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Client-Lawyer Relationship

1.0 Terminology
1.1 Competence: representation requires legal knowledge, skill, thoroughness and preparation reasonably
necessary
1.2. Scope of Representation and Allocation of Authority Between Client and Lawyer
• (a) Client’s wishes (subject to c and d)
○ lawyer shall abide by client’s wishes concerning
 objectives of representation and (as required 1.4) consult on means
 whether to settle
 whether to plea, waive jury trial, or whether client will testify
○ lawyer can take actions on behalf of client as is impliedly authorized
• (b) Representation is not endorsement of client’s activities
• (c) Lawyer can limit scope of representation if reasonable and client gives informed consent
• (d) Can’t counsel (or assist) client to engage in conduct that lawyer knows is criminal or fraudulent
○ but may discuss consequences and help make good faith effort to determine law
1.3 Diligence: Lawyer shall act with reasonable diligence and promptness
1.4 Communications
• (a) Lawyer shall
○ (1) promptly inform client of any decision or circumstance where informed consent is required
○ (2) reasonably consult with client about means by which the client’s are to be accomplished
○ (3) keep the client reasonably informed about status of matter
○ (4) promptly comply with reasonable requests for information
○ (5) consult with client about relevant limitation of lawyer’s conduct, when lawyer knows client
expects help not permitted by the Rules or other law
• (b) Lawyer shall explain a matter to extent reasonably necessary to permit the client to make informed
decisions regarding the representation

1.5 Fees
• (a) Lawyer cannot charge unreasonable fee or amount for expenses – factors
○ 1. Time and labor, novelty and difficulty of questions, the skill level needed
○ 2. Likelihood, if apparent to the client, that the acceptance of employment will preclude other
employment
○ 3. Fee customarily charged in locality for similar services
○ 4. Amount involved and result obtained
○ 5. Time limitations imposed by the client or by circumstances
○ 6. Nature and length of professional relationship with client
○ 7. Experience, reputation, and ability of lawyer
○ 8. Whether fee is fixed or contingent
• (b) Scope of rep and basis of rate and expenses shall be communicated to client, preferably in writing,
before or within reasonable time after commencing representation
○ except when the lawyer will charge a regularly represented client on same basis or rate
○ any changes in basis or rate shall be communicated
• (c) Contingent fee allowed, except where prohibited by (d)
○ shall be in writing, signed by client and shall explain way fees is to be determined - including
 (i) percentage to the lawyer and (ii) other expenses to be deducted from recovery and (iii)
whether they are deducted before or after contingent fee is calculated and (iv)notification of
any expenses to client whether or not they prevail
○ upon conclusion lawyer shall provide written statement stating the outcome, if there is a recovery,
and showing remittance to client and method of determination
• (d) A Lawyer shall not enter into or collect
○ (1) fee arrangement in domestic relations matter contingent on securing a divorce or amount of
alimony or support or property settlement in lieu thereof
○ (2) contingent fee in criminal case
• (e) Division of fee – between lawyers not in same firm – only if:
○ (1) in proportion to services provided by each lawyer or lawyer assumes joint responsibility
○ (2) client agrees to arrangement in writing, including share each lawyer gets
○ (3) and; total fee is reasonable

1.6 Confidentiality of Information


• (a) Shall not reveal information related to rep unless:
○ (i) informed consent (ii) disclosure is impliedly authorized in order to carry out rep or (iii) permitted
by (b)
• (b) May reveal info related to rep to extent lawyer reasonably believes necessary:
○ (1) to prevent reasonably certain death or substantial bodily harm
○ (2) to prevent client from committing crime or fraud that (i) is reasonably certain to result in
substantial injury to financial interests or property of another and (ii) in furtherance of which the
client has used or is using the lawyer’s services
○ (3) same as 2 but after the fact – rectify or mitigate substantial injury that (i) has resulted or
reasonably certain to result from client’s crime or fraud and (ii) client has used lawyer services
○ (4) to secure legal advice about lawyer’s compliance with these Rules (Asking other legal
experts)
○ (5) to (i) establish claim or defense on behalf of lawyer in controversy between lawyer and client
(sue for fees) (ii) to establish defense in criminal charge or civil claim against lawyer based on
conduct in which client was involved or (iii) in response to allegations in any proceeding concerning
the lawyer’s rep of client
○ (6) to comply with other law or court order

1.7 Conflict of Interest: Current Clients


• (a) (except as in b) Lawyer shall not represent client if rep involves concurrent COI – exists if:
○ (1) rep of one client will be directly adverse to another
○ (2) there is significant risk that rep will be materially limited (i) by lawyer’s responsibility to another
client, (ii) former client, (iii) third person, or (iv) by personal interest of the lawyer
• (b) (even if a) Lawyer may represent if: (all must be satisfied)
○ (1) Lawyer reasonably believes he will be able to provide competent and diligent rep to each
affected client
○ (2) not prohibited by law
○ (3) does not involve assertion of claim of one client against another in same litigation or
proceeding before tribunal
○ (4) informed consent in writing from all affected clients

