12 SCCL CI kLkLSLN1A1ICN

(a) CllenL SPALL declde

Cb[ecLlves of Lhe represenLaLlon
8u1
(c) ALLy can llmlL Lhe ob[ecLlves lf
CllenL ls consulLed Anu CllenL consenLs
(d) ALLy SPALL nC1
1ell a cllenL Lo engage ln crlmlnal/fraud conducL
C8
AsslsL a cllenL Lo engage ln crlmlnal/fraud conducL
8u1
1he means by whlch ob[ecLlves are pursued (8ule 14 MAnuA1C8?)
(b) 8epresenLaLlon agreelng w/ cllenL's vlews
kULL 12 SCCL CI
kLkLSLN1A1ICN AND
ALLCCA1ICN CI AU1nCkI1
8L1WLLN CLILN1 AND
LAWLk
(a) Sub[ecL Lo paragraphs (c) and (d)
CLlLn1 uLCluLS ob[ecLlves of represenLaLlon
and A11? shall consulL wlLh Lhe cllenL as Lo Lhe
means by whlch ob[ecLlves are Lo be pursued (as
requlred by 8ule 14)
lMLlLu Au1PC8l1? ALLy may Lake such acLlon
on behalf of Lhe cllenL as ls lmplledly auLhorlzed
Lo carry ouL Lhe represenLaLlon
CLlLn1 uLCluLS wheLher Lo seLLle a clvll
maLLer
CLlLn1 uLCluLS ln a crlmlnal case afLer
consulLaLlon wlLh Lhe lawyer as Lo a p|ea Lo be
enLered wheLher Lo walve [ury tr|a| and
wheLher Lhe cllenL wlll test|fy
(b) 8L8LSLn1lnC CLlLn1 LlklnC PlM
A lawyers represenLaLlon of a cllenL lncludlng
represenLaLlon by appolnLmenL does noL
consLlLuLe an endorsemenL of Lhe cllenLs
pollLlcal economlc soclal or moral vlews or
acLlvlLles
(c) LlMl1 ll 8LASCnA8LL CCnSLn1 ALLy may
llmlL Lhe scope of Lhe represenLaLlon lf Lhe
llmlLaLlon ls reasonable under Lhe clrcumsLances
and Lhe C glves lnformed consenL
(d) lLLLCALl1?/l8Auu A lawyer shall noL
counsel a cllenL Lo engage or asslsL a cllenL ln
conducL LhaL Lhe lawyer knows ls crlmlnal or
fraudulenL buL a lawyer may dlscuss Lhe legal
consequences of any proposed course of
conducL wlLh a cllenL and may counsel or asslsL a
cllenL Lo make a good falLh efforL Lo deLermlne
Lhe valldlLy scope meanlng or appllcaLlon of Lhe
law
CommenL
1 C has ulLlmaLe auLhorlLy Lo deLermlne purpose of repn llmlLed by law and ALLy's eLhlcs See 8ule 14(a)(1) for Lhe
lawyers duLy Lo communlcaLe wlLh Lhe cllenL abouL such declslons ALLy shall consulL wlLh Lhe cllenL as requlred by 8ule
14(a)(2) regardlng Lhe means Lo achleve Lhe purpose and may Lake such acLlon as ls lmplledly auLhorlzed
2 ulSAC8LLMLn1S We're noL Lelllng you how Lo resolve Lhem consulL oLher laws consulL w/ C C's defer Lo ALLys on
means Lo be used Lechnlcal legal LacLlcal maLLers Conversely ALLys defer Lo C re expenses concern for 3d persons
lunuAMLn1AL ulSAC8LLMLn1 ALLy may wlLhdraw from Lhe represenLaLlon See 8ule 116(b)(4) Conversely Lhe cllenL
may resolve Lhe dlsagreemenL by dlscharglng Lhe lawyer See 8ule 116(a)(3)
3 Au1PC8l1? A8 lnl1lC C may auLhorlze speclflc acLlon w/o furLher consulLaLlon AbsenL a mater|a| change ln
clrcumsLances and sub[ecL Lo 8ule 14 a lawyer may re|y on such an advance auLhorlzaLlon C may revoke such auLhorlLy
4 C's ulMlnlSPLu CAACl1? ALLy duLy Lo ablde by Lhe cllenLs declslons ls Lo be gulded by reference Lo 8ule 114
lndependence from CllenLs vlews or AcLlvlLles
3 lnulCLn1/unCuLA8 Legal represenLaLlon should noL be denled Lo poor C's w/ conLroverslal/dlsapproved clalm
AgreemenLs LlmlLlng Scope of 8epresenLaLlon
6 LlMl1A1lCnS by agreemenL regardlng cosLs b/c payor ls lnsurance co repugnanL or lmprudenL means
7 LlMl1A1lCnS MuS1 8L 8LASCnA8LL Lx/phone consulLaLlon (noL be reasonable lnsufflclenL Lo yleld rellable advlce)
LLd agreemenL exempLlon from Lhe duLy Lo provlde compeLenL represenLaLlon Lhe llmlLaLlon ls a facLor Lo be
consldered when deLermlnlng Lhe legal knowledge sklll Lhoroughness and preparaLlon reasonably necessary for Lhe
represenLaLlon See 8ule 11
8 All agreemenLs concernlng a lawyers represenLaLlon of a cllenL musL accord wlLh Lhe 8ules of rofesslonal ConducL
and oLher law See eg 8ules 11 18 and 36
Crlmlnal lraudulenL and rohlblLed 1ransacLlons
9 aragraph (d) prohlblLs a lawyer from knowlngly counsellng or asslsLlng a cllenL Lo commlL a crlme or fraud ALLy can
sLlll glve an honesL oplnlon abouL Lhe llkely consequences from C's conducL lf C uses ALLy's advlce for crlme/fraud ALLy ls
noL necessarlly a parLy Lo Lhe course of acLlon 1he cr|t|ca| d|st|nct|on ls presenLlng an analysls of legal aspecLs of
quesLlonable conducL v recommendlng Lhe means by whlch a crlme or fraud mlghL be commlLLed wlLh lmpunlLy
10 C PAS 8LCun C8lML/l8Auu lf C has begun/ ls conLlnulng ALLy MuS1 avold asslsLlng Lhe cllenL (eg nC drafLlng or
dellverlng documenLs no coverup suggesLlons) ALLy MuS1 sLop helplng cllenL lf ALLy dlscovers conducL ls crlme/fraud
ALLy MuS1 w/d 8ule 116(a) ALLy MA? have Lo glve noLlce of w/d and dlsafflrm oplnlons/docs/afflrmaLlon 8ule 41
11 lluuClA8? CLlLn1 ALLy may be charged wlLh speclal obllgaLlons ln deallngs wlLh a beneflclary
12 aragraph (d) applles wheLher or noL Lhe defrauded parLy ls a parLy Lo Lhe LransacLlon Pence a lawyer musL noL
parLlclpaLe ln a LransacLlon Lo effecLuaLe crlmlnal or fraudulenL avoldance of Lax llablllLy aragraph (d) does noL preclude
