must
act as amnt for the lawyer employing him, who moat super-
in conduct, OtherWire prohibited by this Disciplinary Rule,
where such conduct is authorized by preemptive federal
la,i.Ogo st!.ciSeacr&s . torida, 373 LI.S. 379, 10 L. Ed. 24
i)F
a Client.
(A) "Confidence^ refers to information protected by d
Bent or clients affected, but only after a full
isclosure to them..
(2) Confidences or secrets when permitted under
ise his work and be responsible for his good the attorney-client privilege under applicable law,
ABA Opinion 85 (1932). 13. See ABA CANON 34 and ABA Opinions 316 09671, and "secret" refers to other information gained Disciplinary Rules or required by law or court
in
4. toot aisle of fees for legal nrcices Miner, naceyt 180 (1938), and 48 (1931). the professional relatiouship that the client has re- order..
with another lawyer . ABA Cutow 34. Otherwise, ac- "The receiving attorney shall not tinder any Iluin or form. quested be held inviolate or the disclosure of which (3) The intention of his client to commit a mime.
cording to ABA Opinion 316 09671, "Illhe Canons of share his fee for legal services with a lay mono, Persona aud the information necessary to prevent the
would he embarrassing or would he likely to be
Ethics do not examine into the method by which such per- or corporate, without prejudice, however. to the right of the, detrimental to the client
sons are remunerated by the lawyer....
toe, They rnay be paid • lay forwarder to charge and collect from the creditor proper
salary, • per diem charee, a flat a contract price. etc." conmensadon for non4egal services rendered by the law (E) Execpt what permitted under DR 4-101 (C), a (4) Confidencm or secrets necessary In establish or
See ABA: Cations 33 and 47. Irk) forwarder which are separate and apart from the ser- lawyer shall not knowingly: collect his fee• or to defend himself or his em-
5. "Many partnerahip agreements provide that the active vices performed by the teeming atterney." ABA OPinien (1) Reveal a confidence or secret of his client. ployees or associates against as accusation of
Partners, on Me death of any one of them, are to make Pey- 294 (1958). (2) Use a confidence or secret of Ids client to the wrongful conduct.
ote. to the estate or to the nominee of a deceased ', antler 14. See ABA Opinions 309 (1963) and 266 (1945).
on a pre-deterndned formula. It Is only where the effect of disadvantage of the client.
15. CI. ABA Opinion 311 (1964)• (D) A lawyer shall esercise reasonable care to prevent
ouch an arranmment is to make the estate or nominee a (3) Use a confidence or secret of his client for the his employe., associates, and others whose services
16. See ABA Canon 33; cf. ABA Opinions 239 (1942)
member of the partnership along with the surviving partners and 201 (1940). advantage of himself. or of a third Perm.• are utilised by him from disclosing or using confi-
that it is prohibited by Canon 34. Where the payments are ABA Opinion 316 (1%7) states that lawyers licensed in unless the client consents after full disclosure.
made to accordance with a pre-existing agreement entered (C) A lawyer may reveal: dences or secrets of • client, except that a lawyer
different jurisdictions may. under certain conditions, enter may reveal the information allowed by DR 4-101
into by the deceased partner Milne his lifetime and provid- into an arrangement for the practice of law" and that • (I) Confidences or secrets with the consent of the
ing for then method for determining their amount based lawyer licensed (C) through an employe.
S. .
A is not, for such purpose, a lay-
upon the value of Der-vices rendered during the partner's man in State B. NOTES
I. See ABA CANONS 6 and 37 and ABA Opinion
287 Cf. ABA Opinions 314 (1965), 274 (1946) and 268
'The reason underlying the rule with respect (1945).
to confi- 2. "While it Is the meet purpose of law to ascertain the
CANON 4 dential communications between attorney and client Is well
rated in Macnose on Amwcy, 2d Ed., Vol. 2, 12297, as truth. there Is the countervailing necessity of Insuring the
f ollows: 'The purposes and rte ales of the relation
right of every person to freely and fully confer and confide
tween a client and his attorney require. In many cases,be- in one having knowledge of the law, end skilled in its
A Lawyer Should Preserve the on
the part of the client, the fullest and freest disclosures to OM a
nd s
atice, in order that the former may have adequate edvice
attorney of the client's objects, motives and acts. This a prop. defense. This amistance can be made safely
Confidences and Secrets of a closure is made In the strictest confidence. relying upon the
dis- and readily available only when the client is free from the
....Mem. of aPPrehension of disclosure he reason of the
attorney's honor and fidelity. To permit the attorney ...-
Client veal to others what is so disclosed, would be not only •
gross violation of a sacred trot upon his part, but it would
subsequent statements of the skilled lawyer. Baird v.
Koerner, 279 F.24 623, 629-10 (9th Cir. 19601.
grosstai Cf. ABA Opinion 130 M36/•
and prevent the usefulness and benefits to be 3. °Where .
derived from professional assiStance Based upon con- (a client] knowingly and after fun dis-
ETHICAL CONSIDERATIONS siderations of public policy. therefore, the law wisely declares closure participatm in a (legal feel finnming plan which re-
EC 4-1 Both the fiduclary rrelationship existing be- lawyer to hold unnolate the confidences and secrets of that all confidential communications and disclosures, made quires the furnishing of certain nformation to the bank.
tween lawyer and client and the proper functioning of by a client to his legal adviser for the purpose of obtaining clearly by his conduct he has waived any privilege as to that
his client not only facilitates the full development of information." ABA Opinion 320 (1968).
the legal system require the preservation by the lawyer facts essential to proper representation of the client but its professional aid or advice, shall be strictly privileged;-
that the attorney shall not be permitted, without the consent 4. "The lawyer must decide when he takes a case whether
of confidences and secrets of one who has employed also encourages laymen to seek early legal assistance. it is a suitable one for him to undertake and after this de-
or sought to employ him.' A client most of his client,-and much less will he be compelled-to re
feel free to EC 44 The obligation to prolect confidences and veal or disclose communications made to him cision is made, be Is not justified In turning against his client
discuss whatever he wishes with his lawyer and a lawyer secrets obviously dam not preclude a lawyer from re- cumstances."' ABA Opinion 250 (1943). under such cir- by moon, Injurious evidence entrusted to him.. • . IDloing
must be equally free something intrinsically regrettable, because the only alterna-
to obtain information beyond
volunteered by his client' A lawyer should be fully in-
that vealing information when his client consents after full "While it is true that complete revelation of relevant facts
should be encouraged for taut purposes, nevertheless an at-
tiv e Involves worn consequences, h necessity in even
disclosure' when necessary to perform his professional torney's dealings profession." WILLIsion. Doe Al. LAW 271 (1940).
formed of all the facts of the matter he is handling in with his client, if both are sincere, and if CI. ABA Opinions 177 (1938)
employment, when permitted by a Disciplinary Rule, the dealings involve more than mere technical matters. end 83 (1932).
order for his client to obtain the full advantage of our or when required by law. Unless the client otherwise 5. See ABA CMOs. It.
should be Immune to Ohms., prOCCedin.. There must be
legal system. It is for the lawyer in the exercise of his directs, a lawyer may disclose the affairs of his client to freedom from fear of revealment of matters disclosed 6. See ABA Coven 37.
independent professional judgment to separate the rele- to an 7. See ABA C.o. 6 and 37.
partners or associates of his firm. It is a matter of attorney because of the peculiarly intimate relationship mist-
vant and important from the irrelevant and unimpor- ing:.Ellis-Foster Co. v. Union Carbide & Carbon Corp., "IAN attorney must not accept professional employment
common knowledge that the normal operation of a law against a client or a former client which will. or even th
tant. The observance of the ethical obligation of a office exposes confidential professional information to 09 E.SuPP. 917, 919 (D.N.J. 1958).
require him to on confidential information obtained by the e
1
18 AMERICAN BAR ASSOCIATION
CODE OF PROFESSIO NAL RESPONSIBILITY
in the wane of chis prttafrull;a:::Zioogrt.sach, failing to disclose that Information to the proper authori- 19
all
'AV regarding `6731i ties... ." ABA Opinion 155 (1916). lawyer should explain the situation to his client and
.
8. See ABA CANON n.
We held in Opinion 155 that a communication by • client
to his attorney respect to the fUnife commission of an
should decline employment or withdraw unless the
client consents to the continuance of the relationship
tionslnp arise at different stages; they relate either to
whether a lawyer should accept employment or should
"Confidential communications between an attorney and unlawful act or to a continuing wrong Is not privileged from after full disclosure. A lawyer should not seek to per- withdraw from employment.. Regardless of
when the
his client, made because of the relationship and conmrning disclosure, Public policy forbids that the relation of attorney suade his client to permit him to invest in en under- problem arises, his decision is to be governed by the
the eubjecbmatter of the attorney'. emPlrymeM, ate ...- and client should be used to conceal wrongdoing on the part same basic considerations. It is not objectionable for a
.airy Privileged from disclosure without the consent of the of the chem. taking of his client nor make improper use of his Pro
- lawyer who is a potential witness to be an advocate
client, and this privilege outlasts the attorney's employment. fessional relationship to influence his client to invest in if it
Canon 37." ABA Opinion 154 (1936).
9. Cl. ABA Opinion 266 (1945).
"When an attorney representing • defend.t in a crim-
inal case applies on hie behalf for probation or suspension of
an enterprise in which the lawyer is interested.
EC 5.4 If, in the course of his representation of a
te
unlikely that he will be called as a witness because his
stimony would be merely cumulative or if his testi-
10. See ABA Canon 37; c/. ABA Canon sentence, he represents to the court, be implication at least, mony will relate only to an uncontested issue.. In the
6. cLent, a lawyer is permitted to receive from his client a
11. "46068... It is the duty of an attorney: that his client will abide by the tcrms and conditions of the exceptional situation where it will be manifestly unfair
coun's order. When that attorney is lutes advised of beneficial ownership in publication rights relating to to the client for the lawyer to refuse employment or to
"(e) To maintain inviolate the confidence, and at every violati011 of that order, it is his duty to advise his client of the subject matter of the mnp/oyment, he may be withdraw when he will likely be a witness on a contested
Cary the consequences of his act. and endeavor to prevent a con- tempted to subordinate the interests of his client to his issue, he may serve as advocate even though lie may be
B
cgt+;' ssraTintitooirg= tgogeroga.of(9t=i). own thticipated pecuniary gain. For example, a lawyer a witness.. In making such decision, he should deter-
the same provision is found in Me Oregon statutes. 1
' =1;114 ' tre ZaTtrati'&ani lvi .ntrXit:trio' n7111: in criminal case who obtains from his client television,
the duty or the attorney as an officer of the court to advise ne the personal or financial sacrifice of the client that
On. REV. Stuns. ch. 9 19.460(5). radio, motion picture, newspaper, magazine, book, or mayresult from his refusal of employment
mi
"Communication, between lawyer and client am privi- the proper authorities concerning his client's conduct. Such or with-
Information, even though coming to the attorney from the other publication rights with respect to the case may be drawal therefrom, the materiality of his testimony, and
leged (Wickman on Evnienca, 3d Ed., Vol. 8, 442290-2329). influenced, consciously or unconsciously, to a course of
The modern theory underlying the privilege is subjective and client In the course of his professional relations with respect the effectiveness of his representation in view of his
is to give the client freedom of apprehension in consulting his to other miters in which he mpresents the defendant, (5 not conduct that will enhance the value of kit publication personal involvement. In weighing these factors, it
legal adviser (ibid., 12290, p. 548) The privilege applies hr privileged from dimlosure... " ABA Opinion 156 (1936). rights to the prejudice of his client. To prevent these
16. ABA Opinion 314 (1965; indicates that a lawyer must should be clear that refusal or withdrawal will impose
communications made In seeking legal advice for ary Pry. potentially differing interests, such arrangements should an unreasonable hardship upon the client before the
pose (ibid., 4229, p. 563). The mere circurostanm that the disclose even the confidences of his clients if "Me facts In be scrupulously avoided prior to the termination of all
advice is given without charge therefor does not nullify the the attorney's possession indicate beyond reasonable doubt lawyer accepts or continues the employment..
aspects of the matter giving rise to the employment, Where
printer (ibid., 12303)." ABA Opinion 216 (1941). that a crime will be committed." the question arises, doubts should be resolved in favor
See ABA Opinion 155 (1936). even though his employment has previously ended. of the lawyer testifying and against his becoming or
It la the duly of an homey to maintain the confidenm
BOB preserve Inviolate the secrets of his client ." ABA 17. See ABA Canon 37 sod ABA Opinion 202 (1940). EC 5-5 A lawyer should not suggest to his client that continuing as an advocate..