1.8 Conflict of Interest: Current Clients: Specific Rules


• (a) No business transaction with client or knowingly acquiring ownership, possessory, security, or other
pecuniary interest adverse to client – unless:
○ (1) transaction and terms are (i) fair and reasonable and (ii) fully disclosed in writing understandable
by client
○ (2) client is advised in writing (and given reasonable opportunity) of desirability of seeking
independent legal counsel
○ (3) client gives informed consent in writing signed to essential terms of transaction and lawyer’s role
in transaction including whether lawyer is representing client in transaction
• (b) No of use information relating to rep of client to disadvantage of client unless client gives informed
consent
• (c) No soliciting any substantial gift from client – including testamentary gift
○ shall not prepare instrument giving to lawyer or person related to lawyer any substantial gift unless
lawyer or other person is related to client
○ related persons: spouse, child, grandchild, parent, grandparent, or other relative or individual with
close, familial relationship
• (d) No agreement for literary or media rights to portrayal or account based on information relating to rep
(prior to conclusion of representation of client) – okay to make agreement after rep has ended
• (e) No financial assistance to client in connection with pending or contemplated litigation – except:
○ (1) may advance court costs and expenses of litigation – repayment may be contingent on outcome
○ (2) lawyer reping indigent client may pay court costs and expenses on behalf of client
• (f) No compensation for reping a client from one other than the client – unless:
○ (1) informed consent from client
○ (2) no interference with lawyer’s independence or with client-lawyer relationship; and
○ (3) information relating to rep is protected as required by 1.6
• (g) No aggregate settlement or plea (guilty or nolo contendere) of two or more clients – unless:
○ each client gives informed consent including (i) existence and nature of all claims or pleas invovlved
(ii) of participation of each person in the settlement
• (h) No limiting malpractice
○ (1) prospectively through agreement – unless client is independently represented
○ (2) through settling claim or potential claim with unrepresented client or former client – unless
person is advised in writing of desirability of seeking and given reasonable opportunity to seek
advice of independent counsel
• (i) No acquiring proprietary interest in the cause of action or subject matter of litigation – except that
○ (1) lawyer may acquire a lien authorized by law to secure fees or expenses
○ (2) may have contingent fee in civil case
• (j) No sexual relations with client – unless consensual sexual relationship existed between them when client-
lawyer relationship commenced
• (k) In Firm, if any of (a)-(i) applies to one then it applies to all – not so for sexual relations

1.9 Duties to Former Clients


• (a) Cannot represent person in matter that is same or substantially related to a former client matter
• (b) Cannot knowingly represent person in matter that is same or substantially related to a client matter
which previous firm worked on
○ (1) if previous client’s interest would be materially adverse to new person and
○ (2) the lawyer acquired protected information (under 1.6 or 1.9c) from previous client that is
material to the matter
○ unless: former client gives (i) informed consent (ii) confirmed in writing
• (c) Regarding former clients or your firm’s former clients – you cannot
○ (1) use information relating to the rep to disadvantage of former client – except (i) as Rules permit
or require or (ii) when information has become generally known
○ (2) reveal information relating to the rep – except as Rules permit or require

1.10 Imputation of Conflicts of Interest: General Rule


• (a) While lawyers are associated in firm, none shall knowingly represent a client when any one of them
practicing alone would be prohibited from doing so by the Rules – unless
○ (1) (i)prohibition is based on personal interest of disqualified lawyer and (ii) does not present
significant risk of materially limiting rep of the client by remaining lawyers in firm; or
○ (2) prohibition is based on Rule 1.9(a) or (b) and arises out of disqualified lawyer’s association with a
prior firm and (all) SCREENING
 (I) disqualified lawyer is timely screened from participation and is apportioned no part of fee
 (II) written notice is promptly given to affected former client to enable former to ascertain
compliance with Rules – including (i) description of screening procedures (ii) statement of
firm’s and screened lawyer’s compliance with Rules (iii) a statement of review may be
available before a tribunal (iv) agreement by the firm to respond promptly to any written
inquiries or objections by former client about screening procedures; and
 (III) certifications of compliance with Rules with screening procedures are provided to former
client by screened lawyer and partner of firm at reasonable intervals upon former’s request
and upon termination of screening procedures
• (b) When lawyer terminates association with firm – firm is not prohibited from thereafter representing
person with interests materially adverse to those of a client of the former firm lawyer that is not currently
represented by firm – unless:
○ (1) matter is same or substantially related to that in which the formerly associated lawyer
represented the client
○ (2) any lawyer remaining in the firm has information protected by Rules 1.6 and 1.9c that is material
to matter
• (c) disqualification by this rule may be waived by affected client under conditions of 1.7
• (d) disqualification of lawyers associated in a firm with former or current government lawyers is governed by
1.11

1.11 Special Conflicts for Former and Current Government Officers and Employees
• (a) except as otherwise expressly permitted – lawyer who has formerly served as a public officer or
employee of the government:
○ (1) is subject to rule 1.9 and
○ (2) shall not rep client in connection with matter in which lawyer participated personally and
substantially as public officer or employee – unless app government agency gives informed consent
confirmed in writing
• (b) When disqualified under (a) no lawyer in firm may knowingly undertake or continue rep in such matter-
unless:
○ (1) disqualified lawyer is timely screened and apportioned no part of the fee
○ (2) written notice is promptly given to app government agency to enable to ascertain compliance
with Rule
• (c) except as otherwise expressly permitted – lawyer having information he knows is confidentially
government information about a person – acquired when working as a public officer or employee – may not
represent a private client whose interest are adverse to that person in a matter in which the information
could be used to the material disadvantage of that person
○ Confidential government information is information (i) obtained under government authority and
(ii) which, at the time this Rule is applied, the government is prohibited by law from disclosing to the
public or has a legal privilege not to disclose and which is not otherwise available to the public
○ Lawyer’s firm may rep in matter only if disqualified lawyer is timely screened and apportioned no fee
• (d) except as otherwise expressly permitted – lawyer serving currently as a public officer or employee
○ (1) is subject to 1.7 and 1.9 and
○ (2) shall not: (I) participate in a matter in which the lawyer participated personally and substantially
while in private practice or nongovernmental employment, unless app government agency gives
informed consent in writing; or (II) negotiate for private employment with any person involved as
party or as lawyer for party in matter in which the lawyer is participating personally and
substantially, except those serving as a law clerk, adjudicative officer or arbitrator may negotiate for
private employment as permitted by 1.12b
• (e) as used in this Rule –the term matter means
○ (1) any judicial or other proceeding, application, request for a ruling or other determination, contract,
claim, controversy, investigation, charge, accusation, arrest or other
○ (2) any other matter covered by COI rules of the appropriate government agency