underLaklng a crlmlnal defense lncldenL Lo a general reLalner for legal servlces Lo a lawful enLerprlse 1he lasL clause of
paragraph (d) recognlzes LhaL deLermlnlng Lhe valldlLy or lnLerpreLaLlon of a sLaLuLe or regulaLlon may requlre a course of
acLlon lnvolvlng dlsobedlence of Lhe sLaLuLe or regulaLlon or of Lhe lnLerpreLaLlon placed upon lL by governmenLal
auLhorlLles
13 CAn'1 CC 8LPlnu C'S 8ACk lf ALLy comes Lo know or reasonably should know LhaL a cllenL expecLs asslsLance noL
permlLLed by Lhe 8ules of rofesslonal ConducL or oLher law or lf Lhe lawyer lnLends Lo acL conLrary Lo Lhe cllenLs
lnsLrucLlons Lhe lawyer musL consulL wlLh Lhe cllenL regardlng Lhe llmlLaLlons on Lhe lawyers conducL See 8ule 14(a)(3)
kULL 13 DILIGLNCL
A lawyer shall acL wlLh reasonable dlllgence and prompLness ln represenLlng a cllenL
CommenL
1 A11? uCLSn'1 PAvL 1C 8L A u8 A lawyer should pursue a maLLer on behalf of a cllenL desplLe oppos|t|on obstruct|on or persona| |nconven|ence Lo Lhe lawyer and Lake
whaLever |awfu| and eth|ca| measures are requlred Lo vlndlcaLe a cllenLs cause or endeavor
A lawyer musL also acL wlLh comm|tment and ded|cat|on Lo Lhe lnLeresLs of Lhe cllenL and wlLh zeal ln advocacy upon Lhe cllenLs behalf
A |awyer |s not bound however to press for every advantage that m|ght be rea||zed for a c||ent See professlonal ln 8ule 12
uuLy Lo acL wlLh reasonable dlllgence does not requ|re the use of offens|ve tact|cs or preclude Lhe LreaLlng of all persons wlLh courLesy and respecL
2 WC8k LCAu A lawyers work load musL be conLrolled so LhaL each maLLer can be handled compeLenLly
3 uCn'1 8CC8AS1lnA1L erhaps no professlonal shorLcomlng ls more wldely resenLed Lhan procrasLlnaLlon A cllenLs lnLeresLs ofLen can be adversely affecLed by Lhe
passage of Llme or Lhe change of condlLlons ln exLreme lnsLances as when a lawyer overlooks a statute of ||m|tat|ons Lhe cllenLs legal poslLlon may be desLroyed Lven
when Lhe cllenLs lnLeresLs are noL affecLed ln subsLance however unreasonable delay can cause a cllenL need|ess anx|ety and undermlne confldence ln Lhe lawyers
LrusLworLhlness uuLy Lo acL wlLh reasonable prompLness however does noL preclude Lhe lawyer from agreelng Lo a reasonable requesL for a posLponemenL LhaL wlll noL
pre[udlce Lhe lawyers cllenL
4 unless Lhe relaLlonshlp ls LermlnaLed as provlded ln 8ule 116 a lawyer should carry Lhrough Lo concluslon all maLLers underLaken for a cllenL lf a lawyers employmenL ls
llmlLed Lo a speclflc maLLer Lhe relaLlonshlp LermlnaLes when Lhe maLLer has been resolved lf a lawyer has served a cllenL over a subsLanLlal perlod ln a varleLy of maLLers
Lhe cllenL someLlmes may assume LhaL Lhe lawyer wlll conLlnue Lo serve on a conLlnulng basls unless Lhe lawyer glves noLlce of wlLhdrawal uoubL abouL wheLher a cllenL
lawyer relaLlonshlp sLlll exlsLs should be clarlfled by Lhe lawyer preferably ln wrlLlng so LhaL Lhe cllenL wlll noL mlsLakenly suppose Lhe lawyer ls looklng afLer Lhe cllenLs
affalrs when Lhe lawyer has ceased Lo do so lor example lf a lawyer has handled a [udlclal or admlnlsLraLlve proceedlng LhaL produced a resulL adverse Lo Lhe cllenL and Lhe
lawyer and Lhe cllenL have noL agreed LhaL Lhe lawyer wlll handle Lhe maLLer on appeal Lhe lawyer musL consulL wlLh Lhe cllenL abouL Lhe posslblllLy of appeal before
rellnqulshlng responslblllLy for Lhe maLLer See 8ule 14(a)(2) WheLher Lhe lawyer ls obllgaLed Lo prosecuLe Lhe appeal for Lhe cllenL depends on Lhe scope of Lhe
represenLaLlon Lhe lawyer has agreed Lo provlde Lo Lhe cllenL See 8ule 12
3 1o prevenL neglecL of cllenL maLLers ln Lhe evenL of a sole pracLlLloners deaLh or dlsablllLy Lhe duLy of dlllgence may requlre LhaL each sole pracLlLloner prepare a plan ln
conformlLy wlLh appllcable rules LhaL deslgnaLes anoLher compeLenL lawyer Lo revlew cllenL flles noLlfy each cllenL of Lhe lawyers deaLh or dlsablllLy and deLermlne wheLher
Lhere ls a need for lmmedlaLe proLecLlve acLlon Cf 8ule 28 of Lhe Amerlcan 8ar AssoclaLlon Model 8ules for Lawyer ulsclpllnary LnforcemenL (provldlng for courL
appolnLmenL of a lawyer Lo lnvenLory flles and Lake oLher proLecLlve acLlon ln absence of a plan provldlng for anoLher lawyer Lo proLecL Lhe lnLeresLs of Lhe cllenLs of a
deceased or dlsabled lawyer)
kULL 14 CCMMUNICA1ICN
(a) A lawyer shall CCMMunlCA1L W/ C
(1) When C's |nformed consent |s requ|red re any declslon or clrcumsLance See 8ule 10(e)
(2) 8e Lhe means by whlch Lhe cllenLs ob[ecLlves are Lo be accompllshed (ALLy should reasonab|y consu|t)
(3) 8e Case status (ALLy should keep C reasonab|y |nformed)
(4) 8e prompLly comply wlLh reasonab|e requests for |nformat|on and
(3) consulL wlLh Lhe cllenL abouL any relevanL llmlLaLlon on Lhe lawyers conducL (lf ALLy knows LhaL Lhe C expecLs lllegal/uneLhlcal asslsLance)
(b) A lawyer shall explaln a maLLer Lo Lhe exLenL reasonably necessary Lo permlL Lhe cllenL Lo make lnformed declslons regardlng Lhe represenLaLlon
CommenL