Opinion 155 (1936). 18. Cf. ABA Opinion 250 (1943). a gift be "made to himself or for his benefit. If a lawyer
19. See ABA CANON 37 and ABA Opinions 202 (19401
EC 5-11 A lawyer should not permit his personal in-
12. See ABA Canon H. accepts a gift from his client, he is peculiarly susceptible
and 19 (1930). mrests to influence his advice relative to a suggestion by
"The provision respecting employment Is In accord with "ITIhe adjudicated cases recognize an exception to the to the charge that he unduly influenced or over-reached
the general rule announced in the adjudicated eases that a his client that additional counsel be employed!.In like
rule Phat a lawyer Mall not reveal the confidence of his the divot. If a client voluntarily offers to make a gift manner, hh personal interests should not deter him from
law,. May not make use of knowledge or information ac- to his lawyer, the lawyer may accept the gift, but before
ratred by, him through his professional relations with his client], where disclosure is necessary to protect the attorney's suggesting that additional counsel be employed; on the
di nt, or in the conduct of his client's business, to his own
interests arising out of the relation of attorney and chant doing so, he should urge that his client secure disin-
In which disclosure was made. contrary, he should be alert to the desirability of recom-
advantage or profit (7 C.I.S., 4121, p. 958, Healy v. Gray, terested advice from an independent, competent person mending additional counsel when, in his judgment, the
184 Iowa 111. 168 N.W. 222; Baumgardner I. Hudson, D.C. exception stated In Mecrtess rat Ammcv, 2d Ed., who is cognizant of all the circumstances." Other than
App., 277 F. 552; Goodrum v. Clement, D.C. APP., 277 F. Vol. 2, 12313, as follows: 'But the attorney may disclose proper representation of his client requires it. However,
intorMation received from the client when it becomes neces- in exceptional circumstances, a lawyer should insist that a lawyer should advise his client not
586)." ABA Opinion 250 (1943). sary for his own protection, as if the client Mould bring an an instrument in which hh client desires to name him to employ d
13. See ABA Opinion 177 (1938). fional counsel suggested by the client if the
action against the attorney for rtegligence or misconduct beneficially be prepared by another lawyer selected by lawyer be-
14. "[A lawyer] may not divulge confidential communica- and it became necessary for the attornry to show what hIs lievm that such employment would be a disservice to the
the client.'
tions, Information, and secrets Imparted to him by the client instructions were, or what was the nature of the duty which client, and he should disclose the reasons for
EC 5-6 A lawyer should not consciously influence a his belief.
or acquired during their professional relations, unless he Is the client expected him to Perform. So if it became 0m007. EC 5-12 Inability of co-counsel to agree on a matter
the Clint the to bring an action ignirito the lien, client to name him as executor, trustee, or lawyer in an
,12,t5r147 1"J T
448, 10'1 ." instrument. In thosecases where a client wishes to vital to the representation of their client requires that
Opinion of this ,ommittee. Na. 91)." ABA name his lawyer as such, care should be taken by the their disagreement be submitted by them jointly to their
diseltaliVwgZ"vT essentlaras'
' a":entants oof'obrt=ingrog
Opinion 202 (1940). defending his own rights.' lawyer to avoid even the appearance of impropriety.' client for his resolution, and the decision of the client
Cf. ABA Opinion 91 09131. "Mr. Jones, in his CoeasteNTANTEE on Eau:mama, 2d Ed., shall control the action to be taken..
15. "A defendant in a criminal case when admitted to Vol. 5, 12165, states the exception thus, 'It has frequently EC 5-7 The possibility of an adverse effect upon the
bail is not only regarded as in the custody of his bail, but exercise of free judgment by a lawyer on behalf of his EC 5-13 A lawyer should not maintain membership in
been held that the rule a. to privileged communications or be influenced by any organization of employees that
he Is also in the custody of the law, and admission to bail apply when litigation onus betwmn attorney and client during litigation generally makes it undesirable
does not deprive the court oft ifs inherent power to deal with client
fluent tai
to the extent that their ommuniation. are relevant for the lawyer to acquire a proprietary interest in the undertakes to pre-scribe, direct, or suggest when or how
the person of the prisoner. Being In lawful custody, the to the Issue. In such cases, If the disclosure of privileged cause of his client or otherwise to become financially he should fulfill his professional obligations to a person
defendant is guilty of an escape when he gains his liberty communications bemmes necessary to Protect the Mtnmry'a interested in the outcome of the litigation.. However, it or organization that employs him as a lawyer. Al-
before he is delivered in due process of Irav, and is guiry rights. he Is released from those obligations of secrecy though it m not necessarily improper for a lawyer
offense for which he may he punished. In fail- which the law places upon him. He Mould not, however, is not improper for a lawyer to protect his right to col- em-
inn
ing to disclose his clicra's whereabouts as a fugalae under
these circumstances the attorneyld wou not only be aiding
disclose more than is necessary for his own protection. It
would be a manifest injustice to allow the client to take
lect a fee for his services by the assertion of legally
permissible lkns, even though by doing no he may ac-
ployed by a corporation or similar entity to be a
ber of an organization of employees, he should be
mem-
his client to escape trial on the cha rge for which he was in- advantage of the rule of exclusion as to profmnonal confi- quire an interest vigilant to safeguard his fidelity as a lawyer to his em-
the outcome of litigation. Although ployer, free from outside influences.
dicted, but would likewise he aiding himin evading promos. dence to the prejudice of his attorney, or that It should be a contingent fee linengement' gives a lawyer a financial
don for the additional offense of escape. carried to the extent of depriving the attorney of the means interest in the outcome of litigation, a reasonable con-
"It is the opinion of the committee that under such cir- of obtaining or defending his own rights. In such cases Interests of Multiple Clients
cumstances the attorney's knowledge of his disci tingent fee is permissible in civil cases because it may
where- the attorney Is exempted from the obligations of secrecy.'" EC 5-14 Maintaining the independence of professional
abouts Is not privileged, and that he may be plined for ABA Opn 250 (1943). be the only means by which a layman can obtain the
thrvicm of a lawyer of his choice. But a lawyer, be- judgment required of a lawyer precludes his acceptance
came he is in a better position to evaluate a cause of or continuation of employment that will adversely affect
action, should enter into a contingent fee arrangement his
c judgment on behalf of or dilute his loyalty to a
CANON 5 only in those instances where the arrangement will be tient." This problem arises whenever a lawyer is asked
beneficial to the client. to represent two or more clients who may have differ-
ing interests, whether such interests be conflicting, in-
A Lawyer Should Exercise EC 5.8 A financial interest in the outcome of litiga-
tion also results if monetary advances are made by the consistent, diverse, or otherwise discordant..
Independent Professional lawyer to his client.Although this assistance generally
is not encouraged, there are instances when it is not
EC 5-15 If a lawyer is requested to undertake or to
continue representation of multiple clients having
Judgment on Behalf of a Client improper to make loans to a client. For example, the
advancing or guaranteeing of payment of the costs and
potentially differing intermts, he must weigh care-
fully the possibility that his judgment may be im-
expenses of litigation by a lawyer may be the only way paired or his loyalty divided if he accepts or con-
ETHICAL, CONSIDERATIONS a client can enforce his came of action! but the ulti- tinues the employment. He should resolve all doubts
EC 5.1 The professional judgment of a lawyer should mate liability for such costs and expenses most be that against the propriety of the representation. A lawyer
right or assuming a position that would tend to make of the client.
M exercised, within the bounds of the law, solely for should never represent in litigation multiple clients with
his judgment less protective of the interests of his client. differing intermts;ry and there are few situations in
the benefit of his client and free of compromising in- EC 5-9 Occasionally a lawyer is called upon to decide
EC 5-3 The self-interest of a lawyer resulting from his in a particular case whether he will be a witness or an which he would be ossified in representing in litigation
fluences and loyalties. Neither his personal intermts, ownership of property in which his client also has an
the interests of other clients, nor the desires of third per- advocate. If a lawyer is both counsel and witness, he multiple clients with potentially differing interests. If
s.m should be permitted to dilute his loyalty to his
interest or which may affectperty
pro of his client may becomes more easily impeachable for interest and thus a lawyer accepted such employment and the interests did
interfere with the exercise of free judgment on behalf may be a less effective witness. Conversely, the oppos- become actually differing, he would have to withdraw
client. of his client. It such interference would occur with ing counsel may be handicapped in challenging the credi- from employment with likelihood of resulting hardship
respect to a prospective client, a lawyer should decline bility of the lawyer when the lawyer also appears as an on the clients; and for this reason it is preferable that
Interests of is Lawyer That May Affect HIS Judgment employment proffered by him. After accepting employ- advocate in the case. An advocate who becomes a wit- he refuse the employment initially. On the other hand,
EC 5-2 A lawyer should not accept proffered employ- ment, a lawyer should not acquire property ffilhis that there are many instancesin which a lawyer may
ness 's in the unseemly and ineffectim position of argu-
ment if his personal interests or desires will, or there would adversely affect his professional judgment in the roperly serve multiple clients having potentially differ-
ing his own credibility. The roles of an advocate and
is a reasonable probability that they will, affect adversely
the advice to be given or services to be rendered the
representation of his client. Even if the property in-
terests of a lawyer do not presently interfere with the
of a witness are inconsistent; the function of an advo- p g interests in matters not involving litigation. If the
cate is to advance or argue the cause of another, while interests vary only slightly, it is generally likely that the
prospective client.After accepting thmloyment, a law- exercise of his independent judgment, but the likeli- that of a witness is to state facts objectively. lawyer will not be subjected to an adverse influence and
yer carefully should refrain from acquiring a property hood of interference can reasonably be foreseen by him, that he can retain his independent judgment on behalf
EC 5-10 Problems incident to the lawyer-witness relit-
of each client; and if the interests become differing,
20 AMERICAN BAR ASSOCIATION CODE OF PROFESSIONAL RESPONSIBILITY 21
withdrawal in less likely to have a disruptive effect upon a position to exert strong economic, political, or social (A) If, after undertaking employment in contemplated
the causes of his clients. pressures upon the lawyer. These influences are often or pending litigation, a lawyer learns or it In obvi- In behalf of • client will be or is likely to be ad.
subtle, and a lawyer must be alert to their existence. A versely affected by the acceptance of the proffered
EC 5-16 In those instances in which a lawyers justi- ous that he or a lawyer lu his firm ought to be
lawyer subjected to outside pressures should make full employment,. except to the extent permitted under
fied in repruenting two or more clients having differing called as a witness on behalf of his client, he shall DR 5-105(C)..
interests, it is nevertheless essential that each client be thselosure of them to his client?* and if he or his client withdraw from the conduct of the trial and his firm, (B) A lawyer shall not continue multiple employment
given the opportunity to evaluate his need for repre- believes that the effectiveness of ha representation has If any, shall not continue repte.nlation in the WWI, lf the exercise of his independent professioual judg-
sentation free of any potential conflict and to obtain been or will be impaired thereby, the lawyer should take except that he may continue the representation and
proper steps to withdraw from representation of his steal in behalf of a client will be or k likely to be
other counsel if he so desires." Than before a lawyer he or a lawyer In his firm may testify in the de,
adversely affected by his representation of another
maY represent multiple clients, he should explain fully stances enumerated In DR 5-101(B) (1) through
to each client the implications of the common reptx- (4). client, except M the extent permitted under DR
EC 5-21 Economic, political, or social pressures by 5-105(C)..
sentation and should accept or continue employment third persons are less likely to impinge upon the inde- (B) 11, after undertaking employment in contemplated (C) In the situations covered by DR 5.105 (A) and (11),
only if the clients consent." If there are present other pendent judgment of a lawyer in a matter in which he is or pending litigation, a lawyer learns or it Is obvi- a lawyer may represent multiple clients if II Is ob-
circumstances that might cause any of the multiple compensated directly by his client and his professional ous that he or a lawyer in his firm may be called
as a witness other than on behalf of his client, be vious that be can adequately represent the interest
clients to question the undivided loyalty of the lawyer, work is exclusively with his client. On the other hand, if
of each and if each consents to the representation
he should also advise all of the clients of those circum- a lawyer is compensated from a source other than Ns may continue the representation until it isap-
after full disclosure of the possible effect of such
stances." client, he may feel a sense of responsibility to someone parent that his testimony is or may be prejudichd
to his client.. representation on the axe Ise of his independent
EC 5-17 Typically recurring situations involving po- other than his client. professional judgment on behalf of each.
tentially differing interests are those in which a lawyer EC 5-23 A person or organization that pays orfur- DR 5.103 Avoiding Acquisitim of Interest In Litiga- (3) R a buyer is required to decline employment or M
is asked to represent co-defendants m a criminal case, nishes lawyers to represent others Possesses a Potential tion. withdraw from employment under OR 5-105, no
co-plaintiffs in a personal injury case, an insured and power to exert strong pressures against the independent (A) A lawyer shall nal acquire a proprietary ilitigation partner Ot associate of his or Ws firm may accept
his insurer," and beneficiarim of the estate of a de- judgment of those lawyers. Some employers may be or continue such employment.
cedent. Whether a lawyer can fairly and adequately )judgment in furthering their own economic, political, or he Is conducting fur a client; except that he mop DR 5-106 Settling Similar Claims of Clients..
protect the interests of multiple clients in these and social goals without regard to the professional responsi- (1) Acquire a lien granted by law in secure his fee (A) A lawyer who represents two or more clients shall
similar situations depends upon an analysis of each bility of the lawyer to his individual client. Others may or expenues.