1.12 Former Judge, Arbitrator, Mediator or Other Third-Party Neutral


• (a) except as in (d), No rep of person in connection with matter lawyer participated in personally and
substantially while a judge, adjudicative officer, arbitrator, mediator, or third-party neutral
○ unless all parties give informed consent in writing
• (b) No negotiating for employment with a person involved as party or as lawyer for a party in matter if you
are participating personally and substantially as judge or other ad officer or arbitrator, mediator, or third-
party neutral
○ except law clerk to judge or ad officer may negotiate for employment but only after notifying
judge or ad officer
• (c) If (a)-connection with matter—then no lawyer in firm may knowingly undertake or continue rep in matter
—unless:
○ (1) disqualified lawyer is timely screened and apportioned no part of fee; and
○ (2) written notice promptly given to parties and appropriate tribunal to enable to ascertain
compliance with Rule
• (d) Arbitrator selected as partisan of party in multimember arbitration panel is not prohibited from
subsequently representing that party

1.13 Organization as Client


• (a) Lawyer employed or retained by org reps the org itself acting through duly authorized constituents
• (b) “Up the ladder reporting” Lawyer should act in best interests of organization—shall refer acts against
interests of org to higher authority in org—including, if warranted, the highest authority that can act on
behalf of the org
○ Meaning: if lawyer for org knows that an officer, employee or other person with org is engaged,
intends to act, or refuses to act, (i) in violation of a legal obligation to org, or (ii) violation of
law that might be imputed to org and is likely to result in substantial injury to org – then tell higher
up
• (c) (except as in d) lawyer may reveal info relating to rep whether or not 1.6 allows it if:
○ (1) despite attempt to do (b), highest authority fails to address in a timely and appropriate
manner an action or refusal to act that is clearly a violation of law, and
○ (2) lawyer reasonably believes that the violation is reasonably certain to result in substantial
injury to the org
 may only reveal to the extent lawyer reasonably believes necessary to prevent substantial inj
to org
• (d) paragraph (c) does not apply to info relating to
○ (i) lawyer’s rep of org to investigate an alleged violation of law
○ (ii) lawyer’s defense of org or an officer, employee or other constituent associated with org against a
claim arising out of alleged violation of law
• (e) If you believe you were discharged or withdrew due to compliance with (b) or (c) then proceed as you
reasonably believe necessary to assure org’s highest authority is informed of discharge or withdrawal
• (f) “Corporate Miranda Warnings” If you know or reasonably should know that org’s interests are adverse to
those of constituents you should explain the identity of the client—directors, officers, employees, members,
shareholders, etc.
• (g) Lawyer representing org can also rep any of its directors, officers, employees, members, shareholders,
etc – subject to 1.7 (concurrent COI)
○ if consent is required in 1.7 then it shall be given by appropriate official of the org other than the ind
who is being represented or by the shareholders

1.14 Client with Diminished Capacity


• (a) Maintain normal CLR as far as reasonably possible – when client’s capacity to make adequately
considered decisions is diminished because of minority, mental impairment, etc.
• (b) Must take reasonably necessary protective action when you reasonably believe client has diminished
capacity, is at risk of substantial physical, financial or other harm unless action is taken and you cant
adequately protect client’s interests
○ including—consulting with ind or entities that have ability to take action, and in appropriate cases
seeking appointment of guardian ad litem, conservator or guardian
• (c) Information relating to rep of diminished client is protected by 1.6 – under 1.6(a) can reveal info to
extent reasonably necessary to protect client’s interests

1.15 Safekeeping Property


• (a) You must keep client’s (or third party) property separate from yours
○ funds in a separate account maintained in the state where your office is situated, or elsewhere
with consent
○ other property shall be identified and appropriately safeguarded
○ Must keep complete records of funds and property for 5 years after termination of rep
• (b) You may deposit own funds in client trust account for sole purpose of paying bank service charges—only
for that purpose
• (c) You must deposit into client trust account legal fees and expenses that have been paid in advance—
withdraw only as fees are earned or expenses incurred
• (d) upon receiving funds or property in which client or third party has interest—you must promptly notify
them
○ except as in rule or law or by agreement with client –you must promptly deliver to client or third
party that which they are entitled, and upon request, a full accounting regarding such property
• (e) When you are in possession of property in which two or more persons (one may be lawyer) claim interest
—property shall be kept separate until dispute is resolved –promptly distribute all portions of property as to
which the interests are not in dispute

