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RESPONSIBILITY
LEGAL ETHICS
T HE C ODE OF
P ROFESSIONAL R ESPONSIBILITY
Canon 16
Canon 17
Canon 18
HISTORY
Canon 19
Canon 20
Canon 22
Canon 21
C HAPTER 1: T HE L AWYER
AND THE S OCIETY
CANON 1: A LAWYER SHALL UPHOLD THE
CONSTITUTION, OBEY THE LAWS OF THE LAND AND
PROMOTE RESPECT FOR LAW OF AND LEGAL
PROCESSES.
1.01 - A lawyer shall not engage in unlawful,
dishonest, immoral or deceitful conduct.
Unlawful conduct
Transgression of any provision of law, which need not be
a penal law. The presence of evil intent on the part of the
lawyer is not essential in order to bring his act or omission
within the terms of this Rule (Re: Report on the Financial
Audit Conducted on the Books of Accounts of Atty. Raquel
Kho, AM No. P-06-2177).
Dishonest act
An act of lying or cheating (Alsup v. State, 91 Tex. Crim.
R. 224, 1922).
Immoral or deceitful conduct:
Involves moral turpitude (Agpalo, Legal and Judicial
Ethics, 2009, p. 72).
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RESPONSIBILITY
Examples of crimes involving moral turpitude: estafa,
bribery, murder, seduction, abduction, concubinage,
smuggling, falsification of public document, violation of
B.P 22 (Pineda, Legal Ethics, 2009, p.51).
Degree of immorality subject to disciplinary action:
Gross immorality and not mere immorality is sanctioned
(Funa, Legal and Judicial Ethics, 2009, p.21).
Gross immorality is conduct which is so corrupt and
false as to constitute a criminal act or so unprincipled or
disgraceful as to be reprehensible to a high degree
(Reyes vs. Wong, 63 SCRA 667).
Immoral conduct
Is a conduct which is willful, flagrant, or shameless, and
which shows a moral indifference to the opinion of the
good and respectable members of the community (Arciga
v. Maniwang, A.M. No. 1608 August 14, 1981).
Grossly Immoral Acts
Abandonment of family
and cohabiting with
another woman(Narag
v. Narag, A.C. No. 3405,
June 29, 1998).
A lawyer who had carnal
knowledge with a
woman through a
promise of marriage
which he did not fulfill
(Quingwa v. Puno,
A.C.No. 389, February
28, 1967).
Seduction of a woman
who is the niece of a
married woman with
whom the respondent
lawyer had adulterous
relations (Royong v.
Oblena, A.C. No. 376,
April 30, 1963).
Lawyer arranging the
marriage of his son to a
woman with whom the
lawyer had illicit
relations. After the
Corresponding
Penalty
DISBARRED
DISBARRED
DISBARRED
DISBARRED
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Moral turpitude:
It is an act of baseness, vileness or depravity in the duties
which one person owes to another or to society in general
which is contrary to the usually accepted and customary
rule of right and duty which a person should follow.
DISBARRED
DISBARRED
Lawyer taking
advantage of his
position as chairman of
the college of medicine
and asked a lady
student to go with him to
Manila where he had
carnal knowledge of her
under threat that if she
refused, she would flunk
in all her subjects
(Delos Reyes v. Aznar,
A.M. No. 1334,
November 28, 1989).
Bigamy committed by
the lawyer (Villasanta v.
Peralta, 101 Phil. 315).
Concubinage coupled
with failure to support
illegitimate children
(Laguitan v. Tino, A.M.
No. 3049, December 4,
1989).
Adultery committed by
the lawyer (Sevilla v.
Cardenas, G.R. No.
167684, July 31, 2006)
Facilitating another
persons travel using
spurious travel
documents (Sebastian
v. Calis, A.C. No. 5118,
September 9, 1999)
Selling real property
which is part of public
domain (Cham v.
Pizarro, A.C. No. 5499,
August 16, 2005).
DISBARRED
SUSPENDED
INDEFINITELY
SUSPENDED
INDEFINITELY
DISBARRED
SUSPENDED FOR
1 YEAR
LEGAL ETHICS
Gross immorality need not be committed under
scandalous circumstances and need not be punishable by
law (Funa, Legal and Judicial Ethics, 2009, p.27)
Acts which DO NOT constitute gross immorality:
1. Stealing a kiss from a client (Advincula v. Macabata,
A.C. No. 7204, March 7, 2007);
2. Live-in relationship involving two unmarried persons;
3. Failure to pay a loan
General rule: A lawyer may not be disciplined for failure
to pay a loan. The proper remedy is the filing of an
action for collection of a sum of money in regular courts
(Toledo v. Abalos, 315 SCRA 419, 1999).
Exception: deliberate failure to pay just debts and the
issuance of worthless checks (Lao v. Medel, A.C. No.
5916, July 1, 2003).
Just debts:
Include unpaid rentals, electric bills, claims adjudicated by
a court of law, and claims the existence and justness of
which are admitted by the debtor (Cham v. Paita-Moya,
A.C. No. 7494, June 27, 2008).
Having incurred just debts, a lawyer has the moral duty
and legal responsibility to settle them when they become
due. He should comply with his just contractual
obligations, act fairly and adhere to high ethical standards
to preserve the courts integrity, since he is an employee
thereof (Cham v. Paita-Moya, supra).
Plenary pardon does not itself warrant reinstatement,
evidence of reformation must first be present (In re:
Vailoces, 1992).
Note on plagiarism: The rule exonerating judges from
charges of plagiarism applies also to lawyers. Although as
a rule they receive compensation for every pleading or
paper they file in court or for every opinion they render to
clients, lawyers also need to strive for technical accuracy
in their writings. They should not be exposed to charges
of plagiarism in what they write so long as they do not
depart, as officers of the court, from the objective of
assisting the Court in the administration of justice (In
matter of the charges of plagiarism, etc. against Associate
Justice Mariano C. Del Castillo, A.M. No. 10-7-17SC. February 8, 2011).
Rule 1.02 - A lawyer shall not counsel or abet
activities aimed at defiance of the law or at lessening
confidence in the legal system.
A lawyer should not promote nor hold an organization
known to be violating the law nor assist it in a scheme
which is dishonest. He should not allow his services to be
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RESPONSIBILITY
engaged by an organization whose members are violating
the law and defend them should they get caught.
Rule 1.03 - A lawyer shall not, for any corrupt motive
or interest, encourage any suit or proceeding or delay
any man's cause.
A lawyer owes to society and to the court the duty not to
stir up litigation.
Maintenance
It is the intermeddling of an uninterested party to
encourage a lawsuit. It is a taking in hand, a bearing up or
upholding of quarrels or sides, to the disturbance of the
common right (Funa, Legal and Judicial Ethics, 2009, p.
45).
Rationale: to prevent barratry and ambulance chasing
Barratry
It is the offense of frequently exciting and stirring up
quarrels and suits, either at law or otherwise (Blacks Law
Dictionary, 5th ed., citing State vs. Batson N.C. 4121). The
person who engages in barratry is called a barretor or
barrater.
Ambulance Chasing
A solicitation of almost any kind of legal business by
laymen employed by an attorney for the purpose or by the
attorney himself
It is a lawyers act of chasing an ambulance carrying the
victim of an accident for the purpose of talking to said
victim or relatives and offering his legal services for filing
of a case against the person who caused the accident. It
has spawned a number of recognized evils such as
(FSMD):
1. Fomenting of litigation with resulting burdens on the
courts and the public;
2. Subornation of perjury;
3. Mulcting of innocent persons by judgments, upon
manufactured causes of action; and
4. Defrauding of injured persons having proper causes of
action but ignorant of legal rights and court procedures
by means of contracts which retain exorbitant
percentages of recovery and illegal charges for court
costs and expenses and by settlement made for quick
returns of fees and against the just rights of the injured
persons (Hightower v. Detroit Edison Co. 247 NW 97,
1993).
Note: Volunteering advice to bring lawsuit comes within
the prohibition, except where ties of blood, relationship,
and trust make it a duty to do so (Canon 28, Canons of
Professional Ethics).
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RESPONSIBILITY
An attorney should be a mediator for concord and a
conciliator for compromise and not an instigator of
controversy and a predator of conflict. (Castaneda v. Ago,
65 SCRA 505, 1975)
A lawyer cannot, without special authority, compromise his
clients litigation or receive anything in discharge of the
clients claim but the full amount in cash. A compromise
entered into without authority is merely unenforceable.
HOWEVER, a lawyer has the exclusive management of
the procedural aspect of the litigation including the
enforcement of rights and remedies of the client
(Melendrez vs. Decena, 176 SCRA 662, 1989).
Note: This rule does not extend to instances where a fair
settlement is not possible as an option (Funa, Legal and
Judicial Ethics, p.47).
The following mandates the parties to consider the possibility
of amicable settlement:
1. Sec. 2, Rule 18 on Pre-trial;
2. The Local Government Code (Barangay Conciliation
Proceedings); and
3. Judicial Dispute Resolution.
CANON 2: A LAWYER SHALL MAKE HIS LEGAL
SERVICES AVAILABLE IN AN EFFICIENT AND
CONVENIENT MANNER COMPATIBLE WITH THE
INDEPENDENCE, INTEGRITY AND EFFECTIVENESS
OF THE PROFESSION.
Rule 2.01 - A lawyer shall not reject, except for valid
reasons, the cause of the defenseless or the
oppressed.
Rationale: It is the lawyers prime duty to see to it that
justice is accorded to all without discrimination.
Defenseless
Those who are not in a position to defend themselves due
to poverty, weakness, ignorance or other similar reasons
Oppressed
The victims of cruelty, unlawful exaction, domination or
excessive use of authority
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3. Involves self-praise and puffing;
4. Damages public confidence; and
5. May increase lawsuits and result in needless litigation.
Practice of law vs. business
1. A duty of public service, of which the emolument is a byproduct, and which one my attain the highest eminence
without making much money;
2. A relation as an officer of the court to the
administration of justice involving thorough sincerity,
integrity and reliability
3. A relation to the clients in the highest degree of
fiduciary;
4. A relation to colleagues characterized by candor,
fairness and unwillingness to resort to current business
methods of advertising and encroachment on their
practice or dealing directly with their clients (In re Sycip,
July 30, 1979)
The best advertisement for a lawyer is a well-deserved
reputation for competence, honesty and fidelity to
private trust and public duty.
Example: A lawyer who recommends employment of
himself, his partner, associate, or member of his legal
staff to a non-lawyer who has not sought his advice
regarding the employment of himself (Agpalo, Legal
and Judicial Ethics, p. 117).
Rule 2.04 - A lawyer shall not charge rates lower than
those
customarily
prescribed
unless
the
circumstances so warrant.
Rationale: To avoid any demeaning and degrading
competition
Exceptions: Valid justifications such as when the client is
a relative or a brother lawyer or is too poor that it would be
inhumane to charge him even the customary rates of
attorneys fees.
Note: What the rule prohibits is competition in the matter
of charging professional fees for the purpose of attracting
clients in favor of the lawyer who offers lower rates. The
rule does not prohibit a lawyer from charging a reduced
fee or none at all to an indigent (Comments of the IBP
Committee).