1 8easonable communlcaLlon beLween Lhe lawyer and Lhe cllenL ls necessary for Lhe cllenL effecLlvely Lo parLlclpaLe ln Lhe represenLaLlon
CommunlcaLlng wlLh CllenL
2 Au1PC8l1? ln AuvAnCL lf Lhese 8ules requ|re LhaL a parLlcular dec|s|on abouL Lhe represenLaLlon be made by the c||ent paragraph (a)(1) requlres LhaL Lhe lawyer
prompt|y consu|t wlLh and secure Lhe cllenLs consenL prlor Lo Laklng acLlon un|ess pr|or d|scuss|ons wlLh Lhe cllenL have resolved whaL acLlon Lhe cllenL wanLs Lhe lawyer Lo
Lake Lx/ ALLy who an offer of sett|ement ln a clvll conLroversy or a proffered p|ea bargaln ln a crlmlnal case musL prompLly lnform Lhe cllenL of lLs subsLance unless Lhe cllenL
has prevlously lndlcaLed LhaL Lhe proposal wlll be accepLable or unaccepLable or has auLhorlzed Lhe lawyer Lo accepL or Lo re[ecL Lhe offer See 8ule 12(a)
3 WPLn 1C CCnSuL1 (a)(2) Depend|ng on both the |mportance of the act|on under conslderaLlon and Lhe feas|b|||ty of consulLlng wlLh Lhe cllenL Lhls duLy wlll requ|re
consu|tat|on pr|or to tak|ng act|on When an lmmedlaLe declslon musL be made Lhe exlgency of Lhe slLuaLlon may requlre Lhe lawyer Lo acL wlLhouL prlor consulLaLlon ln
such cases Lhe lawyer musL noneLheless acL reasonably Lo lnform Lhe cllenL of acLlons Lhe lawyer has Laken on Lhe cllenLs behalf
(a)(3) requlres LhaL ALLy keep Lhe cllenL reasonably lnformed abouL Lhe case sLaLus re s|gn|f|cant deve|opments affecLlng Lhe t|m|ng or Lhe substance of Lhe represenLaLlon
4 8L 8CAC1lvL/AnSWL8 PCnL ALLy regular communlcaLlon wlLh C wlll mlnlmlze Lhe occaslons on whlch a C wlll need Lo requesL lnfo When a C makes a reasonable
requesL for lnformaLlon however paragraph (a)(4) requlres prompL compllance wlLh Lhe requesL or lf a prompL response ls noL feaslble ALLy should acknowledge recelpL of
Lhe requesL and advlse Lhe C when a response may be expecLed 1elephone calls should be prompLly reLurned or acknowledged
Lxplalnlng MaLLers
3 PCW MuCP CCMMunlCA1lCn lS AuLCuA1L 1he cllenL should have sufflclenL lnformaLlon Lo part|c|pate |nte|||gent|y ln declslons concernlng Lhe ob[ect|ves of Lhe
represenLaLlon and Lhe means by whlch Lhey are Lo be pursued Lo Lhe exLenL Lhe cllenL ls wllllng and able Lo do so Adequacy of communlcaLlon depends ln parL on Lhe klnd
of advlce or asslsLance LhaL ls lnvolved lor example when Lhere ls Llme Lo explaln a proposal made ln a negoLlaLlon Lhe lawyer should revlew all lmporLanL provlslons wlLh
Lhe cllenL before proceedlng Lo an agreemenL ln llLlgaLlon a lawyer should explaln Lhe general sLraLegy and prospecLs of success and ordlnarlly should consulL Lhe cllenL on
LacLlcs LhaL are llkely Lo resulL ln slgnlflcanL expense or Lo ln[ure or coerce oLhers Cn Lhe oLher hand a lawyer ordlnarlly wlll noL be expecLed Lo descrlbe Lrlal or negoLlaLlon
sLraLegy ln deLall 1he guldlng prlnclple ls LhaL Lhe lawyer should fulflll reasonable cllenL expecLaLlons for lnformaLlon conslsLenL wlLh Lhe duLy Lo acL ln Lhe cllenLs besL
lnLeresLs and Lhe cllenLs overall requlremenLs as Lo Lhe characLer of represenLaLlon ln cerLaln clrcumsLances such as when a lawyer asks a cllenL Lo consenL Lo a
represenLaLlon affecLed by a confllcL of lnLeresL Lhe cllenL musL glve lnformed consenL as deflned ln 8ule 10(e)
6 C lS CPlLu/ulM CAACl1? lully lnformlng Lhe cllenL may be lmpracLlcable See 8ule 114
C lS C8CAnlZA1lCn lL ls ofLen lmposslble or lnapproprlaLe Lo lnform every one of lLs members abouL lLs legal affalrs ordlnarlly ALLy should address communlcaLlons Lo Lhe
approprlaLe offlclals of Lhe organlzaLlon See 8ule 113 lf rouLlne maLLers llmlLed or occaslonal reporLlng may be arranged wlLh Lhe C
WlLhholdlng lnformaLlon
7 C1 C8uL8 8L ulSCLCSu8L ln some clrcumsLances a lawyer may be [usLlfled ln delaylng Lransmlsslon of lnformaLlon when Lhe cllenL would be llkely Lo reacL lmprudenLly
Lo an lmmedlaLe communlcaLlon 1hus a lawyer mlghL wlLhhold a psychlaLrlc dlagnosls of a cllenL when Lhe examlnlng psychlaLrlsL lndlcaLes LhaL dlsclosure would harm Lhe
cllenL A lawyer may not w|thho|d |nformat|on to serve the |awyers own |nterest or convenlence or Lhe lnLeresLs or convenlence of anoLher person 8ules or courL orders
governlng llLlgaLlon may provlde LhaL lnformaLlon supplled Lo a lawyer may noL be dlsclosed Lo Lhe cllenL 8ule 34(c) dlrecLs compllance wlLh such rules or orders
kULL 1S ILLS
(a) lees/Lxpenses ALLy should noL agree/charge/collecL lf unreasonable 8LASCnA8LLnLSS lAC1C8S
(1) Lhe Llme and labor requlred Lhe novelLy and dlfflculLy of Lhe quesLlons lnvolved and Lhe sklll requlslLe Lo perform Lhe legal servlce properly (CCMLLxl1?)
(2) Lhe llkellhood lf apparenL Lo Lhe cllenL LhaL Lhe accepLance of Lhe parLlcular employmenL wlll preclude oLher employmenL by Lhe lawyer (CnL? ?Cu8 CASL)
(3) Lhe fee cusLomarlly charged ln Lhe locallLy for slmllar legal servlces (CLCC8AP?)
(4) Lhe amounL lnvolved and Lhe resulLs obLalned (PlCP S1AkLS PlCP )
(3) Lhe Llme llmlLaLlons lmposed by Lhe cllenL or by Lhe clrcumsLances(PCu8S L8 uA?)