(2) Contract with a client for a reasonable con- not make or participate In the makiug of an aggre-
case. In certain circumstances, them may exist little be far InOre concerned with establishment or extension gate settlement of the chains of or against his
chance of the judgment of the lawyer being adversely of legal principles than in the immediate protection of tingent fee in a civil case..
clients, unless each client has consmted to the
affected by the slight possibility that the interests will the rtghts of the lawyer's individual client. On some (B) While representing a client In connection with con- settlement after being advised of the existence and
become actually differme in other circumstances, the occasions, dmisions on priority of work may be made tentIMMd or Pending litigation, a lawyer shall not nature of all the claims involved in the proposed
chance of adverse effect upon his judgment is not un by the employer rather then the lawyer with the result advance or guarantee financial assistance to his settlement, of the burl amount of the settlement,
likely. that prosecution of work already undertaken for clients client,. except that a lawyer may advance or guar- and of the participation of each person
is postponed to their detriment. Similarly, an employer antee the expenses of htigation, including court settlement- in the
EC 5-IS A lawyer employed or retained by a corpora- may seek, consciously or unconsciously, to further its
tion or similar entityowes his allegiance to the enuty cosIs, expenses of investigation, expenses of medi-
own economic interests through the actions of the law- cal examination, and cosis of obtaining and pre- DR 5-107 Avoiding Influence by Other. Than the
and not to a stockholder, director, officer, employee, Client
representative, or other person connected with the en- yers employed by it. Since a lawyer must always be sentin g evidencerovided
, rental. ulti- (A) Except with the consent of his client after full dis-
titY. In advising the entity, a lawyer should keep pare-
mount its interests and his professional judgment should
free toexercise his professional judgment without re-
gard to the interests or motives of a third person, the
mately liable for such expense.
otsea c
DR 5-104 Limiting Business Relations with a Client.
closure, a lawyer
(1) Accept
com shall salt
lawyer who is employed by one to represent another penwtion for his legal services from
not be influenced by the personal desires of any person (A) A lawyer shall not enter into • business transaction one
other than his client.
must constantly guard against erosion of his profes-
or organization. Occasionally a lawyer for an entity is with a client if they have differlog interests therein (2) Acc ept from one other than his client any thins
sional freedom?'
requested by a stockholder, director, officer, employee, and if the client expects the lawyer In exercise his of value related to his representation of or Ws
representative, or other person connected with the en- EC 5-24 To assist a lawyer in preserving his profes- professional judgment therein for the protection of employment by his client..
tity to represent him in an individual capacity; in such sional independence, a number of courses are available the cleat, nukes the client has consented after full Oil) A lawyer shall not penal' a person who recom-
case the lawyer may serve the individual only if the law- to him. For example, a lawyer should not practice disclosure mends, employs, or pays him to render legal set,
yer is convinced that differing interests are not present. with or in the form of a professional legal corporation, (B) Nior to conclusion of all aspects of the matter giv- vices for auother to direct or regulate Ws proles-
even though the corporate form is permitted by law,"
EC 5-19 A lawyer may represent several clients whose
interests are not actually or potentially differing.
if any director, officer, or stockholder of it isa non-
lawyer. Although a lawyer may be employed 'by a
m
g rise to his employment, a lawyer shall not enter
ito any arrangement or understanding with a
client or a prospective client by which he acquires
war lawyer should not use or attempt to use the power or prestige
of the Judicialoffice M secure such endorsement. On the EC 9.3 After a lawyer leaves judicial office or other
mit; no conduct himself so as to reflect credit on the
legal profession and to inspire the confidence, respect,
other hand, the lawyer whose endorsement is sought, he public employment, he should not accept employment
the Public, 40 A.B.AJ. 31, 31-32 (1954).
believe the candidate lacks she emential gratificationsif for connection with any matter in which he had sub-
and trust of his clients and of the public; and to strive
2. See ABA CANON 29; Cf. Cheatham, The Lowyee'r Role the offim or believes the opposing candidate is better quali- to avoid not only professional impropriety but also the
and Surronndinss. 25 Rocm Ms. L. Rm. 405, 406-07 (1953). fied, should have the courage and mood stamina stantial responsibility prior to his leaving, since to ac- appearance of impropriety.'
"The lawyer tempted by repose should recall the hmvy to mfuse
the request for endorsement.. .413A Opinion 189 (1938).
c
casts paid by his profession when needed legal reform had
be mcomplished through the initiative of public-spirited 7. "[Wje are of the opinion that, whenever a candidate
for judicial office merits the endorsement and support of DISCIPLINARY RULES
laymen. Where change must be thrust from without upon
an unwilling Bar, tM public's least flattering picture of the ■OVraceP r theh:sistVgefif 11'sopmsTtiren''sTaso DR 9-101 Avoiding Even the Appearance of Lops. firm must be deposited therein, but the par-
lawyer seems confirmed. The lawyer concerned or the n'i'lliabTeTn=" d! priety.• don belonging to the lawyer or law firm may
standing of his profession will, therefore, interest himself exceeds that which the candidate would be expected to bear
Personally.. ABA Opinion 226 (1941). (A) A lawyer shall not accept private employment in a be withdrawn when due unless the right Of the
actively ln the improvement of the law. In doing so he will 8. See A BA CANON I. matter upon the merits of which he acted In a lawyer or law firm to receive 11 Is disputed by
tole blip to maintain confidence in the Bar, but will 9. 'Citizens have a right under our constitutional system judicial capacity.'
have the satisfaction ot meeting a responsibility inhenng In the client, In which event the disputed poron ti
to criticizervdernmental officials and agencies. COM s are (B) A lawyer shall not accept primte employment In a shall not he withdrawn until the dispute Is
the nature of his calling." Professional Responsibility: Re- 1.
port of the Joint Conference, 44 A.13A.J. 1159, 1217 (1958)• loaner in which he had substantial remondffility finally resolved.
li!dSttela;''n'
tb j4lUrnif 'ii..c2T2t1E5'. (191 1Ti.'-
3. See Stayton. Coin Honore Officlion, 19 Tex. R.J. 765, wIdle he was a public employee! (B) A lawyer shall:
766 (1956); Professional Responsibility: Report of the Joint 11t. "[Elvery lawyer, worthy'of respect. realizes that pub-
lic mnfidence in our courts is the cornerstone of our overn- (C) A lawyer shall not stale or Imply that he k able to ()) Promptly notify a °Bent of the receipt of his
Conference, 44 A.BA.J. 1159, 1162 (1958); and Paul, The intimnce haproperly or upon irrelevant grounds
Lawyer as a Tax Adviser. 25 woman Mr. L. Rev. 412, 431-
mental structure, and will tefrain from unjmtified attack on funds, securities, or other ProPeribre•
the character of the judges, white teeottlizillp the any tribunal, legislative body,. or public officiaL
34 (1953). dump tei (2) Identify and label securities and properties of a
4. .There are few great figures In the history of the war denounce and expose a corrupt or dishonest fudge." Ken- DR 9-102 Preserving Identity of Funds and Property
l
it;c5k,y).State Bar Assn v. Lewis, 282 S. W. ad 321, 326 (Ky. client promptly upon receipt and place thefts In
Mu, have not concerned themselves with the reform and of a Client.. a safe deposit box or other place of safekeep-
11.°77:11h" '17.‘'1",; .
■
00
117 t7f,c•i'' "T"''Tolth`,ff- "We col he the last to deny that Mr. Meeker has the
right to uphold the honor of the profemion and to expose
(A) All foods of clients paid to a lawyer or law firm,
other than advancer for costs and expenses, shall ing as moo as practicable.
yer who has both the butdance to knew when the law is
lasnvt without fear or foyer corrupt or dishonest conduct in the be deposited in one or more ideudfiable bank ac- (3) Maintain complete recorths of all funds, securi-
profession. whether the conduct be that of a whir or not. counts maintained In the Slate in which the law ties, and other propertlea of a client condos
working badly and the special competence to put it in order." ... Howr. this Canon 1291 does not permit one to make
Professional Responsibility: Report of the Joint office Is situated and no funds belonging to the law- into the possession of the lawyer ante d render
ma ss's h are false and untrue and unfomded inling appropriate accounts to hh client garding
44 A.E.A.1. 1159, 1217 (1950. When onfancy leads him to make false charges, attacking yer or law firm shall be deposited therein except
5. "Ride 14. . . . A member of the Sta. Bar shall not the character and is as follows. them.
of others, he does so at his peril.
.3. 9,9^icate with, or Mikes before, a public officer, board, lie should not do so without adequate proof of his chargm (1) Fonds reasonably sufficient to pay bank charges (4) Promptly pay or deliver to the client as re-
committee or body, in his professional capacity, without first and he is certainly not authorized to mat carekss, untruth- may be deposited therein.
disclosing that he is an attorney representing interests that quested by • client the fonds, securities, or
may be affected by action of such officer, board, committee ful and vile charges against his professional brethren.. In (2) Funds belonging in part to • client sad In part other properties In the possession of the law-
re Meeker, 76 N. M. 354, 364-65, 414 Pfd 862, 869 (1966). presendy or potendally to the lawyer or law yer which the client is entitled to receive.
36 AMERICAN BAR ASSOCIATION
Naas
1. "Integrity i• the very breath of justice. Confidence in
Judge from actin. as attorney for the defendants upon such
our law, our courts, and in the administration of justice is
trial, Whether they were examined by him or by some
our suprnme interest. No practice must be permitted to pre- other
vail which invites towards the administration of Justice • judge. Such • practice would not only diminish public con-
fidence in the administration of Justice in both courts, but
doubt or distrust of he Wearily." Erwin M. I owing. Co. v.
DiGenova, 107 Conn. 491. 499, 141 A. 866, 868 (1928). would produce serious conflict between the private interests
of the judge asa lawyer, and of his clients, and his doles
2. lawyer should never be reluctant or too proud to as a Wise in adjudicating important phases of criminal
answer uffiutailied criticism of his profession. of himself, or processes in other cases. The public and private duties
of bin brother lawyer. He should guard the repurntion of his would be incompatible. The prestige of the Judicial office
we.
profession and of his brothers as zealously as he guards his
o ' Rochelle and Payne, The Struggle for PuMc would be diverted to private benefit, and the Judicial office
Under- would be demeaned thereby." ABA Opinion
standing. 23 Tams B. J. 109, 162 (1962). 242 (1942).
"A lawyer, who haspreviously occupied a judicial
3. See ABA Canon 29. tion or acted In a judicial capacity, should refrain posi-
from
4. See ABA CANON 36. accepting employment in any matter involving the same facts
5. "As mid In Opinion 49, of the Committee on Profes- as were involved in any specific question which he acted
sional Ethics and attorney of the American
than, page 134: 'An attorney should not
arty Bar Assoc'.
Primp but should avoid the appearance of impro-
avoid impro-
zo
o° ZArgt, c=nrd..:` `7,47,:n=1:7,1,1
reasonably appear to involve the same facts." ABA Opinion
priety.'" State ex rel. Nebrka 49 (1931).
N.W. State Bar Ass, v See,,ABABOpinion 110 (19341.
lUchards, 165 Neb. 80, 93, 84 . 2d 136, 145 (1957).
"It would also be preferable that such contribution (to
the campaign of • candidate for Judicial office] be made to a
committee rather than to the candidate personally.
ABA Gxox 32painnink:
(1930). But see ABA Opinion
b1,92.122^A 113;',31:193126
37 (1931).
In
Innsso doing. possible appemances of impropriety would be 9. "(A statement by a governmental department or agency
reduced to a minwom." ABA Opinion 226 (1941). with regard to a lawyer resigning from its staff that Includes
"The lawyer Names high duties, and has imposed upon a laudation of his legal ability)carries Implication. prob-
ably not founded in fact, that the lawyer's acquaintance and DEFINITIONS.
him grave responsibilities. He may be the means of much
good or much mischief. Interests of vast magnitude are au previous relations with the personnel of the administrative As used In the Disciplinary Rules of the Code of Pro- (4) .Professional legal ••••••••10." 55555• • colyora-
trusted to him; confidence isreposed in him; life, liberty, agencies of the government place him in an advantageous fesdosal ResgondbiRty tion, or a■I association treated no a corporatioo,
character and property should be protected by him. Ile Position in practicing before Such agencies. So to un (1) .Diflenng Interest?' Include every interest that authorized by law to practice law for profit
would not only represent whet probably is untrue, but tumid ply
should guard, with melons watchfulness, his own reputation, Ill adversely affect either the Judgment or the (5) "State.includes the District of Columbia, Puerto
Ford Well as that of his profession." People an rel. Cutler v.
54 111. 520. 522 (1870),and also quoted in State
be highly reprehensible." ABA Opinion 184 (038).
10. See ABA CANON 11. loyalty of • lawyer to • chest, whether It be a eon-
Mean& loonsisteat, divose, or other interest
Rico, and other federal territories and posses-
stoat
Board of Law Examiners v. Sheldon. 43 Wyo. 522, 526. 7 .1We 9. . . . A member of the State Bar shall not com-
P.ffil 226. 227 (1932). mingle the money or other property of a client with his own; (2) .Law firm.includes a profesdosal legal corpora- (6) uTribunal" Includes, 1,11 courts sad all other ad-
See ABA Opinion 150 (1936). and he shall promptly report to the client the receipt by him don. Judicatory bodies.