Some IBP Chapters in the country have approved
Schedules of Attorneys Fees providing specific guidelines
in the fixing of attorneys fees for legal services, including
but not limited to consultation, documentation,
notarization, pleading, research, trial work, appearance
fees, acceptance fees, retainers and similar others. Other
Chapters, while they do not have such Schedules, have
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RESPONSIBILITY
followed and are still following a long standing local
custom or tradition on the amounts of attorneys fees for
their legal services (Pineda, Legal and Judicial Ethics,
2009, p. 83).
CANON 3: A LAWYER IN MAKING KNOWN HIS LEGAL
SERVICES SHALL USE ONLY TRUE, HONEST, FAIR,
DIGNIFIED AND OBJECTIVE INFORMATION OR
STATEMENT OF FACTS.
Rationale: Legal services, unlike other personal services
rendered by other professionals or skilled workers require
a certain degree of dignity to be maintained (Funa, Legal
and Judicial Ethics, p.62).
Advertising and solicitation
Rule 3.01 - A lawyer shall not use or permit the use of
any false, fraudulent, misleading, deceptive,
undignified, self-laudatory or unfair statement or
claim regarding his qualifications or legal services.
General rule: A lawyer cannot advertise his talent as a
shopkeeper advertises his wares as he is a member of an
honorable profession whose primary purpose is to render
public service and help secure justice and in which the
remuneration is a mere incident.
Rationale:
1. The profession is primarily for public service;
2. Commercializes the profession;
3. Involves self-praise and puffing;
4. Damages public confidence; and
5. May increase lawsuits and result in needless litigation.
Exceptions:
1. Writing legal articles;
2. Engaging in business or other occupations except when
such could be deemed improper, be seen as indirect
solicitation or would be the equivalent of law practice;
3.
Publication in reputable law lists, but only of brief
biographical and informative data;
The reputable law list must be published primarily for
that purpose. It cannot be a mere supplement of a
magazine or journal (Agpalo, Legal and Judicial Ethics,
2009, p.121).
4. Use of ordinary an professional cards;
5. Notice to other local lawyers and publishing in a legal
journal of ones availability to act as an associate for
them;
6. The proffer of free legal services to the indigent, even
when broadcasted over the radio or tendered through
circulation of printed matter to the general public;
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RESPONSIBILITY
The professional card may contain only a statement of his
name, the name of the law firm of which he is connected
with, address, telephone number and special branch of
law practices (A.B.A. Op. 11, May 11, 1927).
Solicitation of cases constitutes malpractice. The law
prohibits lawyers from soliciting cases for the purpose of
gain, either personally or through paid agents or brokers,
and makes the act malpractice (Rule 138, Sec. 27, Rules
of Court).
A lawyer who agrees with a non-lawyer to divide attorneys
fees paid by clients supplied or solicited by the non-lawyer
is guilty of malpractice, the same being a form of
solicitation of cases(Tan Tek Beng vs. David, 126 SCRA
389, 1983).
Use of law firm Name
Rule 3.02 - In the choice of a firm name, no false,
misleading or assumed name shall be used. The
continued use of the name of a deceased partner is
permissible provided that the firm indicates in all its
communications that said partner is deceased.
Use of a deceased partners name
The reason for allowing the continued use of the name of
a deceased partner is that all of the partners, by their joint
efforts, contributed to the goodwill attached to the firm
name. This goodwill is disturbed by a change in the firm
name every time a partner dies (Agpalo, 2009, p. 129).
The use of a cross after the name of the deceased partner
is sufficient indication. It is advisable that the year of death
be also indicated (Pineda, Legal Ethics, 2009, p.87).
No name not belonging to any of the partners or
associates may be used in the firm name for any purpose.
Use of a foreign law firm name
Filipino lawyers cannot practice law under the name of a
foreign law firm, as the latter cannot practice law in the
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Cruz A.C. No. 6854, April 27, 2007, citing Santiago v.
Rafanan).
Three-fold obligation of a lawyer concerning the
requirement of continuing legal education:
1.
He owes it to himself to continue improving his
knowledge of the law.
2.
He owes it to his profession to take an active
interest in the maintenance of high standards of legal
education.
3.
He owes it to the lay public to make the law a
part of their social consciousness.
Rules on Mandatory Continuing Legal Education
(MCLE) for Members of the IBP (Bar Matter no. 850)
Purpose: To ensure that throughout their career, they
keep abreast with law and jurisprudence, maintain the
ethics of the profession and enhance the standards of the
practice of law (Sec, 1, Rule 1, Rules on MCLE).
Requirements of completion of MCLE
Members of the IBP, unless exempted under Rule 7, shall
complete every three (3) years at least 36 hours of
continuing legal education activities.
Parties EXEMPTED from the MCLE:
1. The President, Vice-President, and the Secretaries and
Undersecretaries of executive departments;
2. Senators and Members of the House of
Representatives;
3. The Chief Justice and Associate Justices of the SC,
incumbent and retired justices of the judiciary,
incumbent members of the Judicial and Bar Council and
incumbent court lawyers covered by the Philippine
Judicial Academy Program of Continuing Legal
Education;
4. The Chief State Counsel, Chief State Prosecutor and
Assistant Secretaries of the Department of Justice;
5. The Solicitor-General and the Assistant SolicitorsGeneral;
6. The Government Corporate Counsel, Deputy and
Assistant Government Corporate Counsel;
7. The Chairman and Members of the Constitutional
Commissions;
8. The Ombudsman, the Overall Deputy Ombudsman, the
Deputy Ombudsman and the Special Prosecutor of the
Office of the Ombudsman;
9. Heads of government agencies exercising quasi-judicial
functions;
10.Incumbent deans, bar reviewers and professors of law
who have teaching experience for at least 10 years in
accredited law schools;
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RESPONSIBILITY
11. The Chancellor, Vice-Chancellor and members of the
Corps of Professional Lecturers of the Philippine
Judicial Academy; and
12.Governors and Mayors.
Other exempted parties:
1. Those who are not in law practice, private or public; and
2. Those who have retired from law practice with the
approval of the IBP Board of Governors.
Application for exemption from or modification of the
MCLE requirement
1. A member may file a VERIFIED REQUEST setting forth
good cause for exemption (such as physical disability,
illness, post-graduate study abroad, proven expertise in
law) from compliance with or modification of any of the
requirements, including an extension of time for
compliance, in accordance with procedure to be
established by the committee on MCLE.
2. Applications for exemption from or modification of the
MCLE requirement shall be under oath and supported
by documents.
What constitutes non-compliance (CASE-PA)
1. Failure to complete education requirement within the
compliance period;
2. Failure to provide attestation of compliance or
exemption;
3. Failure to provide satisfactory evidence of compliance;
4. Failure to satisfy the education requirement and
furnish the evidence of such compliance within 60 days
from receipt of non-compliance notice;
5. Failure to pay non-compliance fee within the prescribed
period; and
6. Any other act or omission analogous to any of the
foregoing or intended to circumvent or evade
compliance with the MCLE requirement.
Consequences of non-compliance
1. A member who fails to comply with the requirements
after the 60-day period shall be listed as delinquent
member by the IBP Board of Governors upon
recommendation of the Committee on MCLE.
2. The listing as a delinquent member is administrative in
nature BUT shall be made with notice and hearing by
the Committee on MCLE.
B.M. No. 1922, as amended, REQUIRES practicing
members of the bar to INDICATE in all pleadings filed
before the courts or quasi-judicial bodies, the NUMBER
AND DATE OF ISSUE of their MCLE Certificate of
Compliance or Certificate of Exemption, as may be
applicable, for the immediately preceding compliance
period. Failure to disclose the required information
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CANON 6: THESE CANONS SHALL APPLY TO
LAWYERS IN GOVERNMENT SERVICES IN THE
DISCHARGE OF THEIR TASKS.
This Canon makes the Code applicable to lawyers in
government service.
Rationale: A lawyer does not shed his professional
obligations upon his assuming public office.
Rule 6.01 - The primary duty of a lawyer engaged in
public prosecution is not to convict but to see that
justice is done. The suppression of facts or the
concealment of witnesses capable of establishing the
innocence of the accused is highly reprehensible and
is cause for disciplinary action
LEGAL ETHICS
Public prosecutor
He is a quasi-judicial officer and as such, he should
seek equal and impartial justice. He should be concerned
with seeing that no innocent man suffers as in seeing that
no guilty man escapes (State v. Platon, 40 O.G., 6 th Supp.
235).
Private prosecutor
General rule: The offended party has the right to
intervene in the prosecution of a crime.
Exceptions:
1. Where from the nature of the crime and the law defining
and punishing it, no civil liability arises in favor of the
offended party; and
2. Where from the nature of the offense the offended party
is entitled to civil indemnity arising therefrom but he has
waived the same or has expressly reserved his right to
institute a civil action or has already instituted said
action (Agpalo, Legal and Judicial Ethics, 2009, p.86).
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legal profession (Wilfredo Catu vs. Atty. Vicente Rellosa,
A.C. No. 5738, February 19, 2008).
AND
LEGAL ETHICS
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Though a lawyers language may be forceful and
emphatic, it should always be dignified and respectful,
befitting the dignity of the legal profession. The use of
intemperate language and unkind ascriptions has no place
in the dignity of judicial forum. Atty. Ferrer ought to have
realized that this sort of public behavior can only bring
down the legal profession in the public estimation and
erode public respect for it. Whatever moral righteousness
Atty. Ferrer had was negated by the way he chose to
express his indignation (Atty. Bonifacio Barandon, Jr. v.
Atty. Edwin Z. Ferrer, Sr., A.C. No. 5768, March 26, 2010).
HOWEVER, utterances made out of impulse in the course
of an argument may be forgiven and should not be
penalized (Cruz v. Cabrera, A.C. No. 5737, October 25,
2004).
Rule 8.02 - A lawyer shall not, directly or indirectly,
encroach upon the professional employment of
another lawyer, however, it is the right of any lawyer,
without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful or
neglectful counsel.
A person without a retained lawyer is a legitimate
prospective client for any lawyer whom he approaches for
legal services. But as soon as he had retained one and
had not dismissed the retained counsel, efforts on the part
of another lawyer to take him as client constitutes an act
of encroaching upon the employment of another lawyer
(Pineda, Legal Ethics, 2009, p.130).
Rules on accepting employment on a matter
previously handled by another lawyer
1. A lawyer may properly accept employment to handle a
matter which has been previously handled by another
lawyer, PROVIDED that the first lawyer has been given
notice by the client that his services have been
terminated.
2. In the absence of such notice of termination by the
client, a lawyer retained to take over a case from a
peer in the bar should do so only AFTER he shall have
obtained CONFORMITY of the counsel whom he
would substitute.
3. In the absence of such conformity by the counsel, he
should at least give SUFFICIENT NOTICE to such
lawyer of the contemplated substitution.
4. His entry of appearance without notice to the first
lawyer is an improper encroachment upon the
professional employment of the original counsel.
5. The notice will enable the lawyer sought to be charged
to assert and protect any right to compensation which
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he may claim or possess (Agpalo, Legal and Judicial
Ethics, 2009, p. 111).