(6) Lhe naLure and lengLh of Lhe professlonal relaLlonshlp wlLh Lhe cllenL (1C1AL PCu8S)
(7) Lhe experlence repuLaLlon and ablllLy of Lhe lawyer or lawyers performlng Lhe servlces (8LS1lCL) and
(8) wheLher Lhe fee ls flxed or conLlngenL (lLL 1?L)
(b) 1LLL C 8LlC8L ?Cu 8lLL CPAnCLS 1he scope of Lhe represenLaLlon and Lhe basls or raLe of Lhe fee and expenses for whlch Lhe cllenL wlll be responslble shall be
communlcaLed Lo Lhe cllenL preferably ln wrlLlng before or wlLhln a reasonable Llme afLer commenclng Lhe represenLaLlon excepL when Lhe lawyer wlll charge a regularly
represenLed cllenL on Lhe same basls or raLe Any changes ln Lhe basls or raLe of Lhe fee or expenses shall also be communlcaLed Lo Lhe cllenL
(c) CCn1lnCLn1 A fee may be conLlngenL on Lhe ouLcome of Lhe maLLer for whlch Lhe servlce ls rendered excepL ln a maLLer ln whlch a conLlngenL fee ls prohlblLed by
paragraph (d) or oLher law A conLlngenL fee agreemenL shall be ln a wr|t|ng slgned by Lhe cllenL and shall sLaLe Lhe method by whlch Lhe fee ls Lo be deLermlned lncludlng
Lhe percenLage or percenLages LhaL shall accrue Lo Lhe lawyer ln Lhe evenL of seLLlemenL Lrlal or appeal llLlgaLlon and oLher expenses Lo be deducLed from Lhe recovery and
wheLher such expenses are Lo be deducLed before or afLer Lhe conLlngenL fee ls calculaLed 1he agreemenL musL c|ear|y not|fy Lhe cllenL of any expenses for whlch Lhe cllenL
wlll be llable wheLher or noL Lhe cllenL ls Lhe prevalllng parLy upon concluslon of a conLlngenL fee maLLer Lhe lawyer shall provlde Lhe cllenL wlLh a wrlLLen sLaLemenL sLaLlng
Lhe ouLcome of Lhe maLLer and lf Lhere ls a recovery showlng Lhe remlLLance Lo Lhe cllenL and Lhe meLhod of lLs deLermlnaLlon(W8l1lnC lC8MuLA ACCCun1lnC)
(d) nC CCn1lnCLn1 lLLS ln uCMLS1lC C8lMlnAL A lawyer shall noL enLer lnLo an arrangemenL for charge or collecL
(1) any fee ln a domesLlc relaLlons maLLer Lhe paymenL or amounL of whlch ls conLlngenL upon Lhe securlng of a dlvorce or upon Lhe amounL of allmony or supporL
or properLy seLLlemenL ln lleu Lhereof or
(2) a conLlngenL fee for represenLlng a defendanL ln a crlmlnal case
(e) lLL SLl1S A dlvlslon of a fee beLween lawyers who are noL ln Lhe same flrm may be made only lf
(1) Lhe dlvlslon ls ln proporLlon Lo Lhe servlces performed by each ALLy or each ALLy assumes [olnL responslblllLy (8CC81lCnAL !Cln1/SLvL8AL)
(2) Lhe cllenL agrees Lo Lhe arrangemenL lncludlng Lhe share each lawyer wlll recelve and Lhe agreemenL ls conflrmed ln wr|t|ng (W8l11Ln AC8LLMLn1) and
(3) Lhe LoLal fee ls reasonab|e
kULL 1S ILLS CCMMLN1
8easonableness of lee and Lxpenses
1 aragraph (a) reasonableness 1he facLors speclfled ln (1) Lhrough (8) are not exc|us|ve not a|| re|evant aragraph (a) also requlres LhaL expenses for whlch Lhe cllenL wlll
be charged musL be reasonable ALLy re|mbursement for lnhouse svcs (copylng Lelephone) reasonable $ lf C ok's ln advance or $ reasonably reflecLs Lhe cosL lncurred
8asls or 8aLe of lee
2 8LCuLA8 Cs ALLy C ordlnarlly wlll have evolved an undersLandlng concernlng Lhe basls or raLe of Lhe fee and Lhe expenses for whlch Lhe cllenL wlll be responslble
nLW C An undersLandlng as Lo fees and expenses musL be prompLly esLabllshed Cenerally lL ls deslrable Lo furnlsh Lhe cllenL wlLh aL leasL a slmple memorandum or copy of
Lhe lawyers cusLomary fee arrangemenLs LhaL sLaLes Lhe general naLure of Lhe legal servlces Lo be provlded Lhe basls raLe or LoLal amounL of Lhe fee and wheLher and Lo
whaL exLenL Lhe cllenL wlll be responslble for any cosLs expenses or dlsbursemenLs ln Lhe course of Lhe represenLaLlon A wrlLLen sLaLemenL concernlng Lhe Lerms of Lhe
engagemenL reduces Lhe posslblllLy of mlsundersLandlng
3 Cont|ngent fees llke any oLher fees are sub[ecL Lo Lhe reasonab|eness sLandard of paragraph (a) of Lhls 8ule ln deLermlnlng wheLher a parLlcular conLlngenL fee ls
reasonable or wheLher lL ls reasonable Lo charge any form of conLlngenL fee a lawyer musL conslder Lhe facLors LhaL are relevanL under Lhe clrcumsLances Appllcable law
may lmpose llmlLaLlons on conLlngenL fees such as a celllng on Lhe percenLage allowable or may requlre a lawyer Lo offer cllenLs an alLernaLlve basls for Lhe fee Appllcable
law also may apply Lo slLuaLlons oLher Lhan a conLlngenL fee for example governmenL regulaLlons regardlng fees ln cerLaln Lax maLLers
1erms of aymenL
4 AuvAnCL A?MLn1 Ck buL reLurn any unearned porLlon See 8ule 116(d)
8CL81? A?MLn1 Ck eg ownershlp lnLeresL ln a buslness unless lL's acqulslLlon of proprleLary lnLeresL ln Lhe cause of acLlon/sub[ecL maLLer of Lhe llLlgaLlon 8ule
18(l)roperLy paymenL may be sub[ecL Lo Lhe requlremenLs of 8ule 18(a) because b/c lL may be buslness LransacLlon wlLh Lhe cllenL
3 A?MLn1 lnuuClnC 8Au AC1lCn An agreemenL may noL be made whose Lerms mlghL lnduce Lhe lawyer lmproperly Lo curLall servlces for Lhe cllenL or perform Lhem ln
a way conLrary Lo Lhe cllenLs lnLeresL lor example a lawyer should noL enLer lnLo an agreemenL whereby servlces are Lo be provlded only up Lo a sLaLed amounL when lL ls
foreseeable LhaL more exLenslve servlces probably wlll be requlred unless Lhe slLuaLlon ls adequaLely explalned Lo Lhe cllenL CLherwlse Lhe cllenL mlghL have Lo bargaln for
furLher asslsLance ln Lhe mldsL of a proceedlng or LransacLlon Powever lL ls proper Lo deflne Lhe exLenL of servlces ln llghL of Lhe cllenLs ablllLy Lo pay A lawyer should noL
explolL a fee arrangemenL based prlmarlly on hourly charges by uslng wasLeful procedures
rohlblLed ConLlngenL lees
6 aragraph (d) prohlblLs a lawyer from charglng a conLlngenL fee ln a domesLlc relaLlons maLLer when paymenL ls conLlngenL upon Lhe securlng of a dlvorce or upon Lhe