6. C). Coos op Paorassroask. Respowsmu.rrn, EC S-6. of all money and other properly belonging to such client. 'Tenon" include a corporadon, an association,
7. See ABA CANON 36. Unless the climt otherwise directs in writing, he shall (3) a trust, a partnership, and any other organization
promptly deposit his client's funds in a bank or trust com- • "Confidence" and "secret" are defined to DR 4101 (A).
"It is the duty of the judge to rule on questions of law or legal entity.
and evidence In misdemeanor cases and examinations in p., ... in a bank account separate from his own account
felony cases. That duty calls for impartial and uninfluenced and clearly designated as 'Clients' Funds Account'•or 'Trust
Judgment. regardless of the eft. on those hilmediately in- Funds Account' or words of similar import. Unless the
volved or others who may, directly or indirectly, be af- client otherwise directs in writing, securities of • client in
fected. Discharge of that duty might be greatly interfered hearer form shall be kept by the attorney In a safe deposit
with if the Judge, InarroMer capacity, were permitted to boa at a bank or trust company, ... which safe deposit box
sHall he clearly designated as 'Clients' Account'or
hold himself out to employment by those who are to be, or 'Trust
Account' or words of similar import, and be separate from
who may be, brought to trial in felony cases, even though be
the attorney's own safe deposit box Cm. BUNKO. sem
did not conduct the examination. Ills private interests as a
lawyer in building up his clientele, his duty as such zealously Prnsmsiorts Com 86076 (West 1962).
to espouse the cause of his private clients and to defend "(Cjommingling Is committed when • client's money Is
Intermingled with that of his attorney and its separate iden-
g:te:1 f,tr,rof. tity lost so that it may be used for the attorney's personal
cr:mpeseZro:if:Al htZreb'ent
n',1;r eTn"ge:r4. expenses or subjected to claims of his creditor. . . . The
that unbiased judiclid Judgment whichvis so essential in the
administration of Justice. rule against commingling was adopted to oide against
"In our opinion, acceptance of a Judgeship with the the probability in some cases, the possibilityInv many cams,
duties of conducting misdemeanor trials, and examinations and the danger in all cases that such commingling will result
In felony cases to determine whether those accused should in the loss of clients' money." Black v. Slate Bar, 57 Cal.
(d 21). 225-26, 368 P.2d 118, 122, 18 Cal. RM. 518,
be bound over for trial in a higher court, ethically bars the (1962). 522
37
CODE OF PROFESSIONAL RESPONSIBILITY INDEX 39
Index attorney-client privilege, 15. 17 Defense of those accused of crime, 7
commin g of funds of, 35 Delegation by lawyer of tasks, 15
confidengclie no f, 17 Desires of third parties, duty to avoid influence of,
A textbook, 7
counselling, 24, 25, 27-28 20, 21
treatises, 7 property, protection of, 35 Differing interests, 19, 37. See Also Adverse effect on
Acceptance of Employment. See Employment, accept-
.. of. Advice by lawyer to secure legal services, 5, 9 restraint of, 26 professional judgment of lawyer.
client, former or regular, 5, 9 secrets of, 17 Directory fisting. See Advertising. directories.
Acquiring interest in litigation. See Adverse effect on close friend, 5, 9
professional judgment, interests of lawyer. employmont resulting from, 5, 9 Co-counsel. See also Association of counsel. Disciplimry procedures, 1
Address change, notification of, 7 division of fee with, 8-9 Disciplinary rules,
motivation, effect of, 5 inability to work with, 9 application of, 1
Administrative agencies and tribunals. other laymen parties to class action, 9
former employee, rejection of employment by. 35 Commercial publicity. See Advertising, commercial purpose sancta f unction of, 1
relative, 5, 9 Disciplinary n, 1
improper influences on, 26, 27, 29 publicity.
volunteered, 5, 9 Commingling of funds, 35 Discipline of lawyer, grounds for
representation of client before, generally, 25-29, 33 within permissible legal service programs, 8, 9
Admiralty practitioner, 6, 9 Communications with advancement of funds to client improper, 21
Advocacy, professional, 24-29 one of adverse interests, 28 advertising, improper, 7-8
Admission to practice
Aiding unauthorized practice of law, 15 judicial officers, 27, 29 msociatea, failure to exercise reasonable care toward,
duty of lawyers BB to applicants, 3 Ambulance chasing. See Recommendation of profes-
requirements for, 3 juror; 26-27, 28, 29 19
sional employment. party, 26, 28 bribery of legal officials, 29
Advancing funds to clients, 19, 21 Announcement card. See Advertising, cards, announce- C
court coats, 19, 21 veniremen, 26, 27, 29 circumvention of disciplinary rule, 3
ment. clients' funds, mismanagement of. 35
investigation expenses, 19, 21 witnesses, 26, 29
Appearance of impropriety. avoding, 19, 35-36 Compensation for recommendation of employment, communication with adverse party, improper, 28
litigation expenses. 19, 21 Appearance of lawyer. Sc, Administrative agencies,
medical examination, 19, 21 prohibition against, 8 communimbon with jurors. improper, 29
representation of client before; Courts, representa- Competence, Mental. See Instability, mental or emo- confidential information, disclosure of, 17
personal expenses, 21
tion of client before; Legislature, representation of tional; Mental competence of client, effect on repre- conflicting interests, representation of, 20, 21
Adversary system, duty of lawyer to, 26-29 cBent before; Witness. lawyer acting as.
Adverse legal authority, duty to reveal, 26, 28 sentation. crime of moral turpitude, 3
Applicant for bar admission. See Admission to practice. Competence, professional, 7, 23, 24 criminal conduct, ; 27-28
Adverse effect on professional judgment of lawyer, 18-21 Arbitrator, lawyer acting as, 20
desires of third persons, 20, 21 Confidences of client, 17 differing interests, improper representation of. 20-21
Argument disregard of tribunal ruling. 28
interests of lawyer, 18-19, 20-21 Conflicting interests. See Adverse effect on professional
before jur 26, 27 judgment of lawyer. division of fee, improper, 9, 15
interests of other clients, 19-20, 21 before legitature. 25
Advertising, 5, 7. See also Name, use of. Consent of client, requirement of employees, failure to exercise reasonable care toward,
before tribunal, 26, 27-28 ac.pt.ce of employment though interests conflict, 17, 29
announcement of change of association, 7 Associates of lawyer, duty to control, 1, 15, 17, 26 18, 19. 20. 21 evidence, false or misleading, use of, 27
announcement of change of firm name, 7 Association of counsel. See also Co-counsel; Division of extra judicial statement, improper, 28-29
acceptance of value from third person, 6, 21
announcement of change of office address. 7-8 legal fees. failure to act competently, 24
advice requested from another lawyer, 17
announcement of establishment of law office, 7 cBent's suggestion of. 19 failure to act zealously, 27
aggregate settlement of claims, 21
announ.ment of office opening, 7 lawyer's suggestion of. 19 failure to disclose information concerning another
msociation of lawyer, 6, 9
announcement of organization of which lawyer is Assumed name. See Name, use of, assumed name. lawyer or judge. 3
foregoing legal action, 25
officer or director, inclusion of name and profes- Attenff ts to exert personal infl.nce on tribunal. 26, 27, multiple representation, 19. 20. 21 failure to disclose information to tribunal, 28
sion of lawyer in, 7
revelation of client's confidences and secrets, 17 false accusationa, 34
availability as associate, 9 Attorney-client privilege, 15, 17. See also Confidences of false statement in bar application, 3
use of client's confidences and secrets, 17
availability as consultant, 9 client; Secrets of client.
books written by lawyer, 7 withdrawal from employment, 10 fees
Attorney's lien. See Fee for legal services, .11.6. of. Consent of tribunal to lawyer's withdrawal, requirement charging illegal or clearly excessive, 9
building directory, 5, 8 Availability of counsel. 5, 6, 7 charging contingent fee in criminal case, 9
bar association, by, 5 of, 9, 10
cards
B Consultant. See Advertising, availability as consultant. failure to return unearned, 9
Bank accounts for clients' funds, 35, 36 Contingent fee, propriety of further application of unqualified bar applicant, 3
announcement, professional, 7 guaranty of financial assistance, 21
Bar applicant. See Admission to practice. in civil actions, 6, 19, 21
professional, 5, 7 holding out as having limited practice. 9
Bar associations in criminal actions, 6. 9
city directory, 7-8 holding out as a specialist, 9
advertising by, 5 in domestic relation cases, 6
commercial publicity, 7
compensation for, 7
directorim
bar examiners, assisting, 3
disciplinary authority, assisting, 3
Continuing legal education programs, 23
Contract of employment
fee provisions, desirability of writing, 6
i llegal conduct, 3, 27
mproper argument before tribunal, 28
institution of criminal charges, 28
building, 5, 7 legal service programs, 8-9
minimum fee schedule. See Fee for legal services, de- rmtrictive covenant in, 9 invmligation of jurors, 29
city, 7-8 malpractice, 24
termination of, minimum fee schedule. Controversy over fee, avoiding, 6
legal, 7, 8 moal turpitude, crime of, 3
Bank charges on clients' accounts, 35 Copyright practitioner, 6, 9
telephone, 7-8 public office, improper use of, 34
Barratry. See Advice by lawyer to secure legal services; Corporation, lawyer employed by, 20, 21
display, 7 publicity, improper. 7
Recommendation of professional employment. Counsel, designation as
jurisdictional limitations of members of firm, required "General Counsel" designation, 7 recommendation of professional employment, pro
notice of, 8 Bequest by client to lawyer, 19
Best efforts. See Zeal. "Of Counsel" designation, 7 hibited, 8
law lists, 7, 8 restrictive covenant, entering prohibited. 9
Bounds of law Corporation, professional legal. See Professional legal
law office, identification of, 7 corporation. secrets, disclosure of, 17
legal directories, 7, 8 difficulty of ascertaining, 24
duty to observe, 24, 25 Counseling. See Client, counseling. solicitation of businms, 8
legal documents, 7
legal journals, 9 generally, 24-29 Courts. See also Consent of tribunal to lawyer's with- specialization, notice of, 9
Bribes. See Gifts to tribunal officer or employee by drawal, requirement of; livid... conduct regard- suggestion of need of legal services, prohibited, 8, 9
legal notices, 7 ing; Trial tactics. unauthorized practice of law, 15
letterheads lawyer.
Building directory. See Advertising, building directory. appointment of lawyer as counsel, 7 unauthorized practice of law, aiding laymen in, 15
of clients, 7 courtesy, known customs of 27, 28 violation of disciplinary rule. 3
of law firm, 7 Business card. See Advertising, cards, professional.
personal influence, prohibitions against exerting, 27, withdrawal, improper, 9-10
of lawyer, 7, 8, 9 C 9 penalties imposed, 1
limited practice, 9 Calling card. See Advertising, cards. professional. fair trial, requirement of, I
representation of client before, 26-28
magazine. 7 Candidate. See Political activity. Disclosure of improper conduct
Criminal conduct
name, See Name, use of. Canons, purpose and function of, I m basis for discipline of lawyer, 3 of another lawyer, 3
newspaper. 7 Card. See Advertising, cards. duty to reveal information as to, 3, 17 of bar applicant, 3
law office establishment, 7 Change of office address. See Advertising, announce- providing counsel for those accused of, 6, 7 of judge, 3
news story, 7 ment of change of office address. Criticism of judges and administrative officials, 34 toward juror or venireman. 27
office address change, 7 Change of association. See Advertising, announcement Cross-examination of witness. See Witnesses, communi- Discretion of government lawyer, exercise of, 27-28
office building directory, 5, 7 of change of association. cations with. Discussion of pending litigation with news media. See
office, identification of, 7 Change offirm name. See Advertising, .nouncement Trial publicity.
office sign, 7 of change of firm name. Diverse interests. See Adverse effect on professional
political, 7 13 udgment of lawyer.