A lawyer should not in any way communicate upon the
subject of controversy with a party represented by
counsel, much less should he undertake to negotiate or
compromise the matter with him, but should deal with his
counsel.
Exceptions:
1. A lawyer may properly interview any witness or
prospective witness for the opposing side in any civil or
criminal action without the consent of opposing counsel
or party.
2. Any person who seeks relief against an unfaithful or
neglectful lawyer may approach another lawyer for
proper advice and assistance. Any advice or assistance
extended after proper verification is not encroaching
upon the business of another lawyer for such act is
justified under the circumstances.
CANON 9: A LAWYER SHALL NOT, DIRECTLY OR
INDIRECTLY, ASSIST IN THE UNAUTHORIZED
PRACTICE OF LAW.
Purpose: To protect the public, the court, the client and
the bar from the incompetence or dishonesty of those
unlicensed to practice law and not subject to the
disciplinary control of the court.
Passing the bar and taking the oath does not mean that
one is a lawyer already. It is the signing of the Roll of
Attorneys that finally makes one a full-fledge lawyer.
Before such time, one cannot engage in the practice of
law (Aguirre vs. Rana, 403 SCRA 342, 2003).
Intervention of intermediary
A lawyer is PROHIBITED from allowing an intermediary to
intervene in the performance of his professional
obligation. The lawyers relation to the client is
PERSONAL and his responsibility is DIRECT to the client.
(Agpalo, Legal and Judicial Ethics, 2009, p.114).
Contempt as penalty
The act of pretending or assuming to be an attorney or an
officer of the court and acting as such without authority is
punishable with contempt of court (Rule 71, Sec.3 (e),
Revised Rules of Court).
While a lawyer may accept employment from any
organization to render legal services in any matter in
which the organization as an entity is interested, that
employment should not include the rendering of legal
services to members of such organization in respect to
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Examples of violations of this canon:
1. Respondent admitted that the letterhead of CristalTenorio Law Office listed Felicisimo R. Tenorio, Jr.,
Gerardo A. Panghulan, and Maricris D. Battung as
senior partners. She admitted that the first two are not
lawyers but paralegals. They are listed in the letterhead
of her law office as senior partners because they have
investments in her law office. That is a blatant
misrepresentation (Cambaliza vs. Atty. CristalTenorio,Adm. Case No. 6290, July 14, 2004).
2. Respondent, who held himself out as a partner of a law
firm, was rendering legal services together with persons
not licensed to practice law. The firm was actually a
cooperative composed of non-lawyers (Plus Builders,
Inc. et. al. v. Revilla, A.C. No. 7056, September 13,
2006).
Rule 9.01- A lawyer shall not delegate to any
unqualified person the performance of any task which
by law may only be performed by a member of the bar
in good standing.
Rationale:
1. The practice of law is limited only to individuals duly
qualified in moral character and education and who
passed the Bar Examinations.
2. A client-lawyer relationship is a personal one. Attorneys
are selected on account of their special fitness through
their learning or probity for the work in hand.
Note: Unqualified person is not limited to non-lawyers
but also to lawyers who are not in good standing and
lawyers who are unqualified (Funa, Legal and Judicial
Ethics, 2009, p. 123).
Lawyers can engage the services of secretaries,
investigators, detectives, researchers, as long as they are
not involved in the practice of law.
Rule 9.02 - A lawyer shall not divide or stipulate to
divide a fee for legal services with persons not
licensed to practice law, except:
1. Where there is a pre-existing agreement with a
partner or associate that, upon the latter's death,
money shall be paid over a reasonable period of
time to his estate or to persons specified in the
agreement; or
2. Where a lawyer undertakes to complete unfinished
legal business of a deceased lawyer; or
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Obligations related to candor (SVDR)
1. Not to suppress material and vital facts which bear on
the merit or lack of merit of the complaint or petition
2. To volunteer to the court any development of the case
which has rendered the issue raised moot and
academic
3. To disclose to court any decision adverse to his position
of which opposing counsel is apparently ignorant and
which court should consider in deciding a case.
4. Not to represent himself as a lawyer for a client, appear
in court and present pleadings in the latters behalf, only
to claim later that he was not authorized to do so.
(Agpalo, Legal and Judicial Ethics, 2009, pp. 144-145)
Rule 10.01 - A lawyer shall not do any falsehood, nor
consent to the doing of any in court; nor shall he
mislead, or allow the Court to be misled by any
artifice.
Lawyer as a disciple of truth
As an officer of the court, his high vocation is to correctly
inform the court upon the law and the facts of the case
and to aid it in doing justice and arriving at correct
conclusion. The courts, on the other hand, are entitled to
expect only complete honesty from lawyers appearing and
pleading before them. While a lawyer has the solemn duty
to defend his clients cause, his conduct must never be at
the expense of truth(Young v. Batuegas, A.C. 5379, May
2003).
A lawyer should not, in the defense of his client, put on the
stand a witness whom he knows will give a false
testimony. He should not distort the facts in disregard of
the truth and the law nor make improvident arguments
based thereon or on the facts on record (People vs.
Manobo, 18 SCRA 30, 1996).
Any person who shall knowingly offer in evidence a false
witness or testimony in any judicial or official proceeding,
shall be punished as guilty of false testimony and shall
suffer the respective penalties provided in this section
(Art. 184, Revised Penal Code).
Some Cases of Falsehoods by Lawyers which Merited
Discipline
1. Falsely stating in a deed of sale that property is free
from all liens and encumbrances when it is not so
(Sevilla vs. Zoleta, 96 Phil. 979);
2. Making it appear that a person, long dead, executed a
deed of sale in his favor (Monterey vs. Arayata, 61 Phil.
820);
3. Encashing a check payable to a deceased cousin by
signing the latters name on the check (In re:
Samaniego, 90 Phil. 382);
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4. Falsifying a power of attorney and used it in collecting
the money due to the principal and appropriating the
money for his own benefit (In re: Rusina, 105 Phil.
1328);
5. Alleging in one pleading that his clients were merely
lessees of the property involved, and alleged in a later
pleading that the same clients were the owners of the
same property (Chavez vs. Viola, G.R. 2152, 19 April
1991) where there are false allegations in pleadings.
6. Uttering falsehood in a Motion to Dismiss (Martin vs.
Moreno, 129 SCRA 315).
7. Denying having received the notice to file brief which is
belied by the return card (Ragacejo vs. IAC, 153 SCRA
462).
8. Presenting falsified documents in court which he knows
to be false (Bautista vs. Gonzales, 182 SCRA 151) or
introducing false evidence (Berrenguer vs. Carranza,
26 SCRA 673).
9. Filing false charges or groundless suits (Retuya vs.
Gorduiz, 96 SCRA 526)
10.Manufacturing, flaunting and using a spurious CA
resolution before the RTC (Florido v. Florido, A.C. No.
5624, January 20, 2004).
Rule 10.02 - A lawyer shall not knowingly misquote or
misrepresent the contents of a paper, the language or
the argument of opposing counsel, or the text of a
decision or authority, or knowingly cite as law a
provision already rendered inoperative by repeal or
amendment, or assert as a fact that which has not
been proved.
Rationale: If not faithfully and exactly quoted, the
decisions and rulings of the court may lose their proper
and correct meaning, to the detriment of other courts,
lawyers and the public who may thereby be misled.
(Agpalo, Legal and Judicial Ethics, 2009, p.147).
To knowingly misquote or misrepresent in any of these
matters is not only unprofessional but contemptuous as
well. (ibid., p.146).
A mere typographical error in the citation of an authority is
not contemptuous (Del Rosario v. Chingcuangco, No. L25503, December 17, 1966).
The respondents deliberately made the quote from the
SCRA syllabus appear as the words of the Supreme
Court. The Court admonish them for what is at the least
patent carelessness, if not an outright attempt to mislead
the parties and the courts taking cognizance to
insubordination (Allied Banking Corporation v. CA and
Galanida G.R. No. 144412, November 2003).
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Rationale: Procedures are instruments in the speedy and
efficient administration of justice. They should be used to
achieve such end and not to derail it.
Filing multiple actions constitutes an abuse of the Courts
processes. Those who file multiple or repetitive actions
subject themselves to disciplinary action for incompetence
or willful violation of their duties as attorneys to act with all
good fidelity to the courts, and to maintain only such
actions that appear to be just and consistent with truth and
honor (Pablo R. Olivares etc. vs. Atty. Arsenio Villalon, Jr.,
A.C. No. 6323, April 13, 2007).
CANON 11: A LAWYER SHALL OBSERVE AND
MAINTAIN THE RESPECT DUE TO THE COURTS AND
TO JUDICIAL OFFICERS AND SHOULD INSIST ON
SIMILAR CONDUCT BY OTHERS.
Rationale: Disrespect toward the court would necessarily
undermine the confidence of the people in the honesty
and integrity of the members of the court, and
consequently to lower or degrade the administration of
justice by the court.
All lawyers are expected to recognize the authority of the
Supreme Court and obey its lawful processes and orders.
Despite errors which one may impute on the orders of the
Court, these must be respected, especially by the bar or
the lawyers who are themselves officers of the courts
(Yap-Paras vs. Atty. Paras, A.C. No. 4947, June 7, 2007).
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Right and duty of a lawyer to criticize courts
1. The fact that a person is a lawyer does not deprive him
of the right, enjoyed by every citizen, to comment on
and criticize the actuations of a judge.
2. The court, in a pending litigation, must be shielded from
embarrassment or influence in its all-important duty of
deciding the case. Once litigation is concluded, the
judge who decided it is subject to the same criticism as
any other public official because his ruling becomes
public property and is thrown open to public
consumption.
3. It is the cardinal condition of all such criticism that it
shall be bona fide, and shall not spill over the walls of
decency and propriety (Zaldivar v. Gonzalez, supra).
4. The duty of the bar to support the judge against unjust
criticism and clamor does not, however, preclude a
lawyer from filing administrative complaints against
erring judges or from acting as counsel for clients who
have legitimate grievances against them. But the lawyer
should file charges against the judge before the proper
authorities only and only after proper circumspection
and without the use of disrespectful language and
offensive personalities so as not to unduly burden the
court in the discharge of its functions (Urbina vs.
Maceren, 57 SCRA 403, 1974).
A lawyer may not file administrative complaint against a
judge, which arises from his judicial acts, until the lawyer
shall have exhausted judicial remedies which result in a
finding that the judge has gravely erred. If the lawyer does
so without exhausting such judicial remedies or awaiting
the result thereof, he may be administratively held to
account therefore (Flores v. Abesamis, 275 SCRA 301,
1997).
Note on a lawyers freedom of expression: As to the
question on whether lawyers who are also law professors
can invoke academic freedom as a defense in an
administrative proceeding for intemperate statements
tending to pressure the Court or influence the outcome of
a case or degrade the courts.