amounL of allmony or supporL or properLy seLLlemenL Lo be obLalned 1hls provlslon does noL preclude a conLracL for a conLlngenL fee for legal represenLaLlon ln connecLlon
wlLh Lhe recovery of posL[udgmenL balances due under supporL allmony or oLher flnanclal orders because such conLracLs do noL lmpllcaLe Lhe same pollcy concerns
ulvlslon of lee
7 A dlvlslon of fee ls a slngle bllllng Lo a cllenL coverlng Lhe fee of Lwo or more lawyers who are noL ln Lhe same flrm A dlvlslon of fee faclllLaLes assoclaLlon of more Lhan one
lawyer ln a maLLer ln whlch nelLher alone could serve Lhe cllenL as well and mosL ofLen ls used when Lhe fee ls conLlngenL and Lhe dlvlslon ls beLween a referrlng lawyer and a
Lrlal speclallsL aragraph (e) permlLs Lhe lawyers Lo dlvlde a fee elLher on Lhe basls of Lhe proporLlon of servlces Lhey render or lf each lawyer assumes responslblllLy for Lhe
represenLaLlon as a whole ln addlLlon Lhe cllenL musL agree Lo Lhe arrangemenL lncludlng Lhe share LhaL each lawyer ls Lo recelve and Lhe agreemenL musL be conflrmed ln
wrlLlng ConLlngenL fee agreemenLs musL be ln a wrlLlng slgned by Lhe cllenL and musL oLherwlse comply wlLh paragraph (c) of Lhls 8ule !olnL responslblllLy for Lhe
represenLaLlon enLalls flnanclal and eLhlcal responslblllLy for Lhe represenLaLlon as lf Lhe lawyers were assoclaLed ln a parLnershlp A lawyer should only refer a maLLer Lo a
lawyer whom Lhe referrlng lawyer reasonably belleves ls compeLenL Lo handle Lhe maLLer See 8ule 11
8 aragraph (e) does noL prohlblL or regulaLe dlvlslon of fees Lo be recelved ln Lhe fuLure for work done when lawyers were prevlously assoclaLed ln a law flrm
ulspuLes over lees
9 lf a procedure has been esLabllshed for resoluLlon of fee dlspuLes such as an arblLraLlon or medlaLlon procedure esLabllshed by Lhe bar Lhe lawyer musL comply wlLh Lhe
procedure when lL ls mandaLory and even when lL ls volunLary Lhe lawyer should consclenLlously conslder submlLLlng Lo lL Law may prescrlbe a procedure for deLermlnlng a
lawyers fee for example ln represenLaLlon of an execuLor or admlnlsLraLor a class or a person enLlLled Lo a reasonable fee as parL of Lhe measure of damages 1he lawyer
ku|e 19 Dut|es 1o Iormer C||ents
(a) A lawyer who has formerly represenLed a cllenL (C1) ln a
maLLer shall noL LhereafLer represenL anoLher person (C2) ln
Lhe same or a substant|a||y re|ated matter
ln whlch LhaL persons (C2's)lnLeresLs are
mater|a||y adverse Lo Lhe lnLeresLs of Lhe former C(C1)
LkCL1ICN unless Lhe former cllenL glves lnformed
consenL conflrmed ln wrlLlng
(b) lMu1A1lCn ALy shall noL know|ng|y represenL a person
(C2) ln Lhe same or a subsLanLlally relaLed maLLer
ln whlch a flrm wlLh whlch Lhe ALLy formerly was assoclaLed
(ALLy's CLu ll8M) had prevlously represenLed a cllenL (C1)
(1) whose lnLeresLs are maLerlally adverse Lo LhaL
person (C2) and
(2) abouL whom Lhe lawyer had acqulred
lnformaLlon proLecLed by 8ules 16 and 19(c) LhaL
ls maLerlal Lo Lhe maLLer
unless Lhe former cllenL (C1) glves lnformed consenL
conflrmed ln wrlLlng
(c) A lawyer who has formerly represenLed a cllenL ln a
maLLer or whose presenL or former flrm has formerly
represenLed a cllenL ln a maLLer shall noL LhereafLer
(1) use lnformaLlon relaLlng Lo Lhe represenLaLlon Lo Lhe
dlsadvanLage of Lhe former cllenL excepL as Lhese 8ules
would permlL or requlre wlLh respecL Lo a cllenL or when Lhe
lnformaLlon has become generally known or
(2) reveal lnformaLlon relaLlng Lo Lhe represenLaLlon excepL
as Lhese 8ules would permlL or requlre wlLh respecL Lo a
cllenL
11S SAILkLLING kCLk1
(a) ropeLy of C/3d parLy
ln ALLy's possesslon
ln connecLlon w/ a repn
musL be kepL separaLely from ALLy's properLy
lf funds separaLe accounL buL ln ALLy's sLaLe of 8
(unless C consenLs oLherwlse)
CLher properLy ldenLlfled safeguarded
8ecords malnLaln accuraLely and keep for 3yr afLer repn
(b) Ck for ALLy Lo pay accounL svc fees on Lhe C LrusL accL
(c) ALLy musL deposlL ln LrusL accL all $ pald by C ln advance and only Lake $ ouL
when earned
(d) ALLy musL noLlfy C/3d parLy lf ALLy recs $ for Lhem
ALLy musL prompLly dellver funds/properLy unLLSS (e) or permlLLed by law or by
ALLy/C agreemenL
ALLy musL glve full accLg of $/properLy lf C/3d parLy requesLs
(e) lf $/properLy ownershlp ls ln dlspuLe ALLy keeps unLll resolved ALLy should
dlsLrlbuLe anyLhlng noL ln dlspuLe
CCMMLN1
1 Level of care requlred professlonal flduclary
SecurlLles safe deposlL box (or as oLher clrcs req)
LsLaLes eLc may need mulLlple LrusL accLs
ALLy musL follow accepLed accL pracLlce
2 Comlngllng ALLy/C $ ok Lo pay accL charges buL ALLy musL keep accuraLe records
3 ALLy can keep $ ALLy reasonably belleves ls for fees owed
ALLy can'L keep $ Lo coerce C
keep dlspuLed $ ln a LrusL accL and suggesL arblLraLlon ulsLrlbuLe undlspuLed $
4 lf 3d parLy clalmlng lnLeresL ln $/properLy ls noL frlvolous ALLy musL refuse Lo glve
$/properLy Lo C
lf subsLanLlal grounds for dlspuLe ALLy may flle Lo have cL resolve ALLy should noL
arblLraLe
3 look aL oLher rules re Lype of svcs (eg escrow agenLs) Lhls rule does noL apply
6 ALLy may have Lo parLlclpaLe ln aLLy fund for cllenL proLecLlon" w/ local bar
lf volunLary parLlclpaLlon encouraged
116 DLCLINING Ck 1LkMINA1ING kLkLSLN1A1ICN
(a) MandaLory w/drawal
(1) 8epn wlll resulL ln vlolaLlon of Lhe M8C C8 vlolaLlon of oLher law
(2) ALLys physlcal or menLal condlLlon ls a MA1L8lAL lmpalrmenL Lo 8epn
(3) ALLy dlscharged (flred)
(b) ermlsslve w/drawal
(1) W/drawal wlll noL have a MA1L8lAL AuvL8SL effecL on C lnLeresLs
(2) ALLy 8LASCnA8L? 8LLlLvLS C wanLs Lo use svcs Lo commlL crlme/fraud
(3) ALLy svcs PAvL been used by C Lo commlL crlme/fraud
(4) ALLy conslders repugnanL C8 has fundamenLal dlsagreemenL w/ acLlon C wanLs