Character requirements, 3
public notice; 7 Clam action. See Advice by lawyer to secure legal serv- Deceased lawyer Divisionn of legal fees
adio, 7 ices, parties to legal action. payment to estate of, 15 consent of client, when required for, 6, 9
remons for regulating, 5, 6 Client. See also Employment; Adverse effect on pro- use of name by law firm, 5, 8 reasonableness of total fee, requirement of, 6. 9
sign, 7 fessional judgment of lawyer; Fee for legal mime.: De facto specialization, 6 with associated lawyer, 6, 9
specialimtion, 6, 9 Defender, public. See Public defender office, working with estate of deceased lawyer, 15
Indigent parties, representation of; Unpopular
telephone directory, 7, 8 party, representation of. w with lameny , 15
television, 7 appearance as witness for, 19, 20, 21 Defense against accusation by client, privilege to dis- Dual practice, balding out as being engaged in pro-
close confidences and secrets, 17 hiloited, 8
38
40 AMERICAN BAR ASSOCIATION r
CODE OF PROFESSIONAL RESPONSIBILITY INDEX 41
E explanation of 6 selection of, 34
illegal fee, prohibitMn against, 9 Judgment of lawyer. See Adverse effect on professional
Education. persons able to pay reasonable fee, 6
Continuing legal education programa, 23 persons only able to pay a partial fee, 6 judgment of lawyer. Name, use of
of laymen to recognize legal problema, 5, 33 Jury assumed name, 5. 8
persons without means to pay a fee, 6 arguments before, 26-28 deceased partner's, 5, 8
of laymen to select lawyers, 5, 33 reasonable fee, rationale against overcharging, 6
requirement of bar for applicant, 3 investigation of members, 26, 27, 29 firm name, 5, 8
rebate, propriety of accepting, 6, 21 misconduct of, duty to reveal, 27, 29 misleading name, 5, 8
Elections. See Political activity. refund of unearned portion to client, 9
Emotional instability. See Instability, mental or emo- questioning members of after their dismissal, 26-27, 29 partners who hold public office, 6, 8
Fee of lawyer referral service, propriety of paying. 8 predecessor firms, 5, 8
tional. Felony. See Discipline of lawyer, grounds for, illegal
Employees of lawyer K proper for law firm, 5, 8
conduct. proper for lawyer in private practice, 5, 6, 8
delegation of tasks, 15 Firm name. See Name, use of, firm name. Knowledge of intended crime, revealing, 17
duty of lawyer to control, 17, 26 Framework of law. See Bounds of law. retired partner. 5, 8
Employment. See also Advice by lawyer to secure legal trade name, 5, 8
Frivolous position avoiding, 24, 27 withdrawn partner's, 5, 8
services; Recommendation of professional employ- Funds of client, protection of, 35 Law firm. See Partnership.
ment Future conduct of client, counseling as to. See Clients, Law lists. See Advertising, law lists. Need for legal services, suggestion of. See Advice by
acceptance of lawyer to secure legal services.
counseling. Law office. See Partnership. Negligence of lawyer, 1, 24
generally, 6, 7 Law school, working with legal aid office or public de-
indigent client, on behalf of, 7 fender office sponsored by, 8, 9 Negotiations with opposite party, 26, 28
instance. when improper, 5, 7, 8, 9, 17, 19-21, "General counsel" designation, 7 Lawyer-client privilege. See Atiorneyffilient privilege. Neighborhood law offices, working with, 6, 8, 9
23, 35 Gift to lawyer by client, 19 Newspapers
Lawyer referral services advertising fit 7
unpopular cause, on behalf of, 7 Gifts to tribunal officer or employee by lawyer, 27, 29 fee for listing, propriety of paying,
nnPoPular client, on behalf of, 7 news stories in, 7
Government legal agencies, working with, 8-9 listing of type referrals accepted, propriety of. 9 news releasia in, during or pending trial, 27, 28-29
when unable to render competent service, 7, 23 Grievance committee. See Bar associations, disciplinary request for referrals, propriety of, 8
contract of authority, assisting. working with, 6, 8 Nommeritorious position, duty to avoid, 24, 27
desirability of, 6 Non-profit organization, legal aid services of, 8, 9
Guaranteeing payment of client's cost and expenses, 19, Laymen. See also Unauthorized practice of law. Notices. See Advertising.
restrictive covenant in, 9 21 need of legal services, 5, 33
public, retirement from, 35
H
recognition of legal problems, need to improve, 5, 33 0
rejection of, 6, 7, 8, 9, 17, 18, 19-21, 23, 35 selection of lawyer, need to facilitate, 5, 6, 33 Objectives of client, duty to seek, 24, 25, 27
withdrawal from Harassment, duty to avoid litigation involving, 7, 9, 10 Legal aid offices, working with, 6, 8-9
generally, 7, 9-10, 19, 20, 21, 25 Of Counsel" designation. 7
Holding out Legal corporation. See Professional legal corporation. Offensive tactics by lawyer, 27
harm to client, avoidance of, 7, 9, 19 as being engaged in both law and another field, Legal directory. See Advertising, legal directories. Office building directory. See Advertising, building di-
mandatory withdrawal, 9-10, 20, 21 as limiting practice, 6, 9 Legal documents of clients, duty to safeguard, 17 ectory.
permissive withdrawal, 9-10, 20, 21, 25 as partnership, 6, It Legal education programs. See Continuing legal edu- Office sign,
refund of unearned fee paid in advance, require- as specialist, 6, 9 ation programs. Opposing counsel, 19. 26, 27, 28
ment of, 7, 9 Legal problems, recognition of by laymen, 5, 33 Opposing party, communications with, 26, 28
tribunal, consent to, 7, 9-10 Legal system, duly to improve, 33-34
when arbitrator or mediator, 20 Identity of client, duty to reveal, 25, 33 Legislature
Estate of deceased lawyer. See Division of legal feu, Illegal conduct, as cause for discipline, 3, 27 improper influence upon, 35 Partnership
with estate of deceased lawyer. Improartiality of tribunal, aiding in the. 26, 27, 28-29 representation of client before, 25, 33 advertising. See Advertising.
Ethical considerations, purpose and function of, 1 Imp per influenes 'gas member of, 34 conflicts of interest, 2l
Evidence, conduct regarding, 26, 27, 28 gift or loan to judicial officer, 27, 29 Letterhead. See Advertising, letterheads. deceased member
Excessive fee. See, For for legal services. amount of, on judgment of lawyer. See Adverse effect on pro- I.iability to client, 1, 24 payments to estate of, 15
excessive. fessional judgment of lawyer. Licensing of lawyers use of name, 5, 8
Expenses of client, advancing or guaranteeing payment Improvement of legal system, 34 control of, 15 dissolved, use of name of, 5, 8
of, 19, 21 Incompetence, mental. See modernization of, 15, 33 holding out as, falsely, 6, 8
F Instability, mental or emotional; Liens, attorneys', 19, 21 members licensed in different jurisdictions, 8
Mental competence of client. Limited practice, holding out as having, 6, 9 name, 5,8
Fee for legal services Incompetence, professional. See Competence, profes- Litigation nonexistent, holding out falsely, 6, 8
adequate fee, need for, 6 sional. acquiring an interest M, 20, 21 non-lawyer, with, 15
agreement as to, 6, 9 Independent professional judgment, duty to preserve, expenses of, advancing or guaranteeing payment of, recommending professional employment of, 6
amount of 18-21 19, 21 Patent practitioner, 6, 9
excessive, clearly, 9 Indigent parties pending, media discussion of, 27, 28-29 Payment to obtain recommendation or employment,
reasonableness, desirability of, 6 provision of legal services to, 6 responsibility for conduct of, 24-25, 27 prohibition against, 5, 8
collection of representation of, 6-7 to harass another, duty to avoid. 7, 8, 9, 10 Pending litigation, discussion of in media, 27, 28-29
avoiding litigation with client, 6 Instability, mental or emotional to maliciously harm another, duty to avoid, 7, 8, 9, 10 Perjury, 24, 25, 26, 27
client's secrets, use of in collecting or establish- of bar applicant, 3 Living expenses of client, advances to client of, 19, 21 Personal interests of lawyer. See Adverse effect on pro-
in 17 of Royer, 3, 10 Loan to judicial officer, 27, 29 fessional judgment of lawyer, interests of lawyer.
liens, use of, 19, 21 recognition of rehabilitation. 3 Loyally to client. See Zeal. Personal opinion of client's cause, 7
contingent fee, 6, 9, 19, 21 Integrity of legal profession, maintaining I, 3, 34, 35 Lump-sum settlements, 21 Pho directory, listing in. See Advertising, telephone
contract as to, desirability of written, 6 Intent of client, as factor in giving advice, 25, 27, 28 sectorY.
controversy over, avoiding, 6 Interests of lawyer. See Adverse effect on professional M Political activity, 7, 34
determination of factors to consider judgment of lawyer, interests of lawyer. glandatory withdrawal. See Employment, withdrawal Political considerations in selection of judges, 34
ability of lawyer, 6, 9 Interests of other client. See Adverse effect on profes- from, mandatory. Potentially differing interests. See Adverse effect on pro-
amount involved, 9 sional judgment of lawyer, interuts of other clients. Mediator. lawyer serving as, 20 fessional judgment of lawyer.
customary, 6. 9 Interests of third person. See Adverse effect on profes- Medical expenses. 19, 21 Practice of law, unauthorized. 15
effort required, 9 sional judgment of lawyer. desires of third persona. Menial competence of client, effect on representation, 25 Prejudice to right of client, duty to avoid, 7, 9, 26
employment, likelihood of preclusion of other, 9 Inter ediary, prohibition against use of, 20, 21 Mental competence of lawyer. See Instability, mental or Preservation of confidences of client, 17
experience of lawyer, 6 9 Intery motional. Preservation of secrets of client, 17
fee customarily charged in locality, 6, 9 with opposing party, 26, 28 Military legal service officers, working with. 8, 9 Prusure on lawyer by third person. See Adverse effect
fee schedule, 6, 9 with news media, 27, 28-29 Minimum for schedule. See Fee for legal services, de- on professional judgment of lawyer.
interests of client and lawyer, 6 with witness, 26, 29 termination of, factors to consider, minimum fee Privilege. attorney liens. Su AttorneYffilient privilege.
labor required, 9 Investigation expenses. advancing or guaranteeing pay- schedule. Procedures, duty to help improve, 33
minimum fee schedule, 6, 9 ment, 19, 21 Misappropriation Professional card of lawyer. See Advertising, cards, pro-
nature of employment, 6 confidences of client, 17 fessional.
question involved, difficulty and novelty of, 6 property of client, 35 Professional impropriety, avoiding appearance of, 19, 3 5
relationship with client, professional. 6 Judges secrets of client, 17 Professional judgment, duty to protect independence of,
reputation of lawyer, 6, 9 false statements concerning, 34 Misconduct. See also Discipline of lawyer. 18-21
responsibility assumed by lawyer, 6 improper influences on of client, 6, 10, 17, 26 Professional legal corporations, 20, 21, 37
ruults obtamed, 6, 9 gifts to, 27, 29 of juror, 27. 29 Professional notices. See Advertising.
skill requisite to services, 6 private communication with, 27, 29 of lawyer, duty to reveal to proper officials. 3 Professional status, responsibility not to mislead con-
time required, 6, 9 misconduct toward Misleading advertisement or professional notice. Pro- cerning, 6, 8
type of fee, fixed or contingent, 9 criticisms of, 34 . hibition of, 5, 8 Profit-sharing with lay employees, authorization of. 15
division of, 6, 9, 15 disobedience of orders, 26, 28 Moral character, requirement of, 3 Property of client, handling, 35
establishment of fee, use of client's confidences and false statement regarding, 34 Moral factors considered in counseling, 25 Prosecuting attorney, duty of, 25, 27
secrets, 17 name in partnership name, use of, 5-6, 8 Morel turpitude, crime of as ground for discipline, 3 Public defender office, working with, 8, 9
excessive fee, 6, 9 retirement from bench, 35 Multiple clients, representation of, 19-20, 21 Public employment, retirement from, 35
42 AMERICAN BAR ASSOCIATION
Public office, duty of holder, 34 Stockholdersof corporation, corporate counsel's Mk-.
Public opinion, irrelevant to acceptance of employment. glance to, 20
Suit to harass another, duty to avoid, 7, 9, 10
Public prosecutor. See Prosecuting attorney, duty of. Suit to maliciously harm another, duty to avoid, 7, 9, 10
Publication of articles for lay press, 5 Suggested fee schedule. See Fees for legal SCIViCPA, de-
Publicity, commercial. See Advertising, commercial termination of minimum fee schedule.
publicity. Suggestion of need for legal service,. See Advice by
Publicity, teal. See Trial publicity. lawyer to secure legal services.
Suppression of evidence, 26, 29
Q
Quasi-judicial Proceedlints, 25 T
Technical and professional licenses. See Advertising, law
lists.
Radio broadcasting. See Advertising, radio. Telephone directory. See Advertising, telephone &urn-
Reasonable fee. See Fee for legal services, amount of. tory.
Rebate, propriety of accepting, 6, 21 Television and radio programs. See Advertising. radio;
Recognition of legal problems, aiding laymen in, 5 Advertising, television.
Recommendation of bar applicant, duty of lawyer to Termination of employment. See Confidences of client;
satisfy himself that applicant is qualified. 3 Employment, withdrawal from.
Recommendation of professional employment. 5. 8, 9 Third persons, desires of. See Adverse effect on WO'
Records of funds, securities, and properties of clients, tessionei judgment of lawyer. desires of third per-
35
Restrictedcovenants, propriety of, 9 Threatening criminal process, 26, 28
Referral service. See Lawyer referral services. Trademark practitioner, 6, 9
Rehabilitation of bar applicant or lawyer, recognition Tradenarne. See Name, use of, trade name. THE CANONS
of, 3 Trial publicity, 27, 28, 29
Refund of unearned fee when withdrawing, duty to give Trial tactics, 26-29
to client, 9 Tribunal, representation of client before, 24, 25-28, 29
Regulation of legal professions IS
, 35 Trustee, client naming lawyer as, 19
OF
Representation ofmultiple clients. See Adverse effect
on professional judgment of lawyer, interest of U
other clients.