The same is answered through the application by
analogy of the Courts past treatment of the free speech
defense in other bar discipline cases. Academic freedom
cannot be successfully invoked by respondents. The
implicit ruling in jurisprudence is that the constitutional
right to freedom of expression of members of the Bar
may be circumscribed by their ethical duties as lawyers to
give due respect to the courts and to uphold the publics
faith in the legal profession and the justice system. The
reason that freedom of expression may be so delimited in
the case of lawyers applies with greater force to the
academic freedom of law professors. It is not contested
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that respondent professors are, by law and jurisprudence,
guaranteed academic freedom and undisputably, they are
free to determine what they will teach their students and
how they will teach. But it must be pointed out that there
is nothing in the Show Cause Resolution that dictates
upon respondents the subject matter they can teach and
the manner of their instruction. Moreover, it is not
inconsistent with the principle of academic freedom for
the Court to subject lawyers who teach law to disciplinary
action for contumacious conduct and speech, coupled
with undue intervention in favor of a party in a pending
case, without observing proper procedure, even if
purportedly done in their capacity as teachers. (Re:
Letter of the UP Law Faculty entitled Restoring Integrity:
A statement by the Faculty of the University of the
Philippines College of Law on the allegations of
plagiarism and misrepresentation in the Supreme
Court, A.M. No. 10-10-4-SC, March 8, 2011).
CANON 12: A LAWYER SHALL EXERT EVERY
EFFORT AND CONSIDER IT HIS DUTY TO ASSIST IN
THE SPEEDY AND EFFICIENT ADMINISTRATION OF
JUSTICE.
Constitutional basis: All persons shall have the right to a
speedy disposition of their cases before all judicial, quasijudicial, or administrative bodies (Art. III, Sec. 16
Constitution).
The filing of another action concerning the same subject
matter, in violation of the doctrine of res judicata, runs
contrary to this Canon (John Siy Lim vs. Atty. Carmelito A.
Montano, A.C. No. 5653, February 27, 2006).
Rule 12.01 - A lawyer shall not appear for trial unless
he has adequately prepared himself on the law and
the facts of his case, the evidence he will adduce and
the order of its preference. He should also be ready
with the original documents for comparison with the
copies.
A newly hired counsel who appears in a case in the
midstream is presumed and obliged to acquaint himself
with all the antecedent processes and proceedings that
have transpired in the record prior to his takeover (Villasis
vs. Court of Appeals, 60 SCRA 120, 1974).
Rule 12.02 - A lawyer shall not file multiple actions
arising from the same cause.
Forum shopping:
The institution two or more actions or proceedings
grounded on the same cause, on the gamble that one or
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The most important factor in determining the existence
of forum shopping is the vexation caused the courts and
parties by a party who asks different courts to rule on the
same or related causes or grant the same or substantially
the same reliefs (Benguet Electric Cooperatve, Inc. v. Atty.
Ernesto B. Flores, A.C. No. 4058, March 12, 1998).
Penalties for violation of the rule against forum
shopping under Section 5, Rule 7 of the 1997 Rules of
Civil Procedure
1. Failure to comply with the requirements shall NOT be
curable by mere amendment of the complaint or other
initiatory pleading but shall be cause for dismissal of the
case without prejudice, unless otherwise provided, upon
motion and after hearing;
2. The submission of a false certification or noncompliance with any of the undertakings therein shall
constitute indirect contempt of court, without prejudice
to the corresponding administrative and criminal
actions; and
3. If the acts of the party or his counsel clearly constitute
willful and deliberate forum shopping, the same shall be
ground for summary dismissal with prejudice and shall
constitute direct contempt, as well as a cause for
administrative sanctions.
Note: The mere filing of several cases based on the same
incident does not necessarily constitute forum shopping.
The question is whether the several actions filed involve
the same transactions, essential facts and circumstances.
If they involve essentially different facts, circumstances
and causes of action, there is no forum shopping
(Paredes vs. Sandiganbayan, 252 SCRA 641, 1996).
General Rule: A certification against forum shopping must
be signed by the client and not by the counsel. Otherwise,
it is equivalent to non-compliance with the Rules of Court
and is defective (Far Eastern Shipping Co. v. CA and PPA,
G.R. No. 130068, October 1, 1998).
Exception: When the counsel attests in the certification
that he has personal knowledge of the facts stated and
gives justifiable reasons why the party himself cannot sign
the same (Ortiz v. CA, 299 SCRA 708, 1998).
Rule 12.03 - A lawyer shall not, after obtaining
extensions of time to file pleadings, memoranda or
briefs, let the period lapse without submitting the
same or offering an explanation for his failure to do
so.
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The lawyer who presented a witness knowing him to be a
false witness is criminally liable for Offering False
Testimony in Evidence under Art. 184.
The lawyer who is guilty of the above is both criminally
and administratively liable.
Subornation of perjury
It is committed by a person who knowingly and willfully
procures another to swear falsely and the witness
suborned does testify under circumstances rendering him
guilty of perjury (U.S. vs. Ballena, 18 Phil. 382)
Rule 12.07 - A lawyer shall not abuse, browbeat or
harass a witness nor needlessly inconvenience him.
It was highly inconsiderate for the prosecutor and the
defense counsel to trade quips at the precise time
Rowena was reliving her harrowing experience. Courts
are looked up to by the people with high respect and are
regarded as places where litigants are heard, rights and
conflicts are settled and justice solemnly dispensed. Levity
has no place in the courtroom during the examination of
the victim of rape, and particularly at her expense (People
v. Nuguid G.R. No. 148991, January 2004).
Rights and obligations of a witness under the Rules of
Court
A witness must answer questions, although his answer
may tend to establish a claim against him. However, it is
the right of a witness:
1. To be protected from irrelevant, improper, or insulting
questions, and from harsh or insulting demeanor;
2. Not to be detained longer than the interests of justice
require;
3. Not to be examined except only as to matters pertinent
to the issue;
4. Not to give an answer which will tend to subject him to a
penalty for an offense unless otherwise provided by law;
or
5.
Not to give an answer which will tend to
degrade his reputation, unless it to be the very fact at
issue or to a fact from which the fact in issue would be
presumed. But a witness must answer to the fact of his
previous final conviction for an offense (Rule 132, Sec.
3).
Rule 12.08 - A lawyer shall avoid testifying in behalf of
his client, except:
1. On formal matters, such as the mailing,
authentication or custody of an instrument, and the
like; or
2. On substantial matters, in cases where his
testimony is essential to the ends of justice, in
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which event he must, during his testimony, entrust
the trial of the case to another counsel.
Rationale: There is a difference between the function of a
witness and that of an advocate. A witness is to tell the
facts as he recalls them in answer to questions while an
advocate is a partisan. The lawyer will find it hard to
dissociate his relation to his client as an attorney and his
relation to the party as a witness (Jacobs v. Weissinger,
211 Mich. 47, 178 NW 65, 1920).
The question is one of propriety than competency.
While the law does not disqualify a lawyer from testifying,
the practice is violative of the rule on professional conduct
(Philippine National Bank v. Uy Teng Piao, 57 Phil 337,
1932).
Lawyer as witness
A lawyer shall avoid testifying in behalf of his client. The
function of a witness is to tell the facts as he recalls them
in answer to questions. The function of an advocate is that
of a partisan. It is difficult to distinguish between the zeal
of an advocate and the fairness and impartiality of a
disinterested witness.
Although the law does not forbid an attorney to be a
witness and at the same time an attorney in a cause, the
courts prefer that counsel should not testify as a witness
unless it is necessary, and that they should withdraw from
the active management of the case (PNB v. Uy Teng Piao,
57 Phil 337, 1932).
Instances when a lawyer MAY NOT testify as a witness
in a case which he is handling for a client
1. When such would adversely affect any lawful interest of
the client with respect to which confidence has been
reposed on him;
2. Having accepted a retainer, he cannot be a witness
against his client;
3. He cannot serve conflicting interests;
4. When he is to violate the confidence of his client; and
5. When as an attorney, he is to testify on the theory of the
case.
Instances when a lawyer MAY testify as a witness in a
case which he is handling for a client
1. On formal matters, such as the mailing, authentication
or custody of an instrument and the like;
2. Acting as an expert on his fee;
3. Acting as an Arbitrator;
4. Deposition; and
5. On substantial matters in cases where his testimony is
essential to the ends of justice, in which event he must,
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CANON 13: A LAWYER SHALL RELY UPON THE
MERITS OF HIS CAUSE AND REFRAIN FROM ANY
IMPROPRIETY WHICH TENDS TO INFLUENCE, OR
GIVES THE APPEARANCE OF INFLUENCING THE
COURT.
Rule 13.01 - A lawyer shall not extend extraordinary
attention or hospitality to, nor seek opportunity for
cultivating familiarity with Judges.
Rationale: To protect the good name and reputation of the
judge and the lawyer
Lawyers should not seek for opportunity to cultivate
familiarity with judges. A lawyer who resorts to such
practices of seeking familiarity with judges dishonors his
profession and a judge who consents to them is unworthy
of his high office.
It is improper for a litigant or counsel to see a judge in
chambers and talk to him about a matter related to the
case pending in the court of said judge (Austria vs.
Masaquel, 20 SCRA 1247, 1967).
HOWEVER, it is not incumbent on a lawyer to refuse
professional employment in a case because it may be
heard by a judge who is his relative, compadre or former
colleague. The responsibility is on the judge not to sit in a
case unless he is both free from bias and from the
appearance thereof (Bautista v. Rebueno, 81 SCRA 535,
1978).
Rule 13.02 - A lawyer shall not make public statements
in the media regarding a pending case tending to
arouse public opinion for or against a party.
The subjudice rule governs what public statements,
whether orally or in published writings, can be made about
matters pending in legal proceedings before the courts.
The rule applies where court proceedings are ongoing,
and through all stages of appeal until the matter is
completed. It is not limited to parties in a case or their
lawyers. It applies as well to the public and public officials
including legislators (Funa, Legal and Judicial Ethics,
2009, p. 213).
Making public statements in the media regarding
a pending case which tends to arouse public opinion for or
against a party may also constitute indirect contempt
under Section 3 of Rule 71 of the Rules of Court (Funa,
Legal and Judicial Ethics, 2009, p. 214).
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3. He cannot purchase his clients property or interest in
litigation.
4. The privacy of communications shall at all times be
upheld.
5. An attorney cannot represent a party whose interest is
adverse to that of his client even after the termination of
the relation.
Creation of relation: forms of employment as counsel
to a client
1.
Oral when the counsel is employed without a
written agreement, but the conditions and amount of
attorneys fees are agreed upon.
2.
Express when the terms and conditions
including the amount of fees, are explicitly stipulated in
a written document which may be a private or public
document. Written contract of attorneys fees is the law
between the lawyer and the client.
3.
Implied when there is no agreement, whether
oral or written, but the client allowed the lawyer to
render legal services not intended to be gratuitous
without objection, and the client is benefited by reason
thereof.
Note: While a written agreement for professional services
is the best evidence to show the relation, formality is not
an essential element of the employment of an attorney.
The absence of a written contract will not preclude a
finding that there is a professional relationship.
Documentary formalism is not an essential element in the
employment of an attorney; the contract may be express
or implied.
Advantages of a written contract between the lawyer
and the client:
1. It is conclusive as to the amount of compensation.
2. In case of unjustified dismissal of an attorney, he shall
be entitled to recover from the client full compensation
stipulated in the contract (RA 636).
CANON 14: A LAWYER SHALL NOT REFUSE HIS
SERVICES TO THE NEEDY.
Rule 14.01 A lawyer shall not decline to represent a
person solely on account of the latters race, sex,
creed or status of life, or because of his own opinion
regarding the guilt of said person.