(3) C Su8S1An1lALL? falls Lo fulflll an obllgaLlon (re svcs) Anu ALLy warns C
(6) ALLy wlll be ln un8LAS flnanclal burden or C has made repn un8LAS dlfflculL
(7) 1here ls oLher good cause
(c) LxCL1lCn Lo (a) and (b)
ALLy musL comply w/ procedures noLlce Lo w/draw
lf courL orders ALLy Lo keep repn ALLy musL comply
(d) AfLer w/drawal proLecL C's lnLeresL by
glve C reas noLlce
glve C enough Llme Lo hlre anoLher ALLy
glve C papers/properLy Lo whlch C's enLlLled (ALLy can keep papers as permlLLed by law)
refund C any unearned advance paymenLs
CCMMLN1S
1 See 812(c) 863 and 8134 regardlng accepLlng repn
MandaLory w/drawal
2 lf C uLMAnuS lllegal acLlon ALLy musL w/draw
lf C SuCCLS1S lllegal acLlon ALLy ls noL obllgaLed Lo w/draw (C may noL know lL's lllegal)
3 WhaLever auLhorlLy appolnLed you needs Lo approve your w/drawal See 862
lf cL wanLs explanaLlon (and cllenL wanLs you Lo do sLh lllegal) you are bound by
confldenLlallLy buL saylng professlonal conslderaLlons requlre end of repn" See 16 33
ulscharge
4 C can flre aLLy w/ or w/o cause any Llme as long as he pays for work done
repare a wrlLLen sLaLemenL lf dlscharge ls anLlclpaLed
3 ACln1Lu ALLy C may or may noL be able Lo flre Consequences musL be explalned
CL may Lell C lL won'L appolnL 2
nd
ALLy and C wlll go pro se
6 ulMlnlSPLu capaclLy C C may noL be able Lo flre See 114
CpLlonal w/drawal
7 ALLy doesn'L have Lo be assoclaLed w/ conducL ALLy belleves ls bad
lf ALLy svc were used for bad conducL can w/draw even lf maLerlal pre[udlce Lo C
8 ALLy can w/draw lf C doesn'L wanL Lo follow agreemenLs on fees cL cosLs or
ob[ecLlves of repn
AsslsLlng C upon W/drawal
9 See 8113 for whaL documenLs you can keep
kULL 118 DU1ILS 1C kCSLC1IVL
CLILN1
(a) 8CSLC1lvL CLlLn1 (deflnlLlon)
A person who dlscusses wlLh ALLy Lhe posslblllLy of formlng a
cllenLlawyer relaLlonshlp wlLh respecL Lo a maLLer ls a
prospecLlve cllenL
(b) A11? uCLSn'1 PAvL 1C 8L Pl8Lu/19 LxCL1lCn Lven
when no cllenLlawyer relaLlonshlp ensues ALLy who has had
dlscusslons wlLh a prospecLlve cllenL shall noL use or reveal
lnformaLlon learned ln Lhe consulLaLlon except as ku|e 19
would permlL wlLh respecL Lo lnformaLlon of a former c||ent
(c) lf A11? nC1 Pl8Lu by prospecLlve C
A11? shall noL represenL a cllenL (CllenL 8)
wlLh lnLeresLs maLerlally adverse Lo Lhose of prospecLlve C
ln Lhe same or a subsLanLlally relaLed maLLer
lf Lhe lawyer recelved lnformaLlon from Lhe prospecLlve cllenL
LhaL could be slgnlflcanLly harmful Lo prospecLlve C ln Lhe
maLLer excepL as provlded ln paragraph (d)
lMu1A1lCn lf ALLy ls dlsquallfled from represenLaLlon under
Lhls paragraph no ALLy ln Lhe flrm
may knowlngly underLake or conLlnue represenLaLlon ln such a
maLLer excepL as provlded ln paragraph (d)
(d) CCnSLn1/CPlnLSL WALL When Lhe lawyer has recelved
dlsquallfylng lnformaLlon as deflned ln paragraph (c)
represenLaLlon ls permlsslble lf
(1) boLh Lhe affecLed cllenL and Lhe prospecLlve cllenL
have glven lnformed consenL conflrmed ln wrlLlng C8
(2) Lhe lawyer who recelved Lhe lnformaLlon Look
reasonab|e measures to avo|d exposure Lo more
dlsquallfylng lnformaLlon Lhan was reasonably
necessary Lo deLermlne wheLher Lo represenL Lhe
prospecLlve cllenL and
(l) Lhe dlsquallfled lawyer |s t|me|y screened
from any parLlclpaLlon ln Lhe maLLer and ls
apporLloned no part of the fee Lherefrom and
(ll) wr|tten not|ce ls prompLly glven Lo Lhe
prospecLlve cllenL
ku|e 118 Dut|es 1o rospect|ve C||ent Comment
1 8A1lCnALL lC8 LLSS 8C1LC1lCn rospecLlve C llke CurrenL Cs may dlsclose lnformaLlon Lo an ALLy place
documenLs or oLher properLy ln Lhe ALLy cusLody or rely on Lhe ALLy advlce An ALLy dlscusslons wlLh a prospecLlve
cllenL usually are ||m|ted |n t|me and depth and leave boLh Lhe prospecLlve cllenL and Lhe lawyer free (and someLlmes
requlred) Lo proceed no furLher Pence prospecLlve Cs should recelve some buL noL all of Lhe proLecLlon afforded Cs
2 WPC lS nC1 8CSLC1lvL C noL all persons who communlcaLe lnformaLlon Lo a lawyer are enLlLled Lo proLecLlon
under Lhls 8ule A person who commun|cates |nformat|on un||atera||y Lo a ALLy w|thout any reasonab|e expectat|on
LhaL Lhe ALLy ls wllllng Lo dlscuss Lhe posslblllLy of formlng a cllenLlawyer relaLlonshlp ls noL a prospecLlve cllenL
wlLhln Lhe meanlng of paragraph (a)
3 8LLlMlnA8? lnlC (can only reveal whaL 19 allows) lL ls ofLen necessary for a prospecLlve cllenL Lo reveal
lnformaLlon Lo Lhe ALLy durlng an lnlLlal consulLaLlon prlor Lo Lhe declslon abouL formaLlon of a cllenLlawyer
relaLlonshlp 1he lawyer ofLen musL learn such lnformaLlon Lo deLermlne wheLher Lhere ls a conf||ct of |nterest wlLh an
exlsLlng cllenL and wheLher Lhe maLLer ls one LhaL Lhe lawyer ls wllllng Lo underLake (CCML1LnCL) aragraph (b)
prohlblLs Lhe lawyer from uslng or reveallng LhaL lnformaLlon excepL as permlLLed by 8ule 19 even lf Lhe C or ALLy
decldes noL Lo proceed wlLh Lhe represenLaLlon 1he duLy exlsLs regard|ess of how br|ef the |n|t|a| conference may be
4 A11? SPCuLu LlMl1 lnlC ln 8LLlM MLL1lnC ln order Lo avold acqulrlng dlsquallfylng lnformaLlon from a
prospecLlve C ALLy conslderlng wheLher or noL Lo underLake a new maLLer should llmlL Lhe lnlLlal lnLervlew Lo only such
lnformaLlon as reasonably appears necessary for LhaL purpose Where Lhe lnformaLlon lndlcaLes LhaL a confllcL of
lnLeresL or oLher reason for nonrepresenLaLlon exlsLs Lhe ALLy should so |nform the prospect|ve C or decllne Lhe
represenLaLlon lf Lhe prospecLlve cllenL wlshes Lo reLaln Lhe ALLy and lf consenL ls posslble under ku|e 17 Lhen
consent from a|| affected present or former Cs musL be obLalned before accepLlng Lhe represenLaLlon
3 8LCCnul1lCnS/WAlvL8 ALLy may condlLlon conversaLlons wlLh a prospecLlve C on Lhe C's lnformed consenL LhaL