Representative bar association, 8-9
Unauthorized practice of law. See also Division of legal JUDICIAL ETHICS
fees; Partnership, non-lawyer, with.
Reputation of lawyer, 5 aiding a layman in the prohibited, 15
Requests for recommendation for employment. 8 distinguished from delegation of tasks to sub-
Requirements for bar admission, 3 professionals, 15
OF THE
Respect for law, 3 functional meaning of, 15
Restrictive convenant 9 self-representation by layman not included in, IS
Retentionof enaployment See Employment. Undignified conduct, duty to avoid, 27 AMERICAN BAR ASSOCIATION
Retirement. See also, Name, use of, retired partner. Unlawful conduct, aiding client in, 24. 27
from judicial office, 15 Unpopular party, representation of, 7
frontpublic employment, 33 Unreasonable fees. See Fee for legal services, amount of.
plan Inc laymen employees', IS Unsolicited advice. See Advice by lawyer to obtain legal
Revealing of confidences, 17 services.
Revealing of secrets, 17
Revealing to tribunal V
Jury misconduct, 27, 29 Varying
inteo.
eltoelientp.
1 gLnio .wy.r.
See Adverse
x..,, ,f1
snj:;:;
representative capacity in which appearing. 25
Runner, prohibition agamst use of, 8 clients.
Violation of disciplinary rule as cause for discipline, 3
• Violationof law as cause for discipline, 3, 27
Sanction for violating disciplinary rules. 1 Veniremen. See Jury. (See Index next page)
Secrets of client, 17 Voluntary gifts by client to lawyer, 19
Selection of lawyer, 54, 7-8 Volunteered advice to secure legal services. See Advice,
Selection of judges, duty of lawyers, 34 by lawyer to secure legal services.
Self-interest of lawyer. See Adverse effect on profes-
sional judgment of lawyer, interests of lawyer. W
Self-representation, privilege of, 15 Waiver of position of client, 27
Settlement agreement, 21 Will of client, gift to lawyer in, 19
Solicitation of business, 7, 8. See also Advertising; Rec- Withdrawal. See Employment, withdrawal from.
ommendation of professional employment Witness
Specialist, holding out as, 6, 9 communications with, 26, 29
Specialization false testimony by, 26
admiralty, 6, 9 lawyer acting as, 19, 21
holding out as having, 6, 9 member of lawyer's firm acting as, 64
patents, 6, 9 payment to, 26, 29
trademark, 6, 9 Writing for by publication, avoiding appearance of
Speeches to lay groups, 5 giving general solution, 5
State of mind of client, effect of in advising him, 25. 28
State's attorney. See Prosecuting attorney.
"Stirring up litigation." See Advertising; Advice by Zeal
lawyer to secure legal services; Recommendation general duty of. 24-25, 27
of professional employment. limitations upon, 24, 26-29
INDEX
CANONS OF JUDICIAL ETHICS
CANONS OF JUDICIAL ETHICS *
Ancient Precedents. jurors and attendants who aid him in the administration
cANON "And I charged you judges at that time, saying Hear of its functions.
Applications, ex parte 16
CANON
Influence of decisions upon the development of the 20
the causes between your brethren, and judge righteously 2. The Piddle Interest,
Appointees of the judiciary and their comPensa-
on 12
lsw
kinship or
between every man and his brother, and the stranger
that is with him.
Cores exist to promote justice, and thus to serve the
13 "Ye shall not respect persons in judgment; but ye public interest. Their administration should be speedy
Attorneys and counsel, unprofessional conduct Interest, the public and careful. Every judge should at all times be alert
of 2 shall hear the small as well as the great; ye shall not
11 Interference in conduct of trial 15 in his rulings and in the conduct of the business of the
Avoidance of impropriety be afraid of the face of man; for the Judgment is God's;
4 Investments and relations, personal 26 court, so far as he can, to make it useful to litigants and
Business promotions and solicitations for charity and the cause that is too hard for you, bring it unto
25 Judicial obligation, summary of to the community. He should avoid uncdsisciously
Candidacy for office inio 14 me, and I will hear it"—Deuteronomy, 1, 16-17.
30 19 "Thou shalt not wrest judgment; thou shalt not re- falling into the attitude of mind that the litigants are
Charity, solicitations for, and business promo- 1cfficiarY, appointees of the, and their compensa- spect persons, neither take a gift; for a gift Both blind made for the courts instead of the courts for the liti-
tions 25 tion gants.
12 the eyes of the wise, and pervert the words of the righ-
Civility, courtesy and 10 relations of the
I leous."—Deiderunoniy, XVI, 19. 3. Constitutional Obligation.
Communications, ex parte Jurors and others, consideration for 9
17 Kinship or influence "We will not make any justiciaries, constables, sheriffs It is the duty of all judges in the United States to
Compensation, appointees of the judiciary and
ueir 12 Law, influence of decisions upon the development
13 or bailiffs, but from those who understand the law of
the realm and are well disposed to observe it., ---Alugna
support the federal Constitution and that of
whose the Slate
laws they administer; in an doing, they should
Conduct, essential Charm. XLV.
of court proceedings practice, private 31 fearlessly observe and apply fundamental limitations
36 "Judges ought to remember that their office is jus and guarantees.
of trial, interference in Legislation 23 dicere not ion dare; to interpret law, and not to make
unprofessionid, of attorneys and counsel Obligations, constitutional 3 law or give 4. Avoidance of Impropriety.
Consideration for jurors and others inconsistent 24 "Judges ought to be more learned than witty; more A judge's official conduct should be free from im-
Constitutional obligations judicial, summary of 34 reverend than plausible; and more advised than con-
Office, candidacy for propriety and the appearance of impropriety; he should
Continuances 18 30 fident. Above all things, integrity is their portion and avoid infractions of hoe; and his personal behavior, not
Opinions, Judicial 19 proper vir tue." ...
Counsel, unprofessional conduct of attorneys Organization, Court only upon the Bench and in the performance of judicial
and 8 a tience and gravity of hearing is an essential part dour,
but also in his everyday life, should be beyond
11
Court orgammon ti 8
Partisan, politics
Personal investments and relations
28
26
of justice; and an over speaking judge is no well-tuned
cymbal. It is no grace to a judge first to find that
reproach.
proceedings, conduct of 36 Politics, partisan 28 which he might have heard in due time from the Bar, S. Essential Conduct.
proceedings. improper publicizing of
Dec ision end civility
35
10
Private law practice
Promotions, business, and solicitations for char-
31 or to show quickness of conceit in cutting off evidence
or counsel too short; or to prevent information by
A judgeshould be temperate, attentative, patient,
Decisions, influence of, upon development of the impartial, and, since he is to administer the law and
• 25 questions though pertinent." apply it to the facts, he should be studious of the prin-
law 20 Prom pytness "The place of justice is a hallowed place; and there-
7 ciples of the law and diligent in endeavoring to ascer-
Development of the law, influence of decisions Public interest, the 2 fore not only the Bench, but the foot pace and precincts tain the facts.
upon 20 Publicizing of court proceedings, improper 35 and purprise thereof ought to be preserved without
Executorships and trusteeshops 27 Relations of the judiciary 1 scandal and corruption." . . . —Bacon's Essay "01 6. Industry.
Ex Parte applications 16 personal investments and 26 Judicature."
communications social 33 comni
A Varmisinv
ii'lhexttebiriu'ultd
zada:p
dorhim.
17
Favors, gifts and Review 22 Preamble.
32 7. Promptness-
Gifts and favors Self-Interest 29 In addition to the Canons for Professional Conduct
32
Idiosyncrasies and inconsistencies Social relations 33 of Lawyers which it has formulated and adopted, the A judge should be prompt in the performance of his
21 judicial duties, recognizing that the time of litigants,
Improper publicizing of court proceedings Solicitations for charity, business promotions American Bar Association, mindful that the character
Impropriety, avoidance of and 25 and conduct of a judge should never be objects of in- jurors and attorneys is of value and that habitual lack
4 Summary of judicial obligation difference, and that declared ethical standards tend to of punctuality on his part justifies dissatisfaction with
Inconsistencies, idiosyncrasies and 21 34
Inconsistent obligations Trial, interference in conduct of 15 become habits of life, deems it desirable to set forth the administration of the business of the court.
24 Trusteeships,executorships and its views respecting those principles which should govern
Independence 27 8. Court Organization.
14 Unprofessional conduct of attorneys and coun- the personal practice of members of the judiciary in the
Industry 6 sel A judge should organize the court with a view to the
I I administration of their office. The Association accord-
ingly adopts the following Canons, the spirit of which pr nd onvenieanbtudis patch of busi ness n
itsuggests as a proper guide and reminder for judges, shomlpt n to era te e a nd n g liesc t by cle ks, sad
and as indicating what the people have a right to expect other assistants who are sometimes prone to presume
too much upon his good natured acquiescence by reason
from them.
1. Reffitions of the Judiciary.
of friendly association with him.
It is desirable too, where die judicial system permits,
"Craft is the vice, not the spirit, of the profession. Trick is professional prostitu- that he should cooperate with other judges of the same
The assumption of the office of judge casts upon the
tion. Falsehood is professional apostasy. The strength of a lawyer is in thorough incumbent duties in respect to his personal conduct court, and in other courts, as menthers of a single
which concern his relation to the state and its inhab. judicial system, to promote the more satisfactory ad-
knowledge of legal truth, in thorough devotion to legal right. Truth and integrity luaus, the litigants before him, the principles of law, ministration of justice.
the practitioners of law in his court, and the witnesses, 9. Considuation for Jurors and Others.
can do more in the profession than the subtlest and wiliest devices. The power of
A judge should be considerate of jurors, witnesses
integrity is the rule; the power of fraud is the exception. Emulation and zeal lead
Canons, to and Including Canon 34, were adopted and others in attendance upon the court.
lawyers astray; but the general law of the profession is duly, not success. In it, as by •theThese
Meeting, American Bar AssOciation at Its Forty-Seventh Annual
Committeeat ofPhiladelphia, Pennsylvania, The 10.ACourtesy and Civility.
elsewhere, in human life, the judgment of success is but the verdict of little minds. the Association which preparedon July
the 9.192A.
Cannes was judge should be courteous to counsel, especially
pponted In teas, and composed of Ion those who are young and inexperienced, and also to
Professional duty, faithfully and well performed, is the lawyer's glory. This is all others appearing or concerned in the administration
Maine;
Boston, Robert von Moschnsater,
New York; and Garret W.Pennsylvania; knacks A. OrHe justice in the court.
equally true of the Bench and of the Bar."
George Mcenerner, California.
Sutherland. of Utah, originally a member of the
should also require, and, so far as his power ex-
InCommittee. retired and was succeeded by Mr. MeEnerney. counsel civility and courtesy to the court and to jurors,
tends, enforce on the part of clerks, court officers and
—EDWARD G. RYAN
of 1923,
Mr. Frank M.
McEnerner.
Angellotti, of California, took Me Piet'. witnesses, litigants and others having business in the
Canons 28 and 30 were amended at the Fi y-Sixth AnnualCOWL
meeting,
1933. Canon Grand25Rapids, Mnhig
was further an ft
, August 30-September 1,
Annual Meeting. Washington, D.
amended 0
C., the Seventy-Third 11.AUnprofessional
September 20. 1950.
Conduct of Attorneys nod Counsel
judge should utilize his opportunities to criticise
Canons 33 and 36 were adopted at the Sixtieth Annual Meet-
at Kansas Missouri, September 30, 1917. canon and correct unprofessional conduct of attorneys and
ing,
35 was amendedCity,
at Saw Francis., Calif., Sept. 1952.
counsellors, brought to his attention;and, if adverse
comment is not a sufficient corrective, should send the
45
46 AMERICAN BAR ASSOCIATION CANONS OF JUDICIAL ETHICS 47
matter at once to the proper investigating and discipli- tle
outdee
e minatztendowonr to opposing to
nary authorities. cc action ia:ritrhryglafmrlemnation because the wrong done may 29. Self-Interml.
L A judge should abstain from performing or taking
12. Appointees of the Judaary and Their Compema-
18. Continuance. 23. Legislation part in any judicial act in which his personal interests
Delay in the administration of justice is a common A judge has exceptional opportunity to observe the are involved. If he has personal litigation in the court
Trustees, receivers, masters, referees, guardians and of which he is judge, he need not resign his judgeship
other persons appointed by a judge to aid in the ad- causeof complaint; counsel are fremiently imponsible operation of statutes, especially those relating to prac-
for this delay. A judge, without being arbitrary Of tice,and to ascertain whether they tend to impede the on that account, but he should, of course, refrain from
ministrationof justice should have the strictest probity any judicial act in such a controversy.
and impartiality and should be selected with a view forcing cases unreasonably or unjustly to trial when just disposition of controversies; an
and he may well con-
nn.
prepared, to the detriment of parties, may well endeavor tribute to the public interest by advising those having
solely to their character and fitness. The power of 30. Candidacy for Office.•
to hold counsel to a proper appreciation of their duties authority to remedy defects of procedure. of the result
making such appointments should not be exercised by A candidate for judicial position should not make or
to the public interest, to their own clients, and to the of his observation and experience.
hint for personal or partisan advantage. He should not suffer others to make for him, promises of condoct in
adverse party and his counsel, so as to enforce due
permit his appointments to be controlled by others than 24- Inconsistent Obligations. office which appeal to the cupidity or prejudices of the
diligence in the dispatch of businesss before the court.
himself. He should also avoid nepotism and undue appointing or electing power; he should not annum.