Right to decline employment
General Rule: A lawyer is not obliged to act as legal
counsel for any person who may wish to become his
client. He has the right to decline employment.
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Exceptions:
1. A lawyer shall not refuse his services to the
needy (Canon 14);
2. He shall not decline to represent a person solely on
account of the latters race, sex, creed or status of life or
because of his own opinion regarding the guilt of said
person (Rule 14.01);
3. Neither shall he decline, except for serious and
sufficient cause, an appointment as counsel de oficio or
amicus curiae or a request from the IBP or any of its
chapters for rendition of free legal aid (Rule 14.02);
4. He shall not decline, except for serious and sufficient
cause like (1) if he is not in a position to carry out the
work effectively or competently; (2) if he labors under a
conflict of interest between him and the prospective
client or between a present client and the prospective
client (Rule 14.03).
Duty to decline employment
A lawyer SHOULD decline professional employment
regardless of how attractive the fee offered may be if its
acceptance will involve:
1. A violation of any of the rules of the legal profession;
2. Nullification of a contract which he prepared;
3. Advocacy in any matter in which he had intervened
while in the government service;
4. Employment, the nature of which might easily be used
as a means of advertising his professional services or
his skill;
5. Employment with a collection agency, which solicits
business to collect claims; and
6. Any matter in which he knows or has reason to believe
that he or his partner will be an essential witness for the
prospective client.
Reasons
1. The attorneys signature in every pleading constitutes a
certificate by him that there is good cause to support it
and that it is not interposed for delay and willful violation
of such rule shall subject him to disciplinary action.
2. It is the attorneys duty to counsel or maintain such
actions or proceedings only as appear to him to be just
and only such defenses as he believes to be honestly
debatable under the law.
3. A lawyer is not to encourage either the commencement
or the continuance of an action or proceeding, or delay
any mans cause, for any corrupt motive or interest.
4. A lawyer must decline to conduct a civil cause or to
make a defense when convinced that it is intended
merely to harass or injure the opposite party or to work
oppression or wrong.
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If he were to take a bad civil case for the plaintiff, it will
only be to advise him not to file the action or to settle it
with the client.
If he were to accept the defense of a bad civil case for the
defendant, it will either be to exert his best effort toward a
compromise or to tell his client to confess judgment.
Rule 14.02 - A lawyer shall not decline, except for
serious and sufficient cause, an appointment as
counsel de officio or as amicus curiae, or a request
from the Integrated Bar of the Philippines or any of its
chapters for rendition of free legal aid.
Rule 14.03 - A lawyer may not refuse to accept
representation of an indigent client if:
a. He is not in a position to carry out the work
effectively or competently;
b.He labors under a conflict of interest between him
and the prospective client or between a present
client and the prospective client.
Any of the following may constitute a sufficient cause
under Rule 14.02:
1. 1. It is believed that it is a sufficient cause where the
lawyer cannot handle the matter competently; or
2. In case of conflict of interest (Funa, Legal and Judicial
Ethics, 2009, p.226); or
3. Where the lawyer is to incur out-of-pocket expenses
for investigation costs, fees for witnesses, unable to
continue his private practice [Brown v. Board of County
Commissioners, 451 P.2d 708 (Nev. 1969(].
Rule 14.04 - A lawyer who accepts the cause of a
person unable to pay his professional fees shall
observe the same standard of conduct governing his
relations with paying clients.
Rule on Mandatory Legal Aid Service (B.M. No. 2012)
Pursuant to an en banc Resolution of the Supreme Court,
this Rule took effect on January 1, 2010, provided its
implementing regulations have been published prior to the
said date.
Purpose
To enhance the duty of lawyers to society as agents of
social change and to the courts as officers thereof by
helping improve access to justice by the less privileged
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month, the excess hours may be credited to the said
lawyer for the succeeding periods.
2. The practicing lawyer shall report compliance with the
requirement within ten (10) days of the last month of
each quarter of the year.
3. A practicing lawyer shall be required to secure and
obtain a certificate from the Clerk of Court attesting to
the number of hours spent rendering free legal aid
services in a case.
4. Said compliance report shall be submitted to the Legal
Aid Chairperson of the IBP Chapter within the courts
jurisdiction.
5. The IBP Chapter shall, after verification, issue a
compliance certificate to the concerned lawyer. The IBP
Chapter shall also submit the compliance reports to the
IBPs National Committee on Legal Aid (NCLA) for
recording and documentation.
6. Practicing lawyers shall indicate in all pleadings filed
before the courts or quasi-judicial bodies the number
and date of issue of their certificate of compliance for
the immediately preceding compliance period.
Penalties
1. At the end of every calendar year, any practicing lawyer
who fails to meet the minimum prescribed 60 hours of
legal aid service each year shall be required by the IBP,
through the NCLA, to explain why he was unable to
render the minimum prescribed number of hours.
2. If no explanation has been given or if the NCLA finds
the explanation unsatisfactory, the NCLA shall make a
report and recommendation to the IBP Board of
Governors that the erring lawyer be declared a member
of the IBP who is not in good standing.
3. Upon approval of the NCLAs recommendation, the IBP
Board of Governors shall declare the erring lawyer as a
member not in good standing.
4. The notice to the lawyer shall include a directive to pay
four thousand pesos P4,000 as penalty which shall
accrue to the special fund for the legal aid program of
the IBP.
5. The "not in good standing" declaration shall be effective
for a period of three (3) months from the receipt of the
erring lawyer of the notice from the IBP Board of
Governors.
6. During the said period, the lawyer cannot appear in
court or any quasi-judicial body as counsel.
7. Provided, however, that the "not in good standing"
status shall subsist even after the lapse of the threemonth period until and unless the penalty shall have
been paid.
8. Any lawyer who fails to comply with his duties under this
Rule for at least three (3) consecutive years shall be
the subject of disciplinary proceedings to be instituted
motu proprio by the Committee on Bar Discipline.
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Free Legal Assistance Act of 2010 (R.A. No. 9999)
Purposes
1. To guarantee free legal assistance to the poor, and
2. To ensure that every person who cannot afford the
services of a counsel is provided with a competent and
independent counsel preferably of his/her own choice.
Legal services to be performed by a lawyer
Any activity which requires the application of law, legal
procedure, knowledge, training and experiences which
shall include, among others, legal advice and counsel,
and the preparation of instruments and contracts,
including appearance before the administrative and quasijudicial offices, bodies and tribunals handling cases in
court, and other similar services as may be defined by the
Supreme Court.
Requirements for availment
To avail of the benefits and services as envisioned in this
Act, the following requirements should be met:
1. A lawyer or professional partnership shall secure a
certification from the Public Attorney's Office (PAO), the
Department of Justice (DOJ) or accredited association
of the Supreme Court indicating that the said legal
services to be provided are within the services defined
by the Supreme Court, and that the agencies cannot
provide the legal services to be provided by the private
counsel.
2. To determine the number of hours actually provided by
the lawyer and/or professional firm in the provision of
legal services, the association and/or organization duly
accredited by the Supreme Court shall issue the
necessary certification that said legal services were
actually undertaken.
3. The certification issued by, among others, the PAO, the
DOJ and other accredited association by the Supreme
Court shall be submitted to the BIR for purposes of
availing the tax deductions and to the DOJ for purposes
of monitoring.
Incentives to Lawyers
A lawyer or professional partnerships rendering actual free
legal services, as defined by the Supreme Court, shall be
entitled to an allowable deduction from the gross income,
the amount that could have been collected for the actual
free legal services rendered or up to ten percent (10%) of
the gross income derived from the actual performance of
the legal profession, whichever is lower: Provided, That
the actual free legal services herein contemplated shall be
exclusive of the minimum sixty (60)-hour mandatory legal
aid services rendered to indigent litigants as required
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CANON 15: A LAWYER SHALL OBSERVE CANDOR,
FAIRNESS AND LOYALTY IN ALL HIS DEALINGS AND
TRANSACTIONS WITH HIS CLIENTS.
It demands of an attorney an undivided allegiance, a
conspicuous and high degree of good faith,
disinterestedness, candor, fairness, loyalty, fidelity and
absolute integrity in all his dealings and transactions with
his clients and an utter renunciation of every personal
advantage conflicting in any way, directly or indirectly, with
the interest of his client (Oparel, Sr. vs. Abara, 40 SCRA
128, 1971).
If they find that their clients cause is defenseless, then it
is their bounden duty to advise the latter to acquiesce and
submit, rather than to traverse the incontrovertible
(Consorcia S. Rollon vs. Atty. Camilo Naraval, A.C. No.
6424, March 4, 2005).
Rule 15.01 - A lawyer, in conferring with a prospective
client, shall ascertain as soon as practicable whether
the matter would involve a conflict with another client
or his own interest, and if so, shall forthwith inform
the prospective client.
Rule 15.02 A lawyer shall be bound by the rule on
privileged communication in respect of matters
disclosed to him by a prospective client.
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applicable however slight such adverse interest may be;
the fact that the conflict of interests is remote or merely
probable does not make the prohibition inoperative
(Pormento v. Pontevedra A.C. 5128, March 2005).
Rationale: To bar the dishonest practitioner from
fraudulent conduct and to prevent the honest practitioner
from putting himself in a position where he may be
required to choose between conflicting duties
Exceptions to the rule against representation of
conflicting interests
1. Where no conflict of interest exists;
2. Where clients knowingly consent to the dual
representation; and
3. Where no true attorney-client relationship is
attendant.
Tests to determine conflicting interests
1. Conflicting Duties: Will the attorney be required to
contest for that which his duty to another client requires
him to oppose?
2. Invitation of Suspicion: Will the acceptance of a new
relation invite suspicion and/or actually lead to
unfaithfulness or double-dealing towards another client?
3. Use of prior knowledge obtained: Will the attorney be
called upon in his new relation to use against his first
client any knowledge acquired in the previous
employment?
This pertains to those cases in which the adverse party
against whom the attorney appears is his former client
in a matter which is related, directly or indirectly, to the
present controversy
This rule covers NOT ONLY cases in which confidential
communications have been confided, BUT ALSO those
in which no confidence has been bestowed or will be
used.
A lawyers immutable duty to a former client does NOT
COVER transactions that occurred beyond the lawyers
employment with the client. The intent of the law is to
impose upon the lawyer the duty to protect the clients
interests only on matters that he previously handled for
the former client and not for matters that arose after the
lawyer-client relationship has terminated (Ruthie LimSantiago vs. Atty. Carlos B. Sagucio, A.C. No. 6705,
March 31, 2006).
It is inconsequential that petitioner never questioned the
propriety of respondents continued representation of
Rodriguez. The lack of opposition does not mean tacit
consent. As long as the lawyer represents inconsistent
interests of two or more opposing clients, he is guilty of
CODE OF PROFESSIONAL
RESPONSIBILITY
violating his oath (San Jose Homeowners Association,
Inc. vs. Romanillos, A.C. No. 5580, June 15, 2005).