no lnformaLlon dlsclosed durlng Lhe consulLaLlon wlll prohlblL Lhe lawyer from represenLlng a dlfferenL cllenL ln Lhe
maLLer (CCnlLlC1 Cl ln1L8LS1) See ku|e 10(e) for Lhe deflnlLlon of lnformed consenL lf Lhe agreemenL expressly so
provldes Lhe prospecLlve C may also consenL Lo Lhe ALLy subsequenL use of lnfo recelved from Lhe prospecLlve C
6 CCnlLlC1 Cl ln1L8LS1/PA8MluL lnlC ALLy CAn represenL a cllenL w/ adverse lnLeresLs Lo C1 (Lven ln Lhe
absence of an agreemenL under paragraph (c)) ln Lhe same or a subsLanLlally relaLed maLLer unless ALLy has recelved
from Lhe prospecLlve C lnfo LhaL could be s|gn|f|cant|y harmfu| lf used ln Lhe maLLer
7 lMu1A1lCn/LxCL1lCnSunder paragraph (c) Lhe prohlblLlon ln Lhls 8ule ls lmpuLed Lo oLher lawyers as provlded
ln 8ule 110 buL under paragraph (d)(1) lmpuLaLlon may be avolded lf Lhe lawyer obLalns Lhe lnformed consenL
conflrmed ln wrlLlng of boLh Lhe prospecLlve and affecLed cllenLs ln Lhe alLernaLlve lmpuLaLlon may be avolded lf Lhe
condlLlons of paragraph (d)(2) are meL and all dlsquallfled lawyers are Llmely screened and wrlLLen noLlce ls prompLly
glven Lo Lhe prospecLlve cllenL See 8ule 10(k) (requlremenLs for screenlng procedures) aragraph (d)(2)(l) does noL
prohlblL Lhe screened lawyer from recelvlng a sa|ary or partnersh|p share esLabllshed by prlor lndependenL
agreemenL buL LhaL lawyer may noL recelve compensaLlon dlrecLly relaLed Lo Lhe maLLer ln whlch Lhe lawyer ls
dlsquallfled
8 nC1lCL 1lMlnC (ASA) noLlce lncludlng a general descrlpLlon of Lhe sub[ecL maLLer abouL whlch Lhe lawyer was
consulLed and of Lhe screenlng procedures employed generally should be glven as soon as pracLlcable afLer Lhe need
for screenlng becomes apparenL
9 lor Lhe duLy of compeLence of a lawyer who glves asslsLance on Lhe merlLs of a maLLer Lo a prospecLlve cllenL see
8ule 11 lor a lawyers duLles when a prospecLlve cllenL enLrusLs valuables or papers Lo Lhe lawyers care see 8ule
113
31 MLkI1CkICUS CLAIMS AND CCN1LN1ICNS
ALLy should only brlng clalms LhaL have legal basls and facLual basls
are noL frlvolous
and lncludes good falLh argumenL Lo change law
CCMMLN1
1 ALLy has duLy Lo use law Lo beneflL cllenL
ALLy has duLy no Lo abuse legal procedures
8emember law ls amblguous
2 Clalm ls ok lf ALLy ls relylng on dlscovery
ALLy musL lmform hlmself abouL facLs law and deLermlne clalms are ln gf
Clalms are noL frlvolous [usL b/c you don'L Lhlnk you can wln
Clalms are frlvolous lf no gf argumenL on merlLs
3 1hls rule ls Lrumped by consLlLuLlon reqmL of crlmlnal defense asslsLance
of counsel (crlm defendanLs can presenL clalms oLherwlse prohlblLed)
32 LkLDI1ING LI1IGA1ICN
ALLy should expedlLe llLlgaLlon (conslsLenL w/ C lnLeresLs)
CCMMLN1
1 ALLy posLponlng for personal reasons ok someLlmes
8ouLlne delays for aLLy convenlence noL ok
uelays Lo frusLraLe opposlng parLy noL ok
!usL b/c a cL LoleraLes conducL lL ls noL ok
Ask would ALLy ln gf Lhlnk acLlon has purpose oLher Lhan delay?
uelays for flnanclal or oLher beneflL are nC1 leglL C lnLeresLs
33 CANDCk 1CWAkD 1nL 1kI8UNAL
(a) ALLy
(1) Shall nC1 Lle abouL Lhe facLs or Lhe law C8
Shall CorrecL prevlous lle abouL Lhe facLs or law
(2) Shall dlsclose legal auLhorlLy (precedenL) ln Lhe [urlsdlcLlon LhaL ls dlrecLly
adverse Lo ALLy's C even lf opposlng ALLy doesn'L menLlon lL
(3) Shall nC1 offer false evldence
ALLy musL Lake remedlal measures (lncludlng dlsclosure) lf ALLy laLer learns
evldence was false
ALLy MA? refuse Lo offer evldence reasonably belleved Lo be false (LxCL1
crlmlnal u's LesLlmony)
(b) ALLy ln ad[udlcaLlve proceedlng musL Lake reas remedlal measures
(lncludlng dlsclosure lf necessary) lf ALLy knCWS a person PAS lS or
ln1LnuS Lo engage ln crm/fraud conducL relaLed Lo Lhe proceedlng
(c) ulsclosure here Lrumps 816
(d) Lx parLe proceedlngs ALLy musL Lell cL all maLerlal facLs (adverse or noL)
LhaL ALLy knows
CCMMLN1
1 1rlbunal deflnlLlon ln 10(m) lncludes anclllary evenLs eg deposlLlons
2 ALLy has obllgaLlon Lo use persuaslve force uuLy of candor ls a llmlLaLlon
ALLy doesn'L have Lo be lmparLlal buL can'L leL cL be mlslead
8epn by an ALLy
3
81 8Ak ADMISSICN AND DISCILINAk MA11LkS
An appllcanL for admlsslon Lo Lhe bar C8
An ALLy ln connecLlon wlLh a bar admlsslon appllcaLlon C8
An ALLy ln connecLlon wlLh a dlsclpllnary maLLer
(a) SPALL nC1 knowlngly make a false sLaLemenL of mater|a| fact C8
(b) SPALL ulSCLCSL a facL necessary Lo correcL a mlsapprehenslon known by Lhe
AppllcanL/ALLy Lo have arlsen ln Lhe maLLer C8
SPALL respond Lo a lawful demand for lnformaLlon (from an admlsslons or
dlsclpllnary auLhorlLy)
unLLSS Lhe lnformaLlon ls oLherwlse proLecLed by 8ule 16
CCMMLN1
1 1he duLy lmposed by Lhls 8ule exLends Lo persons seeklng admlsslon Lo Lhe bar as
well as Lo lawyers Pence lf a person makes a maLerlal false sLaLemenL ln connecLlon
wlLh an app||cat|on for adm|ss|on |t may be the bas|s for subsequent d|sc|p||nary
act|on lf Lhe person ls admlLLed and ln any evenL may be relevanL ln a subsequenL
admlsslon appllcaLlon (revlous lles can geL you laLer)
1he duLy lmposed by Lhls 8ule applles Lo a lawyers own admlsslon or dlsclpllne as
well as LhaL of others 1hus lL ls a separaLe professlonal offense for a lawyer Lo
knowlngly make a mlsrepresenLaLlon or omlsslon ln connecLlon wlLh a dlsclpllnary
lnvesLlgaLlon of Lhe lawyers own conducL (uon'L lle ln dlsclpllne lnvesLlgaLlons don'L
lle abouL oLher people)
aragraph (b) of Lhls 8ule also requlres correcLlon of any prlor mlssLaLemenL ln Lhe
maLLer LhaL Lhe appllcanL or lawyer may have made and aff|rmat|ve c|ar|f|cat|on of
any m|sunderstand|ng on Lhe parL of Lhe admlsslons or dlsclpllnary auLhorlLy of
whlch Lhe AppllcanL/ALLy lnvolved becomes aware