1.16 Declining or Terminating Representation


• (a) except as in (c) Cannot rep or must withdraw if:
○ (1) rep will result in violation of rules of pc or other law
○ (2) your physical or mental condition materially impairs your ability to rep client
○ (3) you are discharged
• (b) except as in (c) lawyer may withdraw if:
○ (1) can withdrawal without material adverse effect on interest of client;
○ (2) client persists in course of action involving lawyer’s services that you reasonably believe is
criminal or fraudulent
○ (3) client has used lawyer’s services to perpetrate a crime or fraud
○ (4) client insists on taking action you consider repugnant or you have a fundamental disagreement
with
○ (5) client fails to substantially fulfill an obligation to you regarding services and has been given
reasonable warning that you will withdraw unless fulfilled
○ (6) rep will result in an unreasonable financial burden on the lawyer or has been rendered
unreasonably difficult by the client; or
○ (7) other good cause for withdrawal exists
• (c) Notice or permission to/from tribunal when required when terminating rep
○ if ordered to continue by tribunal – you must continue unless good cause
• (d) Upon termination of rep, you must take steps to extent reasonably practicable to protect client’s
interests
○ e.g. giving reasonable notice, allowing time for employment of other counsel, surrendering papers
and property to which client is entitled, refunding any advance payment of fee or expense that has
not been earned or incurred – may keep papers to extent permitted by other law

1.17 Sale of Law Practice: may sell or purchase practice or area of law practice, including good will, if:
• (a) seller ceases to engage in the private practice of law, or in area of practice that has been sold [in
geographic area] or [jurisdiction](up to jurisdiction to select version) in which practice has been conducted
• (b) entire practice, or area, is sold
• (c) seller gives written notice to each client regarding:
○ (1) proposed sale; (2) client’s right to retain other counsel or take possession of file (3) fact that
client’s consent will be presumed if client does not take action or object with 90 days of receipt of
notice
○ if client cannot be given notice, rep can be transferred only upon entry of order by a court with
jurisdiction
○ seller may disclose to court in camera info relating to rep only to extent necessary to obtain
authorization of file transfer
• (d) fees charged clients shall not be increased by reason of sale

1.18 Duties to Prospective Client


• (a) Perspective client—person who discusses with lawyer possibility of forming CLR with respect to a matter
• (b) Cannot use or reveal information learned in consultation except as 1.9 allows
• (c) if (b) then cannot represent a client with interests material adverse to those of the prospective client in
same or substantially related matter if received information that could be significantly harmful to new client
except as in (d)
○ if lawyer is disqualified, firm is disqualified except as in (d)
• (d) when (c) rep is okay if:
○ (1) both client and prospective client give informed consent confirmed in writing; or
○ (2) lawyer who received info took reasonable measures to avoid exposure to more disqualifying info
than was reasonably necessary to determine whether to rep prospective client; and
 (i) disqualified lawyer is timely screened and apportioned no part of fee
 (ii) writing notice is promptly given to prospective client

Lawyer as Counselor
2.1 Advisor
• You must exercise independent professional judgment and render candid advice—may refer to moral,
economic, social and political factors relevant to client’s situation

2.2 [deleted]
2.3 Evaluation for Use by Third Persons
• (a) You may provide evaluation of matter affecting client for use of third party if you reasonably believe that
evaluation is compatible with other aspects of CLR
• (b) you must not provide evaluation (unless informed consent) if you know or reasonably should know
that evaluation is likely to affect client’s interests materially and adversely
• (c) information of evaluation is protected by 1.6 except as disclosure is authorized in connection with report

2.4 Lawyer Serving as Third-Party Neutral


• (a) Third-Party Neutral: when you assist two or more persons who are not clients to reach a resolution of
dispute or other matter---may include arbitrator, mediator, or other capacity to assist in resolution
• (b) you must inform unrepresented parties that you are not representing them—if you know or reasonably
should know that party doesn’t understand your role, you must explain difference between 3rd party neutral
and lawyer’s role
Lawyer as Advocate
3.1 Advisor
• Must have basis for case: must not bring or defend a proceeding, or assert or controvert an issue therein,
unless there is a basis in law and fact for doing so that is not frivolous, including a good faith argument for
an extension, modification or reversal of existing law
○ In defense of criminal—or respondent in case that might lead to incarceration—you may nevertheless
defend the proceeding as to require that every element of the case be established

3.2 Expediting Litigation: you must make reasonable effort to expedite litigation consistent with interests of
the client (pandora’s box of acceptable tactics)
3.3 Candor Toward the Tribunal
• (a) You must not knowingly:
○ (1) make a false statement of fact or law to a tribunal or fail to correct a false statement of material
fact or law previously made to the tribunal
○ (2) fail to disclose to tribunal legal authority in controlling jurisdiction known to lawyer to be directly
adverse to position of client and not disclosed by opposing counsel
○ (3) offer evidence that you know to be false – if you find out client or witness you called offered false
material evidence you must take reasonable remedial measures, including, if necessary, disclosure
to tribunal
 may refuse to offer evidence, other than testimony of D in criminal matter, that you know to
be false
• (b) You must take remedial measures, including, if necessary, disclosure, if you rep a client in adj pro that
you know intends to engage, is engaging, or has engaged in criminal or fraudulent conduct related to the
proceeding
• (c) duties of (a) and (b) continue to conclusion of proceeding and apply even if otherwise protected by 1.6
• (d) in an ex parte proceeding, you must inform tribunal of all material facts known to you that will enable
tribunal to make an informed decision, whether or not facts are adverse