Instances when a lawyer is considered having
conflicting duties
1. As an employee of a corporation whose duty is to
attend to its legal affairs, he cannot join a labor union of
employees in that corporation;
2. As a lawyer who investigated an accident as counsel for
insurance, he cannot represent the injured person;
3. As a receiver of a corporation, he cannot represent the
creditor;
4. As a representative of the obligor, he cannot represent
the obligee; and
5. As a lawyer representing a party in a compromise
agreement, he cannot, subsequently, be a lawyer
representing another client who seeks to nullify the
agreement.
Effects of representing adverse interests
1. Disqualification as counsel of new client on petition of
former client;
2. Where such is unknown to, and becomes prejudicial to
the interests of the new client, a judgment against such
may, on that ground, be set aside;
3. A lawyer can be held administratively liable through
disciplinary action and may be held criminally liable for
betrayal of trust; and
4. The attorneys right to fees may be defeated if found to
be related to such conflict and such was objected to by
the former client, or if there was a concealment and
prejudice by reason of the attorneys previous
professional relationship with the opposite party.
Effect of termination of relation
Termination of relation provides no justification for a
lawyer to represent an interest adverse to or in conflict
with that of the former client (San Jose v. Cruz, 57 Phil.
79, 1949).
Rationale: The clients confidence once reposed cannot
be divested by the expiration of the professional
employment (Hilado v. David, 84 Phil. 569, 1949).
Note: A lawyer is forbidden from representing a
subsequent client against a former client only when the
subject matter of the present controversy is related,
directly or indirectly, to the subject matter of the previous
litigation in which he appeared to the former client
(Nombrado v. Hernandes, 26 SCRA 13, 1968).
The rule likewise applies to law firms. Where a lawyer
is disqualified from appearing as counsel in a case
because of conflict of interests, the law firm of which he is
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CODE OF PROFESSIONAL
RESPONSIBILITY
a member as well as any member, associate or assistant
therein is similarly disqualified or prohibited from so acting
(Hilado v. David, 84 Phil. 569, 1949).
A lawyer is not barred from dealing with his client but the
business transaction must be characterized with utmost
honesty and good faith. Business transactions between an
attorney and client are disfavored and discouraged by
policy of law because by virtue of a lawyers office, he is in
an easy position to take advantage of the credulity and
ignorance of his client. Thus, there is no presumption of
innocence or improbability of wrongdoing in favor of
lawyers (Nakpil vs. Valdez, A.C. No. 2040, March 4,
1998).
and
possible
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However, he shall have a lien on the funds and may
apply so much thereof as may be necessary to satisfy
his lawful fees and disbursements, giving notice
promptly thereafter to his client. He shall also have a
lien to the same extent on all judgments and the
execution he has secured for his client as provided
for in the Rules of Court.
A lawyer is not entitled to unilaterally appropriate his
clients money for himself by the mere fact alone that the
client owes him attorneys fees (Rayos v. Hernandez,
G.R. No. 169079, February 12, 2007).
Rule 16.04 - A lawyer shall not borrow money from his
client unless the client's interests are fully protected
by the nature of the case or by independent advice.
Neither shall a lawyer lend money to a client except,
when in the interest of justice, he has to advance
necessary expenses in a legal matter he is handling
for the client.
A lawyer who takes advantage of his clients financial
plight to acquire the latters properties for his own benefit
is destructive of the confidence of the public in the fidelity,
honesty and integrity of the legal profession (Hernandez,
Jr. v. Go, A.C.No. 1526, January 2005).
Prohibitions under Rule 16.05
1. Lawyer borrowing money from client
Rationale: To prevent lawyer from taking advantage of
his influence over the client
2. Lawyer lending money to client
Rationale: To assure the lawyers independent
professional judgment (Comments of the IBP
Committee).
Prohibition against purchase of property in litigation
under the Civil Code
Art. 1491: The following persons cannot acquire by
purchase, even at a public or judicial auction, either in
person or through the mediation of another:
Xxx
(5) Justices, judges, prosecuting attorneys, clerks of
superior and inferior courts, and other officers and
employees connected with the administration of justice,
the property and rights in litigation or levied upon an
execution before the court within whose jurisdiction or
territory they exercise their respective functions; this
prohibition includes the act of acquiring by assignment
and shall apply to lawyers, with respect to the property
and rights which may be the object of any litigation in
which they may take part by virtue of their profession.
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Prohibition is absolute and permanent, and rests on
considerations of public policy and interest. There is no
need to show fraud and no excuse will be heard. Law
does not trust human nature to resist temptation likely to
arise.
Elements of Prohibition
1. There is an attorney-client relationship;
2. The property is in litigation;
3. The attorney is the counsel of record in the case; and
4. The attorney, by himself or through an agent, purchases
such property during the pendency of said case
Other instances where prohibition is applicable
Redemption, compromise and renunciation of the subject
in litigation (Art. 1492, NCC).
Lease of the subject in litigation (Art.1646, NCC).
Instances where prohibition is INAPPLICABLE:
1. Where the property purchased by a lawyer was not
involved in litigation;
2. Where the sale took place before it became involved in
the suit;
3. Where the attorney at the time of the purchase was not
the counsel in the case;
4. Where the purchaser of the property in litigation was a
corporation even though the attorney was an officer
thereof;
5. Where the sale took place after the termination of the
litigation;
6. A lawyer may accept an assignment from his client of a
money judgment rendered in the latters favor in a case
in which he was not counsel, in payment of his
professional services performed in another case; and
7. In a contract for attorneys fees which is contingent
upon the outcome of the litigation.
A lawyer may borrow money from a client bank for here,
the clients interests are fully protected by the banks rules
and regulations which have to be complied with. A lawyer
is allowed to borrow money from his client provided the
interests of the client are fully protected by the nature of
the case or by independent advice (Pineda, Legal Ethics,
2009, p. 283).
CANON 17: A LAWYER OWES FIDELITY TO THE
CAUSE OF HIS CLIENT AND HE SHALL BE MINDFUL
OF THE TRUST AND CONFIDENCE REPOSED IN HIM.
Good moral character expresses itself in the will to do the
unpleasant thing if it is right and the resolve not to do the
pleasant thing if it is wrong (Cordon v. Balicanta, A.C. No.
2797, October 4, 2002).
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RESPONSIBILITY
Diligence: The attention and care required of a person in
a given situation and is the opposite of negligence
(Edquibal v. Ferrer, A.C. No. 5687, February 2005).
It is axiomatic in the practice of law that the price of
success is eternal diligence to the cause of the client.
Ordinary pater familias and not extraordinary diligence is
required (Edquibal v. Ferrer, supra).
A lawyer is presumed to be diligent in the performance of
his duties (People vs. Mantawar, 80 Phil 817).
Duty to protect the clients interests
Rule 18.01 - A lawyer shall not undertake a legal
service which he knows or should know that he is not
qualified to render. However, he may render such
service if, with the consent of his client, he can obtain
as collaborating counsel a lawyer who is competent
on the matter.
A lawyers acceptance of a case is an implied
representation that he possesses the requisite degree of
academic learning, skill and ability in his practice (Azor v.
Beltran, A.C. No. 1054, March 25, 1975).
General Rule: A lawyer should not accept a case which
he knows or should know he is not qualified to render.
Exception: If his client consents, the lawyer can take as
collaborating counsel another lawyer competent on the
matter.
Collaborating counsel
One who is subsequently engaged to assist a lawyer
already handling a particular case for a client (Pineda,
Legal and Judicial Ethics, 2009, p. 291.
The fiduciary nature of attorney-client relationship
prohibits a lawyer from collaborating with another in a
particular case without the consent of the client (Agpalo,
Comments on the Code of Professional Responsibility
and the Code of Judicial Connduct, 2004, p. 291).
The same diligence of the first counsel is required of the
collaborating counsel (Sublay v. NLRC, 324 SCRA 188).
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communicate with him concerning the withdrawal of
appeal with all its adverse consequences. The client is
entitled to the fullest disclosure of the mode or manner by
which his interest is defended.
Respondent Atty. Ga breached the duties imposed by
Rules 18.03 and 18.04 when he failed to reconstitute or
turn over the records of the case to his client, herein
complainant Gone. His negligence manifests lack of
competence and diligence required of every lawyer. His
failure to comply with the request of his client was a gross
betrayal of his fiduciary duty and a breach of the trust
reposed upon him by his client. Respondents sentiments
against complainant Gone is not a valid reason for him to
renege on his obligation as a lawyer. The moment he
agreed to handle the case, he was bound to give it his
utmost attention, skill and competence. Those who
perform that duty with diligence and candor not only
safeguard the interests of the client, but also serve the
ends of justice (Patricio Gone v. Atty. Macario Ga, A.C.
No. 7771, April 6, 2011).
Doctrine of imputed knowledge
(Notice to Counsel is Notice to Client)
The knowledge acquired by an attorney during the time
that he is acting within the scope of his authority is
imputed to the client (Ramirez v. Sheriff of Pampanga, 75
Phil 462).
Basis: An attorney, who has notice of matter affecting his
client, has communicated the same to his principal in the
course of professional dealings.
The doctrine applies regardless of whether or not the
lawyer actually communicated to the client what he
learned in his professional capacity, the attorney and his
client being, in legal contemplation, one juridical person
(Agpalo, Legal and Judicial Ethics, 2009, p.350).
Exceptions
1. If strict application might foster dangerous collusion to
the detriment of justice;
2. If service of notice upon party instead of upon his
attorney is ordered by court;
3. If notice of pre-trial is required to be served upon parties
and their respective lawyers; and
4. In appeal from the lower court to the RTC, upon
docketing of appeal. Failure to appeal to CA despite
instructions by the client to do so constitutes
inexcusable negligence on the part of the counsel.
Canon 18, Rule 18.04 of the Code of Professional
Responsibility requires a lawyer to keep his client
informed of the status of the case and respond within a
CODE OF PROFESSIONAL
RESPONSIBILITY
reasonable time to the clients request for information
(Abiero vs. Juanino, A.C. No. 5302, February 2005).
Duty when the accused intends to plead guilty
A plea of guilty is an admission by the accused of his guilt
of crime as charged in the information and of the truth of
the facts alleged, including the qualifying and aggravating
circumstances.
It is the duty of the defense counsel when his client
desires to enter a plea of guilty to: (ACEPA)
1. Fully Acquaint himself with the records and surrounding
circumstances of the case;
2. Confer with the accused and obtain from him his
account of what had happened;
3. Thoroughly Explain to him the import of a guilty plea
and the inevitable conviction that will follow;
4. See to it that the prescribed Procedure which
experience has shown to be necessary to the
administration of justice is strictly followed and disclosed
in the court records; and
5. Advise him of his constitutional rights.
Duty to comply with the clients lawful request
A lawyer should endeavor to seek instruction from his
client on any substantial matter concerning the litigation,
which may require decision on the part of the client, such
as whether to compromise the case or to appeal an
unfavorable judgment. He should give his client sound
advice on any such and similar matters and comply with
the clients lawful instructions relative thereto. He should
resist and should never follow any unlawful instruction of
his client.
CANON 19: A LAWYER SHALL REPRESENT HIS
CLIENT WITH ZEAL WITHIN THE BOUNDS OF THE
LAW.
In the discharge of his duty of entire devotion to the
clients cause, a lawyer should present every remedy or
defense authorized by law in support of his clients cause,
regardless of his personal views (Legarda vs. Court of
Appeals, 195 SCRA 418, 1991).