A judge should not accept inconsistent duties; nor
favoritism in his appointments. 19. Judicial Opinions. in advance his conclusions of law on disputed issues
incur obligations. pecuniary or otherwise, which will
While not hesitating to fix or approve just a.m.., in my way interfere or appear to interfere with his to secure class summit, and he should do nothing while
In disposing of controverted cases, a judge should
he should be most scrupulous in granting or approving a candidate to create the impremion that if chosen, he
indicate the reasons for his action in an opinion showing devotion to the expeditious and proper administration
compenmtion for the services or charges of such ap- will administer his office with bias, partiality or improper
that he has not disregarded or overlooked serious argu- of his official functions.
pointees to avoid excessive allowances, whether or not discrimination.
ments of counsel. He thus shows his full understanding
excepted to or complained of. lie cannot rid himself 25, Business Promotions and Solicitations for Charity. While holding a judicial position he should not be-
of this responsibility by the consent of counsel. of the case, avoids the suspicion of arbitrary conclusion,
A judge should avoid giving ground for any reamn- come an active candidate either at a party primary or
promotes confidence in his intellectual integrity and at a general election for any office other than a judicial
13. Kinship or Influence. may contribute useful precedent to the growth of the able suspicion that he is minutia the power or prestige
law. of his office to persuade or coerce others to patronize office. If a judge should decide to became a candidate
A judge should not act in a controversy where a near or contribute, either to the success of private business for any office not judicial, he shouldesi rgn in order
relative n a party; he should not suffer his conduct to It is desirable that Courts of Appeals in reversing that it cannot be said that he is using the power or
cases and granting new trials should so indicate their ventures, or to charitable enterprises. He should, there-
justify the impression that any person can improperly fore, not enter into such private business, or pursue prestige of his judicial position to promote his own
influence him or unduly enjoy his favor, or that he is views on questions of law argued before them and
such a course of conduct, as would justify such sus- candidacy or the success of his party.
effected by the kinship. rank, position or influence of necessarily arising in the controversy that upon the new
picion, nor use the power of his office or the influence If a judge becomes a candidate for any judicial office,
any party or other person. trial counsel may be aided to avoid the repetition of
at his name to promote the business interests of others; he should refrain from all conduct which might tend
erroneous positions of law and shall not be left in doubt
14. Independence. he should not solicit for charities, nor should he enter to arouse reasonable suspicion that he is using the
by the failure of the court to decide such questions.
into any business relation which, in then power or prestige of his judicial position to promote his
A judge should not be swayed by partisan demands, But the volume of reported decisions is such and is ormal course
of events reasonably to be expected, might bring his candidacy or the success of his party.
public clamor or considerations of personal popularity so rapidly increasing that in writing opMions which are
personal int. est into conflict with the impartial per- Ile should not permit others to do anything in behalf
or notoriety, nor by apprehensive of unjust criticism. to be published judges may well take this tact into of his candidacy which would reasonahly lead to such
consideration, and curtail them accordingly, without forman. of his oflicial duties.
15. Interference In Conduct of Trial. suspicion.
substantially departing from the principles staled above.
26. Personal Investments and Relations.
A judge may properly intervene in a trial of a case It is of high hnportan. that judges constituting a 31. Private Law Practice.
to promote expedition, and prevent unnecessary court of last resort should use effort and .1f-restraint A judge should abstain from making personal invest-
to ments in enterpri.s which are apt to be involved in In many states the practice of law by one holding
of time, or to clear up some obscurity, but he should to promote solidarity of conclusions and the consequent judicial position is forbidden. In superior courts o
influence of judicial decision. A judge should not yield litigation in the court; and, after his accession to the
bear in mind that his undue interference, impatience, general jurisdiction, it should never be permitted. In
to pride of opinion or value more highly his individual Bench, he should not retain such investments previously
or participation in the examining of witnesses, or a inferior courts in some states, it is permitted because the
reputation than that of the court to which he should be made, longer than a period sufficient to enable him to
genera attitude on his part toward witnesses, especially county or municipality is not able to pay adequate living
loyal. Except in case of conscientious difference of dispase of them without serious loss. It is desirable
those who are excited or terrified by the unusual cir- compensation for a competent judge. In such cases
cumstances of a trial, may tend to prevent the proper opinion on fundamental principle, dissenting opinion that be should, so far as reasonably possible, refrain
from nil relations which would normally tend to arouse one who practism law is In a position of great delicacy
presentation of the cause, or the ascertainment of the should be discouraged in courts of last resort. and must he scrupulously careful to avoid conduct in
truth in respect thereto. the suspicion that such relations warp or bias his judg-
20. Influence of Decisions Upon the Development of ment, or prevent his impartial attitude of mind in the his practice whereby he utilizes or seems to utilize his
Conversation between the judge and counsel in court judicial position to further his professional success.
is often necessary, but the judge should be studious to the Law. administration of his judicial duties.
lie should not utilize information coming to him in Ile should not practise in the court in which he is
avoid controversies which are apt to obscure the merits A judge should be mindful that his duty is the ap- a judge, even when presided over by another judge, or
of the dispute between litigants and lead to its unjust plicat on of general law to particular instances, that a judicial capacity for purposes of speculation; and
ours i it detracts from the public confidence in his integrity
disposition. In addr.sing counsel, litigants, or wit- n government of law and not of men, and that
and the soundness of his judicial judgment for him et V 17 alortir, jahrZti' s P:wrliec:=1 eiMain from
nesses, he should avoid a controversial manner or tone. he violates his duty as a minister of justice under such a.epting any professional employment while in office.
a system if he seeks to do what he may personally any time to become a speculative investor upon the
Ha should avoid interruptions of counsel in their He may properly not as arbitrator or lecture upon or
argaments except to clarify his mind as to their posi- consider substantial justice in a particular case and dis- hazard of a margin.
instruct in law, or write upon the subject, and accept
tions, and he should not be tempted to the unnece.ary regards the general law as he knows it to be binding on 27. ExecutorshIps and Trusteeship. compensation therefor, if such course does not interfere
display of learning or a premature judgment. him. Such action may become a precedent unsettling While a judge is not disqualified from holding exec- with the due perfoimance of his judicial duties, and is
accepted principles andmay have detrimental con.- utoiships or trusteeships, he should not occept or eon- not forbidden by son. positive provision of
16. Ex parte Applications. quences beyond the immediate controversy. He should tinue to hold any fiduciary or other position if the hold- 32. Gifts and Favors.
A judge should discourage es parte hearings of ap- administer his office with a due regard to the integrity
plications for injunctions and receiverships where the ing of it would interfere or .em to interfere with the
of the system of the law itself, remembering that he proper perform.ce A judge should not accept any ,presents or favors from
order may work detriment to absent parties; he should of his judicial duties, or if the
is not a depository of arbitrary power, but a judge business interests of those represented require invest- litigants, or from lawyers practising before him or from
act upon such Co pane applications only where the under the sanction of law. others whose interests arc likely to be submitted to hint
ments in enterprises that are net to come before him
necessity for quick action is clearly shown; if this be for judgment.
demonstrated, then he should endeavor to counteract 21. Idiosyncrasies and Inconsistencies. judicially, or to be that in questions of law to
the effect of the absence of opposing counsel by a scru- be determined by him. 33. Soda' Relations.
Justice should not be moulded by the individual idio-
pulous crom-examination and investigation as to the syncrasies of those who administer it. A judge should 28. P.O.. Politic.. It is not necessary to the propier performance of
facts and the principles of law on which the application adopt the usual and expected method of doing justice, While entitled to entertain his personal views of polit- judicial duty that a judgeshould live in retirement or
is based, granting relief only when fully satisfied that and not seek to be extreme or peculiar in his judg- ical questions, and while not required to surrender his seclusion; it is desirable that, to far as reasonable at-
the law permits it and the emergency demands it. lie ments, or spectacular or sensational in the conduct of rights or opinions as a citizen, it is inevitable that sm- tention to the completion of his work will permit, he
should remember that an injunction is a limitation upon the court. Though vested with discretion in the imposi- picion of being warped by political bias will attach to continue to mingle in social intercourse, and that he
the freedom of action of defendants and should not be tion of mildor severe sentences he should not compel a judge who becomes the active promoter of the inter- should not discontinue his interest in or appearance at
granted lightly or inadvisedly. One applying for such persons brought befo him to submit to mine himihat- ests of one political party as against anoher. meetings of members of the Bar. He should, however,
relief must sustain the burden of showing clearly its t He in pending or prospective litigation before him be par-
ing net or discipline of his own devising, without author- should avoid maid.g political speech., making or solic-
necessity and this burden is increased in the absence of ity of law, because he thinks it will have a beneficial iting payment of assessments or contributions to party ticularly careful to avoid such action as may reasonably
the party whose freedom of action is sought to be re- corrective influence. funds, the public endorsement of candidat. for political tend to awaken the suspicion that his social or business
strained even though only temporarily. In imposing sentence he should endeavor to conform office and participation in party conventions. relations or friendships constitute an element in in-
to a reasonable standard of punishment and should not Be should neither accept nor retain a place on any fluencing his judicial conduct.
17. Ex parte Communications.
seek popularity or publicity either by exceptional sever- partycommittee nor act as party leader, nor engage
A judge should amt permit private interviews, argu- 34. A Summary of Judicial Obligation.
ity or undue leniency. generally in partisan activities.
ments or communications designed to influence his In every particular his conduct should be above
judicial action, where interests to be affected thereby 22. Review. Where, however, it is necessary for judges to be nom- reproach. He should be con.ientious, studious,
are not represented before him, except in cases where inated and elected as candidatm of a political party,
In order that a litigant may secure the full benefit of thorough, courteous, patient, punctual, just, impartial,
nothing herein contained shall prevent the judge from
provision is made by law for ex parte application. the right of review accorded to him by law, a trial judge fearless of public clamor, regardless of public praise,
While the conditions under which briefs of argument attending or speaking at political gatherings, or from
should scrupulously grant to the defeated party oppiar- and indifferent toprivate political or partisan influences;
are to be received are largely matters of local rule or making contributions to the campaign funds of the party
tunity to present the questions arising upon the trial he should adminier justice according to law, und deal
that has nominated him and seeks his election or re-
practice, he should not permit the contents of such exactly as they arose, were presented, and decided, by with his appointments as a public trust; be should not
brief presented to him to be concealed from opposing election.
full and fair bill of exceptions or otherwise; any failure allow other affairs or his private interests to interfere
counsel. Ordinarily all communications of counsel to
in this regard on the part of the judge n peculiarly • Amended August 31, 1933 and September 20, 1950. • As amended August 35, 1933.
48 AMERICAN BAR ASSOCIATION
with the prompt and proper performance of his judicial
duties, nor should he administer the office for the pur- court, of such portions of naturalization proceedings
(other than the interrogation of applicants) as are
pose of advancing his personal ambitions or increasing
his popularity. designed and carried nut exclusively as a ceremony for
the purpose of publicly demonstrating in an impressive
35. Improper Publicising of Court Proceedings.* manner the essential dignity and the serious nature of
naturalization.
Proceedings in court should be conducted with fitting
dignity and decorum. The taking of photographs in the 36. Conduct of Court Proceedings..
court room, during sessions of the court or recesses be- Proceedings in court should be so conducted as to
tween sessions, and the broadcasting or televising of
court proceedings detract from the essential dignity of reflect the importance and seriousness of the inquiry to
the proceedings, distract participants and witnesses in
giving testimony, and create misconceptions with respect
ascertain the truth.
The oath should be administered to witnesses in STANDING COMMITTEE ON ETHICS AND
thereto in the mind of the public and should not be
permitted.
manner calculated to impress them with the importance
and solemnity of their promise to adhere to the truth. PROFESSIONAL RESPONSIBILITY
Each witness should be sworn separately andimpres-
Provided that this restriction shall not apply to the sively at the bar or the court, and the clerks should be
broadcasting or televising, under the supervision of the COMPOSITION AND JURISDICTION •
required to make a formal record of the administration
i95•2A.
dnostg,,,try of the oath, including the name of the witness. *Ethics mud Professional Responsibility fession by periodic publication in summary or complete
tem,
bei%I
., 1937; amended September 15,
This Committee, which shall consist of eight mem- form and by providing copies of opinions upon request,
• Adopted September 30, 1937. to any member of the bar.
bers, shall:
(I) Express its opinion, on its own initiative or when (3) Upon request, advise or assist state and local
requested to do so by any member of the bar or by her associations in their activities with respect to the
any officer or committee of a state or local bar associa- interpretation of the Codeof Professional Rue....
tion, concerning proper professional or judicial conduct, ihility and the Canons of Judicial Ethics.
provided that an opinion shall not he issued on ques- (4) Make recommendations for amendment to or
tions pending before courts. An opinion shall be clarification of the Code of Professional Responsibility
rendered only upon the concurrence of a majority of or the Canons of Judicial Ethics when they appear to
the members of the Committee. be advisable.