3.4 Fairness to Opposing Party and Counsel: you must not:


• (a) unlawfully obstruct another party’s access to evidence or unlawfully alter, destroy or conceal a
document or other material having potential evidentiary value—must not counsel or assist others in doing
so
• (b) falsify evidence, counsel or assist witness to testify falsely, or offer inducement to witness that is
prohibited
• (c) knowingly disobey an obligation under the rules of a tribunal—except for open refusal based on assertion
that no valid obligation exists
• (d) make frivolous discovery request or fail to make reasonably diligent effort to comply with legally proper
discovery request—in pretrial procedure
• (e)(i) allude to any matter that you do not reasonably believe is relevant or that will not be supported by
admissible evidence, (iii) assert personal knowledge of facts in issue except as testifying as a witness, or (iv)
state a personal opinion as to justness of a cause, the credibility of witness, the culpability of civil
litigant or guilt or innocence of an accused
• (f) request a person other than client to refrain from voluntarily giving relevant information to another party
unless:
○ (1) person is a relative or employee or other agent of client; and
○ (2) you reasonably believe that the person’s interest will not be adversely affected by refraining from
giving such information

3.5 Impartiality and Decorum of the Tribunal: you must not:


• (a) seek to influence judge, juror, prospective juror or other official by means prohibited by law
• (b) communicate ex parte with such person during proceeding unless authorized by law or court order
• (c) communicate with a juror or prospective juror after discharge of jury if:
○ (1) its prohibited by law or court order
○ (2) juror has made known to lawyer desire not to communicate; or
○ (3) communication involves misrepresentation, coercion, duress or harassment
• (d) engage in conduct intended to disrupt a tribunal

3.6 Trial Publicity


• (a) No extrajudicial statement (if participating or have participated in investigation or litigation of a matter)
that you know or reasonably should know will be disseminated by means of public communication and will
have a substantial likelihood of materially prejudicing an adj pro in the matter
• (b) You may state: (notwithstanding a)
○ (1) the claim, offense or defense and (except where prohibited by law) the identity of persons
involved
○ (2) info contained in public record
○ (3) that investigation of matter is in progress
○ (4) the scheduling or result of any step in litigation
○ (5) a request for assistance in obtaining evidence and information necessary thereto
○ (6) a warning of danger concerning the behavior of a person involved, when there is reason to
believe that there exists the likelihood of substantial harm to an individual or the public interest
○ (7) in criminal case—in addition to 1-6:
 (I) the identify, residence, occupation and family status of the accused
 (II) info necessary to aid in apprehension if accused has not been apprehended
 (III) the fact, time and place of arrest
 (IV) the identify of the investigating and arresting officers or agencies and length of
investigation
• (c) (notwithstanding a) You may make a statement that a reasonable lawyer would believe is required to
protect client from substantial undue prejudicial effect of recent publicity not initiated you or your client
○ must be limited to info necessary to mitigate recent adverse publicity
• (d) No lawyer associated in a firm or gov agency with a lawyer subject to (a) can make a statement
prohibited by (a)

3.7 Lawyer as Witness


• (a) you must not act as advocate at a trial in which you are likely to be a necessary witness—unless:
○ (1) testimony relates to an uncontested issue;
○ (2) testimony relates to nature and value of legal services rendered in the case; or
○ (3) your disqualification would be substantial hardship on client
• (b) you may act as advocate in a trial in which another lawyer in your firm is likely to be called unless
precluded by Rule 1.7 or 1.9

3.8 Special Responsibilities of a Prosecutor: prosecutor in criminal case must:


• (a) Refrain from prosecuting when you know charge is not supported by probable cause
• (b) Make reasonable efforts to assure the accused has been advised of right to, and procedure for obtaining,
counsel and given reasonable opportunity to do so
• (c) Not seek waiver or important pretrial rights from unrepresented accused –such as preliminary hearing
• (d) Make timely disclosure to defense of all evidence or info known to prosecutor that tends to negate guilt
of accused or mitigates offense
○ and in connection with sentencing, disclose to defense and tribunal all unprivileged mitigating info
known to prosecutor—except when relieved of duty by protective order of tribunal
• (e) Not subpoena a lawyer in grand jury or other criminal proceeding to present evidence about past or
present client unless the prosecutor reasonably believes:
○ (1) info not protected by privilege
○ (2) evidence is essential to completion of ongoing investigation or prosecution; and
○ (3) no other feasible alternative to get info
• (f) Refrain from making extrajudicial comments that have substantial likelihood of heightening public
condemnation of accused and exercise reasonable care to prevent investigators, law enforcement,
employees or others assisting or associated with prosecutor from doing what about be prohibited by this
Rule or 3.6
○ except for statements that are necessary to inform public of nature and extent of prosecutor’s
action and serve a legitimate law enforcement purpose
• (g) When you find out about new, credible and material evidence creating reasonably likelihood that
convicted defendant did not commit offense for which convicted—you must:
○ (1) promptly disclose to appropriate court or authority; and
○ (2) if conviction obtained in your jurisdiction,
 (I) promptly disclose evidence to defendant unless a court authorizes delay, and
 (II) undertake further investigation, or make reasonable efforts to cause an investigation,
to determine whether the D was convicted wrongly
• (h) When you know of clear and convincing evidence establishing D in your jurisdiction was convicted
wrongly—you must seek to remedy conviction