While a lawyer owes absolute fidelity to the cause of his
client, full devotion to his genuine interest, and warm zeal
in the maintenance and defense of his rights, he must do
so only within the bounds of law (Choa vs. Chiongson,
260 SCRA 477, 1996).
A lawyers duty is not to his client but to the administration
of justice; to that end, his clients success is wholly
subordinate and his conduct ought to and must always be
unscrupulously observant of law and ethics (Magsalang
vs. People, 190 SCRA 306).
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CODE OF PROFESSIONAL
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Duty to restrain client from impropriety
Authority of a lawyer
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accepts benefits of representation or fails to promptly
repudiate the assumed authority.
Requisites for implied ratification by silence
1. Party represented by lawyer must be of age, competent
or if suffers from disability, has a guardian or legal
representative;
2. Party or guardian is aware of attorneys representation;
and
3. He fails to promptly repudiate assumed authority.
Authority of attorney in the conduct of litigation
1. A lawyer has authority to bind the client in all matters of
ordinary judicial PROCEDURE. He can bind his client
on SUBSTANTIAL MATTERS only with the clients
express or implied consent.
2. A client may waive, surrender, dismiss, or compromise
any of his rights involved in litigation in favor of the other
party even without or against the consent of his
attorney.
Even if a lawyer believes that the appeal of his client is
frivolous, he cannot move to dismiss the appeal without
the consent of his client. His remedy is to withdraw from
the case (People v. Pagaro, Minute Resolution, G.R. No.
930026-27, July 24, 1991).
CODE OF PROFESSIONAL
RESPONSIBILITY
knowledge, or consent, even though he has agreed with
his attorney not to do so. Hence, a claim for attorneys
fees does not void the compromise agreement and is no
obstacle
to
a
court
approval
(Atty. Mangontawar M. Gubat v. NAPOCOR, G.R. No.
167415. February 26, 2010).
Mistakes or negligence of lawyer binding upon client
General rule: Client is bound by attorneys conduct,
negligence and mistake in handling case or in
management of litigation and in procedural technique, and
he cannot be heard to complain that result might have
been different had his lawyer proceeded differently
(Vivero v. Santos, 98 Phil 500, 1956).
Exceptions:
1. Where adherence thereto results in outright deprivation
of clients liberty or property or where interest of justice
so requires;
2. Where error by counsel is purely technical which does
not substantially affect the clients cause;
3. Ignorance, incompetence or inexperience of a lawyer is
so great and error so serious that client, who has good
cause, is prejudiced and denied a day in court;
4. Gross negligence of lawyer; and
5. Lack of acquaintance with technical part of procedure.
Authority to compromise
ATTORNEYS FEES
Compromise
A contract whereby the parties, by making reciprocal
concessions, avoid litigation or put an end to one already
commenced (Art. 2028 NCC).
General rule: The attorney has NO authority to
compromise his clients case (Rule 138 Sec 23 RRC).
Reason: The client, even if represented by counsel,
retains exclusive control over the subject matter of the
litigation. The client can, of course, authorize his lawyer to
compromise his case, and the settlement made by the
lawyer will bind his client.
Exception: Where the lawyer is confronted with an
emergency and prompt, urgent action is necessary to
protect the interest of his client and there is no opportunity
for consultation with him.
A client has an undoubted right to settle a suit without the
intervention of his lawyer, for he is generally conceded to
have the exclusive control over the subject-matter of the
litigation and may, at any time before judgment, if acting in
good faith, compromise, settle, and adjust his cause of
action out of court without his attorneys intervention,
CODE OF PROFESSIONAL
RESPONSIBILITY
Requisites for the right to attorneys fees
1. Existence of attorney-client relationship.
2. Rendition by the lawyer of services to the client.
Two concepts of attorneys fees
1. Ordinary: the reasonable compensation paid to the
lawyer for the legal services he had rendered in favor of
his client. The basis of this compensation is the fact of
employment by the client.
2. Extraordinary: an indemnity for damages ordered by
the court to be paid by the losing party to the prevailing
party in a litigation. The basis of this is any of the cases
authorized by law and is payable not to the lawyer but
to the client unless there is an agreement that the
award shall pertain to the lawyer as an additional
compensation or as part thereof.
The expiration of the retainer contract between the parties
during the pendency of the labor case does not extinguish
the respondents right to attorneys fees (Uy v. Gonzales
A.C. No. 5280, March 2004).
Attorneys fees as damages
General rule: Attorneys Fees as damages is not
recoverable because it is not the fact of winning that ipso
facto justifies the award but the attendance of any of the
special circumstances.
Exceptions
1. There is an agreement;
2. Exemplary damages are awarded;
3. Defendants action or omission in gross bad faith
compelled plaintiff to litigate;
4. In criminal cases of malicious prosecution
a. Defendant was acquitted
b. Person who charged him knowingly made the false
statement of facts or that the filing was prompted by
sinister design to vex him;
5. Action is clearly unfounded and is so untenable that it
amounts to gross bad faith;
6. Actions for support;
7. Cases for the recovery of wages;
8. Defendant acted in gross and evident bad faith;
9. In actions for indemnity under workmens compensation
and employees liability laws;
10.In separate civil action arising from a crime;
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Situations when Counsel Cannot Recover the Full
Amount, despite a Written Contract for Attorneys
Fees.
1. Services are not performed; as when the counsel
withdrew before the case is finished, except when
withdrawal is justified.
2. Justified dismissal of the attorney. Payment will be
based on quantum meruit (Cristobal vs. Ocson, 44 Phil
489).
3. Stipulated Attorneys fees are unconscionable(Cruz
vs. CIR, 8 SCRA 826).
4. Stipulated Attorneys fees are in excess of what is
expressly fixed by law; under the Labor Code,
Attorneys fees cannot exceed 10%.
5. When the lawyer is guilty of fraud or bad faith toward
his client in the matter of his employment (Medina vs.
Bautista, 12 SCRA 1).
6. Counsels services were worthless because of his
negligence (Delos Santos vs. Palanca, 8 SCRA 765).
7. Contract of employment is illegal.
8. Serving adverse interest, unless he acted with the
consent of both parties.
QUANTUM MERUIT
This means as much as the lawyer deserves or such
amount as his services merit; fixed by the court (Agpalo,
Comments on Code of Professional Responsibility and
the Code of Judicial Conduct, 2004, p. 285).
The principle of quantum meruit applies if a lawyer is
employed without a price agreed upon for his services in
which case he would be entitled to receive what he merits
for his services, as much as he has earned (Quilban vs.
Robinol, A.M. No. 2144, April 10, 1989).
Rationale: To prevent undue enrichment
Some instances of recovery of attorneys fees on the
basis of Quantum Meruit (FUN-DDV)
1. There is no express contract for payment of attorneys
fees agreed upon between the lawyer and the client;
2. When although there is a formal contract for attorneys
fees, the fees stipulated are found unconscionable;
3. When the contract for attorneys fees is void due to
purely formal defects of execution;
4. When, for justifiable cause, the lawyer was not able to
finish the case;
5. When the lawyer and the client disregarded the contract
for fees (Rilloraza et al. v. Eastern Telecommunications
Phils. Inc. et al., G.R. No. 104600, July 2, 1999); and
6. When the client dismissed his counsel before the
termination of the case (Agpalo, Legal and Judicial
Ethics, p. 389).
CODE OF PROFESSIONAL
RESPONSIBILITY
Guides for determining attorneys fees on the basis of
Quantum Meruit: (TINSP2AC3)
1. Time spent and extent of the services rendered or
required
A lawyer may charge higher fees when the case is
complicated and requires more time and effort.
2. Importance of subject matter
The more important the subject matter or the bigger the
value of the interest of property in litigation, the higher is
the attorneys fees.
3. Novelty and difficulty of questions involved
4. Skill demanded of a lawyer
A lawyer of great skill justifies a higher fee than an
ordinary practitioner.
5. Probability of losing other employment
A lawyer may charge a higher fee if by reason of his
retention as counsel by a client, he loses the chance of
employment by the opposite party because of the
prohibition against representing conflicting interests.
6. Customary charges for similar services and schedule
fees of IBP
7. Amount involved in the controversy and benefits
resulting to the client from the service
8. Contingency or certainty of compensation
9. Character of employment
A lawyer generally charges a higher fee from a
casual client than from a constant client.
10.Professional standing of the lawyer.
Attorneys liens
Charging lien
An equitable right to have the fees and lawful
disbursements due a lawyer for his services in a suit
secured to him out of the judgment for the payment of
money and executions issued in pursuance thereof in the
particular suit(Bacolod Murcia Milling Co. v. Hernaes, 107
Phil. 16, 1936).
A charging lien, to be enforceable as a security for the
payment of attorneys fees, requires as a condition sine
qua non a judgment for money and execution in
pursuance of such judgment secured in the main action by
the attorney in favor of his client (Metrobank v. CA G.R.
No.86100-03, January 1990).
Requisites for enforceability of charging lien (CAMS2)
1. An attorney-client relationship;
2. The attorney has rendered services;
3. Favorable money judgment secured by the counsel for
his client;
LEGAL ETHICS
CODE OF PROFESSIONAL
RESPONSIBILITY
4. The attorney has a claim for attorneys fees or
advances; and
5. A statement of the claim has been duly recorded in the
case with notice thereof served upon the client and the
adverse party.
Effects of a valid charging lien
1. Becomes a collateral security on real or personal
property
2. Follows the proceeds of the judgment obtained for the
client in the case wherever they may be and whoever
received them
3. Enjoys preference of credit over that of a creditor who
subsequently recorded it
4.
Gives the lawyer standing to protest its
prejudicial discontinuance by the client (Agpalo, Legal
and Judicial Ethics, 2009, pp.457-458).
Assignment of charging lien
General Rule: May be assigned or transferred without
preference thereof being extinguished
possession of
the attorney by
reason of his
professional
employment.
Effectivity
As soon as the
attorney gets
possession of
the
papers,
documents, or
property.
Notice
Applicability
May
be
exercised
before
judgment or
execution or
regardless
thereof.
Extinguishment
When
possession
lawfully ends,
as when the
lawyer
voluntarily
parts with the
funds,
documents
and papers,
but NOT when
the documents
have
been
improperly or
illegally taken
from lawyers
custody
(Agpalo, Legal
and Judicial
Ethics, 2009,
p. 450).
Basis
Coverage
Retaining
Lien
Passive Lien. It
cannot
be
actively
enforced. It is
a general lien.
Lawful
possession of
papers,
documents,
property
belonging to
the client.
Covers papers,
documents,
and properties
in the lawful
Charging Lien
Active Lien. It
can be enforced
by execution. It
is a special lien.
Securing of a
favorable money
judgment for the
client.
Covers
all
judgments for
the payment of
money
and
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execution
issued
in
pursuance
of
such judgments;
proceeds
of
judgment
in
favor of client;
proceeds
of
compromise
settlement.
As soon as the
claim
for
attorneys fees
had
been
entered into the
records of the
case.
Notice must be
served
upon
client
and
adverse party.
Generally,
exercisable only
when
the
attorney
had
already secured
a
favorable
judgment for his
client.