(2) Make its issued opinions known to the legal pro- (5) Adopt and amend such rules as it may from
time to time deem desirable concerning the methods
and procedures to be used in expressing opinions. Such
• As defined by the 10-1-aws of the American Sae At- rules and amendments shall be effective when approved
uadation, Article X, Section 70), adopted August, 1969. by the Board of Governors. The rules may be altered
Formerly called the Standing Committee on Professional or abrogated by the Board of Governors or the House
Ethics. of Delegates."
"Discourage litigation. Persuade your neighbors to compromise whenever you RULES OF PROCEDURE an
I. The name of the Committee is the Standing Com- cifically described in the inquiry. The Committee will
can. Point out to them how the nominal winner is often a real loser—in fees, ex- mittee on Ethics and Professional Responsibility of the not issue an opinion for the benefit of a non-member of
Arnerican Bar Association. the American Bar Association except on request of his
penses and waste of time. As a peacemaker, the lawyer has a superior opportunity 2. The purpose of the Committee is to advise mem- state or local bar association.
of being a good man. Never stir up litigation. A worse man can scarcely be found bers of the bar upon the ethical propriety of their con- 6. The Code of Professional Responsibility. as
templated professional or judicial cduct, to advise amended from time to time, will provide the standard
than one who does this. Who can be more nearly a fiend than he who habitually officers and appropriate committees of barassociations to be applied by the Committee in formulating opinions
as to the ethical propriety of past, as well as contem- pertaining to professional conduct. Where the stan-
overhauls the register of deeds in search of defects in titles, whereupon to stir up strife plated, professional or judicial conduct of members of dard of conduct under that Code differs from that
and put money in his pocket? A moral tone ought to be enforced in the profession such associations and others under their jurisdiction, established by the preexisting Canons of Professional
and to recommend appropriate amendments to the Code Ethics of the American Bar Association, this will be
which would drive such men out of it." of Profesional Responsibility and the Canons of Judicial stated in the opinion.••• Opinions nn judicial conduct
Ethics. will be issued under existing Canons of Judicial Ethics
—ABRAHAM LINCOLN 3. The Committee will issue opinions of two kinds: of the American Our Association as amended from time
Formal Opinions and Informal Opinions. Formal Opith to time.
ions are opinions upon subjects which the Committee 7. Opinions of the Committee issued prior to the
determines to be of widespread interest and will he effective date of the Code of Professional Responsibility
published in full in the American Bar Association Jour- shall continue in effect to the extent that they are not
nal and subsequently in bound volumes. Informal inconsistent with a specific provision of that Code and
Opinions will be issued to the inquirers, in letter form, may be used as an appropriate guide in interpreting the
will be summarized in the American Bar Association Code of Professional Responsibility.
Journal, and subsequently will, with identification re- g, AU opinions shall be adopted at a called meting
moved, be made available in full upon request. by majority vote of the members of the Committee ex-
4. A later Formal Opinion overrules earlier Formal pt that between meetings, the Committee °ray adopt
Opinions or Informal Opinions with which it is neces-
sarily in conflict. A later Informal Opinion overrule
F
ormal Opinions by a vote of six members and Informal
Opinions by a vote of five members, unless a member
earlier Informal Opinions with which it is necessarily specificallY requests that the opinion be held for action
in conflict, but does not overrule an earlier Formal at a called meeting of the Committee.
Opinion, 9. The Committee will not issue opinions on qtieStiOnS
5. Upon written request. the Committee will Dee an
of law, or pertaining to conduct which is the subject of
Informal Opinion to any member of the bar who is a
member of the American Our Association on the pro- P711/.1hietom ilritte will not issue opinions involving
piety of professional or judicial conduct in which he
proposes to engage when the proposed conduct D
•• Effective January I, 1970.
spe- In
st conduct, or the conduct of someone other than the
quirer, unless the request is from an ethics, grievance
or similar committee, or chief officer, of a bar associa-
••• This sentence of Rule 6 shell be in effect only until
tion. In determining whether such conduct is involved,
January I. 1972. the Committee may look to outside source.
STANDING COMMITTEE ON STANDING COMMITTEE ON
PROFESSIONAL GRIEVANCES LAW LISTS
COMPOSITION AND JURISDICTION • COMPOSITION AND URISDICTION •
"Professional Grievances provided however, that this Committee may refer any "Law Lisle (d) endeavor to protect the public and members
This Committee shall consist ofseven members complaint for investigation, hearing and report to the (I) This Committee shall consist of five members, of the profession from dishonest, fraudulent or
chosen at large from the members of the Association. appropriate tribunal or committee within a state, or each of whom shall serve until the adjournment of the unworthy conduct of persons who represent. or
The Committee shall: to the appropriate state or local bar association. third annual meeting following hisappointment, and claim to represent, law lists;
(I) Formulate and recommend methods for the ef- (3) Be authorized to consider all information as to until his successor is appointed, and from whom the (e) cooperate with law enforcement officers and
fective enforcement of ethics and high standards of the professional conduct and the judicial conduct of President shall designate a chairman annually; provided, others interested in the censure or punishment of
conduct in the practice of law as a profession; develop any member of the Association (excepting matters of that in the original appointment of this Committee the such dishonest, (redolent or unworthy conduct:
and recommend improved disciplinary methods and judicial decision or judicial discretion), and to Proceed President shall designate one member to serve until the
procedures; cooper to with the disciplinary tribunals or (1) investigate an sally at the expense of the
in accordance with rules adopted and approved, as pro- adjournment of the first annual meeting following his
committees established by baressociations, courts or vided in subparagraph (4) of this section, upon its own publishers of law lists which shall request the
appointment, two to serve until the adjournment of the
other public authorities. motion or upon complaint. After a hearing thereon, second annual meeting following their appointment, and committee to do so, whether such publishers
(2) (a) upon their request se or assist state and conducted by this Committee at which the accused two to serve until the adjournment of the third annual respectively are complying with the provisions
local bar associations instheir activitice in respect member shall have been given reasonable opportunity meeting following their appointment, but thereafter of the Rules and Standards as to law lists;
to the professional conduct of lawyers; to be present and be heard in his own defense, this succesrsso shall be appointed for three-year terms. (g) issue anannum certificate of compliance to
(b) make such investigations of professional Committee only shall recommend to the Board of (2) This Committee shall the publisher of any law list which the com-
conduct and abuses in connection with the prac- Governors the censure, public or private, or the sus- (a) procure information regarding law lists, and mittee, upon such investigation, finds has com-
tice of law as it may deem advisable or as may pension or expulsion of the member; and the censure, advise members of the Association thereof;
be directed by the House of Delegates or the plied with the Rules and Standards as to law
suspension or expulsion shall become effective on ap- (b) recon need to the House of Delegates for
Board of Governors; lists of the Association, and the regulations of
proval of these recommendations by the Board of Gov- adoption such standards or rules, and amend-
(c) furnish information and 'mike rceommenda- ernors. the co alike; and revoke, conditionally or
ments thereof, for law lists as may seem in the
tions on the foregoing subjects to the House of (4) Be authorized to adopt such rules as it may intercet of the public and the members of the otherwise, the certificate issued to the publisher
Delegates, the Board of Governors or the ap- prfession; of any such law list if the conunittee finds that
propriate Committees and Sections of the Asso- deem desirableconcerning the methods and procedures
to be used in making investigations, in the hearing of (c) adopt such reasonable rules and regulations the publisher thereof, after receiving such cer-
ciation; for the conduct of its authorized activities as it tificate, has violated any of such roles, standards,
complaints and the taking of testimony; such rules not
• An defined by the By-Laws of the American Bar As- to become effective until approval by the Board of Gov- may find desirable; or regulations."
sociation. Article X, Section 7(w). Amended August 1961 ernors. The rules may be altered or abrogated by the
and August 1969. House of Delegates." RULES AND STANDARDS AS TO LAW LISTS t
That the following Rules and Standards, and each (c) or if the price for representation, or
ADMINISTRATION AND RULES OF PROCEDURE of them, beadopted as and for Law Lists which re- listing therein, or for a copy of the list, is not
The Rules of Procedure for the Standing Committee It is anticipated that new Rules of Procedure will be quest a certificate of compliance: uniform owt ot yce n,amb 0 p y.rce
ocxrci
lboe,
d
i e aos:
on Professional Grievances are in the process of hems adopted by the Board of Governors of the Americas Dar I. Every list of attorneys at law, legal directory (d) or if any obligation is assumed by either
revised in accordance with the By-Law Amendments Association in February, 1970. or other instrumentality maintained or published employ, exclusively
adopted August, 1969. primarily for the purpose of circulating or pre- preferentially, in the forwarding, receiving or
senting the nameor names of any attorney or exchange of legal business, the attorneys bated
attorneys at law as probably available for pro-
fessional employment, shall be deemed a Law (e) or if in the physical makeup thereof,
List. preferential prominence shall be given to the
2. The purchase or me of a Law List the pub- name of any attorney or attorneys listed
lisher of which has a certificate of compliance therein, by different sice or character of type,
may berecommended to attorneys at law, or underscoring or other methods employed by
laymen, by its issuer, only on the basis of the printers for emphasis or to attract attention;
circulation, physical makeup and accuracy thereof, but the foregoing slmll not prohibit the pub-
and the extent to which lawyers listed therein have lication in the geographical section of a Law
been investigated. Efforts by the issuer of a Law List of such professional card as the Canons
List to otherwise sure employment for any permit or of a reference there to such card
attorney listed therein, or presented thereby, shall to another section of the book;
be deemed ground for not issuing a certificate of (f) or if the issuer thereof shall endeavor
or for the revocetion of the certificate to direct, or control, the professional actvi-
it
if it has already been issued.
3. Na certificate of compliance shall be issued
ties of any attorney listed therein or pre-
sented thereby;
to the publisher of any Law List or continue un- (g) or if such Law List shall be published
revoked or issued as a part of any professional, com-
(a) if, inconnection with the preparation, mercial, trade or business publication or
publication, distribution or presentation journal;
thereof, the issuer does, causes, permits to (h) or if the issuer thereof neglect or
be done, encourages or participates in the refuse to promptly and fully (a) notify the
doing of, any ace or thing which, directly or Association through the committee, in writ-
indirectly, violates the Cartons of Ethics of ing, of any payment or payments made by
this Association, or which constitutes the un- such issuer, or by an indemnitor, upon claims
lawful practice of the law; against a listed attorney, or (b) cooperate,
(b) which shall be conducted upon a basis at the request of the Association, through the
which does not lend to promote the public committee, in the investigation, asceitain-
interest, ot which employs a practice not in scent and proof of the facts of such claims.
ord with a high standard of business con- 4. The publisher of s Law List which has re-
duct, ceived a certificate of compliance from the com-
• An defined by the By-Laws of the American Bar As- mittee may rate its listece in a manner not dis-
sociation. Article X, Section 7(p). approved of by the committee.
I Adopted by Me House of Delegates, September 30, 1937, 5. The committee shall make and promulgate
with amendments made October, 1941, August, 1942, Feb- such regulations as may be necessary to administer
ruary, 1944 and August 1969. and interpret these Rules and tan ar S.
50 51
OATH OF ADMISSION
The general principles which should ever control the lawyer in the practice of
his profession are clearly set forth in the following Oath of Admission to the
Bar, formulated upon that in use in the State of Washington, and which con-
forms in its main outlines to the "duties" of Lawyers as defined by statutory
enactments in that and many other States of the Union—duties which they are
sworn on admission to obey and for the wilful violation of which disbarment is
provided:
I DO SOLEMNLY SWEAR:
I will support the Constitution of the United States and the Constitution
of the State of
I will maintain the respect due to Courts of Justice and judicial officers;
I will not counsel or maintain any suit or proceeding which shall appear
to me to be unjust, nor any defense except such as I believe to be honestly
debatable under the law of the land;
I will employ for the purpose of maintaining the causes confided to me
such means only as are consistent with truth and honor, and will never seek
to mislead the Judge or jury by any artifice or false statement of fact or law;
I will maintain the confidence and preserve inviolate the secrets of my
client, and will accept no compensation in connection with his business
except from him or with his knowledge and approval;
I will abstain from all offensive personality, and advance no fact preju-
dicial to the honor or reputation of a party or witness, unless required by
the justice of the cause with which I am charged;
I will never reject, from any consideration personal to myself, the cause
of the defenseless or oppressed, or delay any man's cause for lucre or malice.
SO HELP ME GOD.
The American Bar Association commends this form of oath for adoption by
the proper authorities in all the States and Territories.