3.9 Advocate in Nonadjudicative Proceedings


• You must disclose that you are representing a client in appearance before legislative body or admin agency
in nonadjudicative proceeding—must conform to provisions 3.3a-c and 3.4a-c and 3.5

Transactions with Persons Other than Clients


4.1 Truthfulness in Statements to Others
• In course of representing a client, you shall not knowingly:
• (a) make a false statement of material fact of law to a third person; or
• (b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal
or fraudulent act by a client—unless disclosure is prohibited by 1.6

4.2 Communication with Person Represented by Counsel


• You must not communicate about subject of rep with a person you know to be represented by another
lawyer in matter—unless you have consent of other lawyer or authorized by law or court order

4.3 Dealing with Unrepresented Person


• You must not state or imply that you are disinterested when dealing on behalf of client with person who is
not represented—if know or should know that unrepresented person misunderstands, you should make
reasonable efforts to correct misunderstanding
○ Must not give legal advice to unrepresented person—other than to secure counsel—if interests of
person have a reasonable possibility of being in conflict with the interest of the client

4.4 Respect for Rights of Third Persons


• (a) In rep of client, you must not use means that have no substantial purpose other than to embarrass,
delay, or burden a third person, or use methods of obtaining evidence that violate legal rights of such a
person
• (b) If you receive document relating to rep of client and know or should not that the document was
inadvertently sent you must promptly notify the sender (not return)

Law Firms and Associations


5.1 Responsibilities of Partners, Managers, and Supervisory Lawyers
• (a) Those with managerial authority in law firm (partners and lawyers with such authority) must make
reasonable efforts to ensure firm has measures giving reasonable assurance that all lawyers conform to
Rules
• (b) Those with direct supervisory authority over other lawyers must make reasonable efforts to ensure other
lawyer conforms to Rules
• (c) You will be responsible for another lawyer’s violation if:
○ (1) you order or, with knowledge of conduct, ratify the conduct; or
○ (2) you are (ia) a partner, or (ib) have comparable managerial authority in firm, or (ic) have direct
supervisory authority other other lawyer and (ii) know of the conduct at a time when its
consequences can be avoided or mitigated but (iii) you fail to take reasonable remedial action

5.2 Responsibilities of a Subordinate Lawyer


• (a) You are bound by Rules even if you acted at direction of another person
• (b) subordinate lawyer does not violate Rules if that lawyer acts in accordance with supervisory lawyer’s
reasonable resolution of an arguable question of professional duty

5.3 Responsibilities Regarding Nonlawyer Assistants


• must make reasonable efforts to ensure person’s conduct is compatible with professional obligation of
lawyers if:
○ (a) have managerial authority in law firm (partners and lawyers with such authority)
○ (b) have direct supervisory authority over nonlawyer
• (c) you are responsible for conduct of such a person that would be a violation of Rules in engage in by a
lawyer if:
○ (1) you order, or with knowledge of specific conduct, ratify the conduct; or
○ (2) you are (ia) a partner, or (ib) have comparable managerial authority in firm, or (ic) have direct
supervisory authority over other lawyer and (ii) know of the conduct at a time when its consequences
can be avoided or mitigated but (iii) you fail to take reasonable remedial action

5.4 Professional Independence of a Lawyer


• (a) You or law firm shall not share legal fees with a nonlawyer, except:
○ (1) Estate: you may make an agreement with firm, partner, or associate to provide for payment of
money, over a reasonable period of time after your death, to your estate or to one or more persons
○ (2) Practice of deceased: you may purchase the practice of a deceased, disabled, or disappeared
lawyer and pay to estate or other rep of that lawyer the agreed-upon purchase price
○ (3) Nonlawyer employees: you or firm may include nonlawyer employees in compensation or
retirement plan, even if plan is based on a profit-sharing arrangement
○ (4) Non-profit: you may share court-awarded legal fees with a nonprofit org that employed, retained
or recommended employment of the lawyer in the matter
• (b) You must not form a partnership with nonlawyer if any of the activities of partnership consist of the
practice of law
• (c) You must not permit a person who recommends, employs, or pays you to render legal services for
another to direct or regulate your professional judgment in rendering services—think insurance company v.
policy holder
• (d) You must not practice with or in the form of a professional corporation or association authorized to
practice law for profit, if:
○ (1) a nonlawyer owns an interest therein—except that a fiduciary rep of the estate of a lawyer may
hold stock or interest of the lawyer for a reasonable tmie during administration
○ (2) a nonlawyer is a corporate director or officer thereof or occupies position of similar responsibility
in any form of association other than a corporation; or
○ (3) a nonlawyer has the right to direct or control the professional judgment of a lawyer