CHAMPERTOUS CONTRACT
One where the lawyer stipulates with his client that in the
prosecution of the case, he will bear all he expenses for
LEGAL ETHICS
the recovery of things or property being claimed by the
client, and the latter agrees to pay the former a portion of
the thing or property recovered as compensation. It is
VOID for being against public policy.
Contingent Contract
Contingent
fee
payable in cash
is
Champertous
Contract
Payable in kind ONLY
Lawyers do
not Lawyers undertake to
undertake to pay all pay all expenses of
expenses of litigation
litigation
Valid
Void
CODE OF PROFESSIONAL
RESPONSIBILITY
Exceptions
1. To prevent imposition;
2. To prevent injustice; and
3. To prevent fraud.
Effect of nullity of contract on the right to attorneys
fees
1. If the nullification is due to the illegality of its object, the
lawyer is precluded from recovering; and
2. If the nullity is due to a formal defect or because the
court has found the amount to be recovered is
unconscionable, the lawyer may recover for any
services rendered based on quantum meruit.
When and where may a claim of fees be asserted?
1. The very action in which the services in question have
been rendered, OR
2. In a separate civil action
Instances when an independent civil action to recover
attorneys fees is necessary
1. Main action is dismissed or nothing is awarded;
2. Court has decided that it has no jurisdiction over the
action or has already lost it;
3. Person liable for attorneys fees is not a party to the
main action;
4. Court reserved to the lawyer the right to file a separate
civil suit for recovery of attorneys fees;
5. Services for which the lawyer seeks payment are not
connected with the subject litigation; and
6. Judgment debtor has fully paid all of the judgment
proceeds to the judgment creditor and the lawyer has
not taken any legal step to have his fees paid directly to
him from the judgment proceeds.
Compensation to which a lawyer is entitled to
depending on his capacity
1. Counsel de Parte He is entitled to the reasonable
attorneys fees agreed upon, or in the absence thereof,
on quantum meruit basis.
2. Counsel de Oficio The counsel may not demand from
the accused attorneys fees even if he wins the case.
He may, however, collect from the government funds, if
available based on the amount fixed by the court.
3. Amicus Curiae not entitled to attorneys fees.
Duty of confidentiality
CANON 21: A LAWYER SHALL PRESERVE THE
CONFIDENCE AND SECRETS OF HIS CLIENT EVEN
AFTER THE ATTORNEY-CLIENT RELATION IS
TERMINATED.
LEGAL ETHICS
CODE OF PROFESSIONAL
RESPONSIBILITY
The lawyers duty to maintain inviolate his clients
confidence is perpetual.
Rule 21.01 - A lawyer shall not reveal the confidences
or secrets of his client, except:
1. When authorized by the client after acquainting him
of the consequences of the disclosure;
2. When required by law;
3. When necessary to collect his fees or to defend
himself, his employees or associates or by judicial
action.
Confidence
Information protected by the Attorney-client privilege
(Report of IBP Committee, p. 117).
Secret
Other information gained in the professional relationship
that the client has requested to be held inviolate or the
disclosure of which would be embarrassing or detrimental
to the client (Ibid).
Requisites for the attorney-client privilege
(See discussion under Rule 15.02.)
Evidentiary privilege: All of the elements inherent in the
rule must concur to make the communication privileged
against disclosure.
Purposes
1. To encourage a client to make a full disclosure of the
facts of the case to his counsel without fear; and
2. To allow the lawyer freedom to obtain full information
from his client.
Form or mode of communication covered
Article 1.
Oral statements
Article 2.
Written statements
Article 3.
Actions, signs or other means of
communication
Article 4.
Those transmitted by any form of agency,
such as through messenger or interpreter
(Agpalo, Legal and Judicial Ethics, 2009, p. 276).
Retainer fee not necessary
Payment of a retainer fee is NOT essential before an
attorney can be required to safeguard a prospective
clients secret acquired by the attorney during the course
of consultation with the prospective client, even if the
attorney did not accept the employment.
Requirement of seeking legal advice
The essence of the veil of secrecy is that the
communication is intended by the client NOT for the
information of a third person but for the purpose of
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LEGAL ETHICS
The privileged communication between an attorney and
client may be a shield of defense as to crimes already
committed (Gerhardt v. United R Co., 220 SW 677, 9
ALR 1076, 1920).
Disclosure of name of client
General rule: The lawyer may NOT invoke the privilege
and refuse to divulge the name or identity of his client/s.
Reasons
1. Due process considerations require that the opposing
party should know the adversary;
2. The privilege pertain to the subject matter of the
relationship; and
3. The privilege begins to exist only after Attorney-client
relationship has been established. Hence it does not
attach until there is a client.
Exceptions (ICG)
1. When there is a strong possibility that revealing the
clients name would implicate the client in the very
activity for which he sought the lawyers advice;
2. When disclosure would open the client to civil liability;
and
3. When governments lawyers have no case against an
attorneys client and revealing the clients name would
furnish the only link that would form the chain of
testimony necessary to convict him (Regala v.
Sandiganbayan, G.R. No. 105938, September 20,
1996).
Disclosure to protect attorneys rights
1. If an attorney is accused by his client of misconduct in
the discharge of his duty, he may disclose the truth in
respect to the accusation, including the clients
instructions or the nature of the duty which his client
expected him to perform (Canon 37, Canons of
Professional Ethics).
2. If an attorney is charged by a third person in connection
with the performance of his duty to his client, he may
also disclose his clients confidence relative thereto
(Bard v. Koerner, 279 F2d 623, 95 ALR2d 303, 1960).
3. An attorney suing a client for attorneys fees may also
disclose or use the confidential information of his client
if such disclosure or use is necessary to enable him to
secure his rights (Agpalo, Legal and Judicial Ethics,
2009, p.287).
Interviewing witnesses
Witness
A human instrumentality through which the law and its
ministers, the judges and lawyers, endeavors to ascertain
the truth and to dispense justice to the contending parties.
CODE OF PROFESSIONAL
RESPONSIBILITY
1. A lawyer may interview a witness in advance of trial to
guide him in the management of the litigation.
2. A lawyer may also interview a prospective witness for
the opposing side in any civil or criminal action without
the consent of the opposing counsel or party.
3. A lawyer may properly obtain statements from
witnesses whose names were furnished by the
opposing counsel or interview the employees of the
opposing party even though they are under subpoena to
appear as witnesses for the opposite side.
4. If after trial resulting in defendants conviction, his
counsel has been advised that a prosecution witness
has committed perjury, it is not only proper but it is the
lawyers duty to endeavor honorably to obtain such
witness retraction, even without advising the public
prosecutor of his purpose and even though the case is
pending appeal.
5. An adverse party, though he may be used as a witness,
is not, however, a witness within the meaning of the rule
permitting a lawyer to interview the witness of the
opposing counsel.
Rule 21.02 - A lawyer shall not, to the disadvantage of
his client, use information acquired in the course of
employment, nor shall he use the same to his own
advantage or that of a third person, unless the client
with full knowledge of the circumstances consents
thereto.
Rule 21.03 - A lawyer shall not, without the written
consent of his client, give information from his files to
an outside agency seeking such information for
auditing, statistical, bookkeeping, accounting, data
processing, or any similar purpose.
Rationale: The work product of a lawyer, such as his
effort, research and thought, and the records of his client,
contained in his filed are privileged matters (Hickman v.
Taylor, 91 L ed 451, 1947).
The purchase of the goodwill of a deceased lawyer by
another lawyer may likely involve a violation of this rule
(A.B.A Op. 226, June 21, 1945).
Since it has been proven that the cabinet belongs to a
lawyer and that he keeps the records of his client therein,
the lower court cannot order the opening of said cabinet. It
would be tantamount to compelling him to disclose his
clients secrets (People v. Sy Juco, 64 Phil. 667, 1937).
Rule 21.04 - A lawyer may disclose the affairs of a
client of the firm to partners or associates thereof
unless prohibited by the client.
CODE OF PROFESSIONAL
RESPONSIBILITY
The disclosure is not to a third person because members
or associates in the law firm are considered as one.
Rule 21.05 - A lawyer shall adopt such measures as
may be required to prevent those whose services are
utilized by him, from disclosing or using confidences
or secrets of the clients.
The lawyer should exercise care in selecting and training
his employees so that the sanctity of all confidences and
secrets of his clients may be preserved (Report of IBP
Committee, p.119).
Rule 21.06 - A lawyer shall avoid indiscreet
conversation about a client's affairs even with
members of his family.
Rule 21.07 - A lawyer shall not reveal that he has been
consulted about a particular case except to avoid
possible conflict of interest.
Rationale: The disclosure and the lawyers opinion
thereon create an attorney-client relationship, even though
the lawyer does not eventually accept the employment
(Hilado v. David, 84 Phil. 569, 1949).
Withdrawal of services
CANON 22: A LAWYER SHALL WITHDRAW HIS
SERVICES ONLY FOR GOOD CAUSE AND UPON
NOTICE APPROPRIATE IN THE CIRCUMSTANCES.
The rule in this jurisdiction is that a client has the absolute
right to terminate the attorney-client relation at any time
with or without cause. The right of an attorney to withdraw
or terminate the relation other than for sufficient cause is,
however, considerably restricted (Orcino v. Gaspar, A.C.
No. 3773, September 24, 1997).
Termination of attorney client relationship
1. Withdrawal of lawyer under Rule 22.01
2. Death of lawyer
3. Death of client
4. Discharge by client
5. Appointment or election of a lawyer to a government
position which prohibits the practice of law
6. Full termination of the case
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LEGAL ETHICS
to public
LEGAL ETHICS
requires his entire time to be at the disposal of the
government. His qualification to public office operates to
ruminate the existing attorney-client relationship (Omico
Miniing & Industrial Corp. v.Vallejos, 63 SCRA 285, 1965).
Discharge of the attorney by the client
The client has the right to terminate at any time WITH OR
WITHOUT JUST CAUSE. Just cause is material only in
determining compensation.
While clients have the right to terminate their relations with
their counsel and make substitution or change at any
stage of the proceedings, the exercise of such right is
subject to compliance with the prescribed requirements.
This rule is intended to ensure the orderly disposition of
cases, without it, there will be confusion in the service of
processes, pleadings and other papers.
With just cause
Lawyer is not necessarily deprived of his right to be paid
for his services. He may only be deprived of such right if
the cause for his dismissal constitutes in itself a sufficient
legal obstacle to recovery.
CODE OF PROFESSIONAL
RESPONSIBILITY
Change or substitution of counsel
ways of changing counsel in a pending case
1. Clients discharge of his attorney at any time with or
without cause and thereafter employ another lawyer
who may then enter his appearance;
2. Attorney himself may initiate the move by withdrawing
his appearance either with the written consent of his
client or with leave of court on some justifiable ground;
or
3. Substitution of counsel in the form of an application for
that purpose (Laput v. Remotigue, 6 SCRA 45, 1962).
Requirements:
1. Written application for substitution;
2. Written consent of the client;
3. Written consent of the attorney to be substituted; and
4. In case such written consent cannot be secured, there
must be filed with the application proof of service of
notice of the application upon the attorney to be
substituted (Ong Ching v. Remolete, 51 SCRA 13,
1973).