5.5 Unauthorized Practice of Law; Multijurisdictional Practice of Law


• (a) You must not practice law in a jurisdiction in violation of the regulation of the legal profession in that
jurisdiction or assist others in doing so
• (b) if not admitted to practice in that jurisdiction you must not:
○ (a) establish an officer or other systematic and continuous presence in the jurisdiction for the
practice of law (except as Rules or other law allow)
○ (b) hold out to public or otherwise represent that you are admitted to practice law in this jurisdiction
• (c) You may provide legal services on a temporary basis in a jurisdiction if: (i) admitted in another US juris
and (ii) not disbarred or suspended from practice in any jurisdiction--and
○ (1) Association: its undertaken in association with a lawyer who is admitted to practice and actively
participates in the matter
○ (2) Proceeding: you are in or reasonably related to a pending or potential proceeding before a
tribunal in this or another jurisdiction—if you or person you are assisting is authorized by law or order
to appear in such proceeding or reasonably excepts to be so authorized
○ (3) Arbitration: you are in or reasonably related to a pending or potential arbitration, mediation, or
other alternative dispute resolution proceeding in this or another jurisdiction—if (i) services arise out
of or are reasonably related to your practice in a jurisdiction in which you are admitted and (ii) are
not services for which the forum requires pro hac vice admission
○ (4) not within 2 or 3 and arise out of or are reasonably related to your practice in a jurisdiction in
which you are admitted
• (d) You may provide legal services in this jurisdiction if: (i) admitted in another US juris and (ii) not
disbarred or suspended from practice in any jurisdiction—and
○ (1) services are provided to your employer or its org affiliates and are not services for which forum
requires pro hac vice admission; or
○ (2) services that you are authorized to provide by federal law or other law of this jurisdiction

5.6 Restrictions on Right to Practice: you must not participate in offering or making:
• (a) agreement that restricts right of lawyer to practice after termination of the relationship (partnership,
shareholders, operating, employment, or other similar type) –except an agreement concerning benefits
upon retirement
• (b) an agreement in which restriction is part of the settlement of a client controversy
5.7 Responsibilities Regarding Law-Related Services
• (a) You are subject to Rules with respect to provision of law-related services as defined in (b) if services are
provided:
○ (1) by you in circumstances that are not distinct from lawyer’s provision of legal services to
clients; or
○ (2) in other circumstances by an entity controlled by you or with others if you fail to take
reasonable measures to assure person obtaining the services that they are not legal services
and they are not protected by CLR
• (b) Law-related services: services that (i) might reasonably be performed in conjunction with and in
substance are related to provision of legal services, and (ii) that are not prohibited as unauthorized
practice of law when provided by nonlawyer

Public Service
6.1 Voluntary Pro Bono Public Service: you have professional responsibility to provide legal services to
those unable to pay—should aspire to at least 50 hours per year—should:
• (a) provide substantial majority of 50 hours without fee or expectation of fee to:
○ (1) persons of limited means
○ (2) charitable, religious, civic, community, governmental and education orgs in matters designed
primarily to address needs of persons of limited means
• (b) provide any additional services through:
○ (1) delivery of legal services at no fee or substantially reduced fee to individuals, groups, or orgs
seeking to secure or protect civil rights, civil liberties, or public rights, or charitable, religious, civic,
community, governmental and educational orgs in matters in furtherance of their organizational
purposes, where the payment of standard legal fees would significantly deplete the orgs economic
resources or would otherwise be inappropriate
○ (2) delivery of legal services at a substantial reduced fee to persons of limited means
○ (3) participation in activities for improving the law, legal system or legal profession
• in addition, you should voluntarily contribute financial support to orgs that provide legal services to persons
of limited means

6.2 Accepting Appointments: you must not seek to avoid appointment by tribunal to rep person except for
good cause, as such:
• (a) representing client is likely to violate Rules or other law
• (b) representing client is likely to result in unreasonable financial burden
• (c) the client or cause is so repugnant to you as to likely to impair CLR or your ability to rep client
6.3 Membership in Legal Services Organization
• You may serve as director, officer, or member of a legal services org, apart from the law firm in which you
practice, notwithstanding that the org serves persons having interests adverse to a client of yours
• You must not knowingly participate in a decision or action of the org if/where:
○ (a) if participating would be incompatible with your obligation to a client under Rule 1.7; or
○ (b) where it could have material adverse effect on rep of a client of the org whose interests are
adverse to your client

6.4 Law Reform Activities Affecting Client Interests


• You may serve as director, officer, or member of org involved in reform or its administration even if reform
may affect interests of a client
○ If you know that interests of a client may be materially benefited by a decision in which you
participate you must disclose that fact but need not identify your client

6.5 Nonprofit and Court-Annexed Limited Legal Services Programs


• (a) if you provide short-term limited legal services to a client (under auspices of a program sponsored by a
nonprift org or court) without expectation by you or client that you are providing continuing representation
in the matter—then:
○ (1) only subject to Rules 1.7 and 1.9(a) if you know that the rep of client involves a conflict of
interest; and
○ (2) subject to 1.10 only if you know that another lawyer in your firm is disqualified by 1.7 or 1.9(a)
with respect to the matter
• (b) Rule 1.10 is inapplicable to a rep governed by this rule—except as provided in (a)(2)
Information about Legal Services
7.1 Communications Concerning a Lawyer’s Services
• No false or misleading communication about you or services—its false or misleading if it contains material
misrepresentation of fact or law, or omits fact necessary to make statement considered as a whole not
materially misleading

7.2 Advertising
• (a) You may advertise services through written, recorded or electronic communication, including public
media—subject to 7.1 and 7.3
• (b) You must not give anything of value to a person for recommending your services—except that you may:
○ (1) pay of reasonable costs advertisements or communications permitted by this Rule
○ (2) pay usual charges of legal service plan or not-for-profit of qualified (approval by appropriate
regulatory authority) lawyer referral service
○ (3) pay for a law practice in accordance with 1.17; and
○ (4) refer clients to another lawyer or nonlawyer professional pursuant to agreement not
otherwise prohibited under these Rules that provides for the other person to refer clients or
customers to you, if
 (I) the reciprocal referral agreement is not exclusive, and
 (II) the client is informed of existence and nature of the agreement
• (c) ads must include name and office address of at least one lawyer or law firm responsible for content

7.3 Direct Contact with Prospective Clients


• (a) You must not solicit employment from a prospective client for pecuniary gain through in-person, live
telephone or real-time electronic contact—unless:
○ (1) person is a lawyer
○ (2) you have family, close personal, or prior professional relationship with the person
• (b) Must never solicit if: (even if a allows)
○ (1) prospective client makes known a desire not to be solicited by you; or
○ (2) solicitation involves coercion, duress or harassment
• (c) Must put “Advertising Material” on the outside envelope (if any) and at the beginning and ending of
any recorded or electronic communication for every written, recorded or electronic communication soliciting
prospective client known to be in need of legal services in a particular matter –
○ unless recipient is a person specified in (a)(1) lawyer, or (a)(2) relationship
• (d) You may participate with a prepaid or group legal service plan operated by an organization not owned or
directed by you that uses in-person or telephone contract to solicit memberships or subscriptions for the
plan from persons who are not known to need legal services in a particular matter by the plan

7.4 Communication of Fields of Practice and Specialization


• (a) You may communicate fact that you do or do not practice in a particular field of law
• (b) You may use designation “Patent Attorney” or substantially similar designation if you are admitted to
engage in patent practice before US Patent and Trademark Office
• (c) You may use designation “Admiralty,” “Proctor in Admiralty,” or substantially similar designation if you
are engaged Admiralty practice
• (d) You must not state or imply that you are certified as a specialist in a particular field unless:
○ (1) You have been certified as a specialist by an organization approved by appropriate state
authority or accredited by ABA; and
○ (2) the name of certifying organization is clearly identified in communication

7.5 Firm Names and Letterheads


• (a) You must not use firm name, letterhead or other professional designation that violates 7.1
○ trade name may be used in private practice if it does not imply connection with gov agency or
public or charitable legal services org and is not otherwise violation of rule 7.1
• (b) Law firm with offices in more than one jurisdiction may use same name or other professional designation
in each jurisdiction—but identification of lawyers in an officer of a firm must indicate the jurisdictional
limitations on those not licensed to practice in the jurisdiction where the office is located
• (c) The name of a lawyer holding a public office shall not be used in name of law firm, or in communications
on its behalf, during any substantial period in which the lawyer is not actively and regularly practicing with
the firm
• (d) Lawyers may state or imply that they practice in a partnership or other org only when that is the fact
7.6 Political Contributions to Obtain Legal Engagements Or Appointments by Judges
• If you or law firm make contribution for purpose of obtaining or being considered, you must not accept a
government legal engagement or appointment by a judge for that type of position

Maintaining the Integrity of the Profession


8.1 Bar Admission and Disciplinary Matters
• Applicant for bar, or lawyer in connection with bar admission application or disciplinary matter shall not:
• (a) knowingly make a false statement of material fact; or
• (b) fail to disclose a fact necessary to correct a misapprehension known by the person, or knowingly fail to
respond to lawful demand for info from admissions or disciplinary authority
○ except—does not require disclosure of info protected by 1.6

8.2 Judicial and Legal Officers


• (a) You must not make statement you know to be false or with reckless disregard to truth of falsity
concerning qualifications or integrity of judge, adjudicatory officer or public legal officer, or candidate for
election or appointment to judicial or legal officer
• (b) Candidates for judicial officer must comply with provisions of Code of Judicial Conduct

8.3 Reporting Professional Misconduct


• (a) Lawyer violation: You must inform appropriate professional authority if you know that another lawyer
has committed a violation of the Rules that raises a substantial question as to the lawyer’s honesty,
trustworthiness or fitness as a lawyer
• (b) Judge violation: You must inform appropriate professional authority if you know a judge has committed
a violation of the Rules that raises a substantial question as to the judge’s fitness for office
• (c) does not require (i) disclosure protected by 1.6 or (ii) info gained by lawyer or judge in approved
lawyers assistance program

8.4 Misconduct: profession misconduct to:


• (a) Violate or attempt to violate Rules, knowingly assist or induce another to do so, or do so through acts of
another
• (b) commit criminal act that reflects adversely on your honest, trustworthiness or fitness as a lawyer in
other respects
• (c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation
• (d) engage in conduct that is prejudicial to the administration of justice
• (e) state or imply an ability to influence improperly a government agency or official or to achieve results by
means that violate Rules or other law; or
• (f) knowingly assist a judge or judicial officer in conduct that is a violation of rules of judicial conduct or
other law

8.5 Disciplinary Authority; Choice of Law


• (a) Disciplinary Authority: you are subject to disciplinary authority of the jurisdiction in which you are
admitted and any jurisdiction where you provide or offer any legal services—may be subject to multiple
jurisdictions for same conduct
• (b) Choice of Law: for disciplinary authority the Rules applied shall be
○ (1) for conduct in connection with matter pending before tribunal, the rule of the jurisdiction in
which tribunal sits—unless rules of tribunal provide otherwise
○ (2) for any other conduct, the jurisdiction in which the conduct occurred
 unless predominant effect of conduct is in another jurisdiction, then that one
 you are not subject to discipline if conduct conforms to rules of jurisdiction in which you
reasonably believe the predominant effect of conduct will occur