2 1hls 8ule ls sub[ecL Lo Lhe provlslons of Lhe I|fth Amendment of Lhe unlLed SLaLes
ConsLlLuLlon and correspondlng provlslons of sLaLe consLlLuLlons A person relylng on
such a provlslon ln response Lo a quesLlon however should do so openly and noL
use Lhe rlghL of nondlsclosure as a [usLlflcaLlon for fallure Lo comply wlLh Lhls 8ule
(3
Lh
amendmenL Lrumps Lhls rule buL you musL afflrmaLlvely clalm Lhe prlvllege)
3 A lawyer represenLlng an appllcanL for admlsslon Lo Lhe bar or represenLlng a
lawyer who ls Lhe sub[ecL of a dlsclpllnary lnqulry or proceedlng ls governed by Lhe
rules appllcable Lo Lhe cllenLlawyer relaLlonshlp lncludlng 8ule 16 and ln some
cases 8ule 33 (rlvllege for ALLys represenLlng oLher AppllcanL/ALLys)
kULL 82 IUDICIAL AND LLGAL CIIICIALS
(a) ALLy MuS1 nC1 make a sLaLemenL
abouL Lhe quallflcaLlons C8 lnLegrlLy
of a [udge ad[udlcaLory offlcer publlc legal offlcer elecLlon candldaLe or appolnLee
when Lhe ALLy knows Lhe sLaLemenL ls false C8
when Lhe ALLy has reck|ess d|sregard for Lhe LruLh/falslLy
(b) A lawyer who ls a candldaLe for [udlclal offlce shall comply wlLh Lhe appllcable
provlslons of Lhe Code of Iud|c|a| Conduct
CCMMLN1
1 AssessmenLs by lawyers are relled on ln evaluaLlng Lhe professlonal or personal
flLness of persons belng consldered for elecLlon or appolnLmenL Lo [udlclal offlce and
Lo publlc legal offlces such as aLLorney general prosecuLlng aLLorney and publlc
defender Lxpresslng honesL and candld oplnlons on such maLLers conLrlbuLes Lo
lmprovlng Lhe admlnlsLraLlon of [usLlce Conversely false sLaLemenLs by a lawyer can
unfalrly undermlne publlc confldence ln Lhe admlnlsLraLlon of [usLlce
2 When a lawyer seeks [udlclal offlce Lhe lawyer should be bound by appllcable
llmlLaLlons on pollLlcal acLlvlLy
3 1o malnLaln Lhe falr and lndependenL admlnlsLraLlon of [usLlce lawyers are
encouraged Lo conLlnue LradlLlonal efforLs Lo defend [udges and courLs un[usLly
crlLlclzed
kULL 83 kLCk1ING kCILSSICNAL MISCCNDUC1
(a) ALLy A MuS1 lnform Lhe approprlaLe professlonal auLhorlLy (usually board of law examlners)
lf ALLy A knows LhaL ALLy 8 has commlLLed a vlolaLlon of Lhe M8C
and Lhe vlolaLlon ralses a substant|a| (serlous) quesLlon as Lo ALLy 8's honesLy/LrusLworLhlness/flLness as ALLy
(b) ALLy A MuS1 lnform Lhe approprlaLe auLhorlLy
lf ALLy A knows LhaL a [udge has commlLLed a vlolaLlon of appllcable rules of [udlclal conducL
and Lhe vlolaLlon ralses a substant|a| quesLlon as Lo Lhe [udges f|tness for off|ce
(c) lnformaLlon should nC1 be dlsclosed lf
obLalned under 16 (ConfldenLlallLy) C8
obLalned Lhrough an approved lawyers asslsLance program
CCMMLN1
1 Se|fregu|at|on of Lhe legal professlon requlres LhaL members of Lhe professlon |n|t|ate dlsclpllnary |nvest|gat|on when Lhey know of a vlolaLlon
of Lhe 8ules of rofesslonal ConducL Lawyers have a slmllar obllgaLlon wlLh respecL Lo [udlclal mlsconducL
lnvesLlgaLlons needed b/c lsolaLed lncldenLs can really be paLLerns
8eporLlng lmporLanL b/c C's (vlcLlms) may be unaware of offense (lmporLance of reporLlng)
2 A reporL abouL mlsconducL ls noL requlred where lL would lnvolve vlolaLlon of 8ule 16
lf C's lnLeresLs are noL subsLanLlally pre[udlced by prosecuLlon ALLy should encourage C Lo consenL Lo dlsclosure
3 ?ou don'L have Lo LaLLle abouL everyLhlng lf a lawyer were obllged Lo reporL every vlolaLlon of Lhe 8ules Lhe fallure Lo reporL any vlolaLlon
would lLself be a professlonal offense Such a requlremenL exlsLed ln many [urlsdlcLlons buL proved Lo be unenforceable
1hls 8ule ||m|ts the report|ng ob||gat|on to those offenses that a se|fregu|at|ng profess|on must v|gorous|y endeavor to prevent A measure of
[udgmenL ls Lherefore requlred ln complylng wlLh Lhe provlslons of Lhls 8ule 1he Lerm substant|a| refers to the ser|ousness of Lhe posslble
offense and noL Lhe quanLum of evldence of whlch Lhe lawyer ls aware
A reporL should be made Lo Lhe bar dlsclpllnary agency unless some oLher agency such as a peer revlew agency ls more approprlaLe ln Lhe
clrcumsLances (Check whlch ls Lhe agency Lo whlch you should reporL)
Slmllar conslderaLlons apply Lo Lhe reporLlng of [udlclal mlsconducL
4 ALLy A repn ALLy 8 musL malnLaln confldenLlallLy 1he duLy Lo reporL professlonal mlsconducL does noL apply Lo a |awyer reta|ned to represent a
|awyer whose professlonal conducL ls ln quesLlon Such a slLuaLlon ls governed by Lhe 8ules appllcable Lo Lhe cllenLlawyer relaLlonshlp
3 lnformaLlon abouL a lawyers or [udges mlsconducL or flLness may be recelved by a lawyer ln Lhe course of LhaL lawyers parLlclpaLlon ln an
approved lawyers or [udges asslsLance program ln LhaL clrcumsLance provldlng for an excepLlon Lo Lhe reporLlng requlremenLs of paragraphs (a)
and (b) of Lhls 8ule encourages |awyers and [udges to seek treatment through such a program Conversely wlLhouL such an excepLlon lawyers
and [udges may heslLaLe Lo seek asslsLance from Lhese programs whlch may Lhen resulL ln addlLlonal harm Lo Lhelr professlonal careers and
addlLlonal ln[ury Lo Lhe welfare of cllenLs and Lhe publlc 1hese 8ules do noL oLherwlse address Lhe confldenLlallLy of lnformaLlon recelved by a
lawyer or [udge parLlclpaLlng ln an approved lawyers asslsLance program such an obllgaLlon however may be lmposed by Lhe rules of Lhe
program or oLher law
kULL 84 MISCCNDUC1
(a) ALLy MuS1 nC1 vlolaLe C8 aLLempL Lo vlolaLe Lhe M8C
ALLy A MuS1 nC1 knowlngly asslsL anoLher ALLy Lo vlolaLe Lhe M8C
ALLy A MuS1 nC1 knowlngly lnduce anoLher ALLy Lo vlolaLe Lhe M8C
ALLy A MuS1 nC1 vlolaLe Lhe M8C Lhrough someone else
(b) ALLy MuS1 nC1 commlL a crlmlnal acL LhaL reflecLs adversely on Lhe ALLy's honesLy
LrusLworLhlness or flLness as a lawyer ln oLher respecLs
(c) ALLy MuS1 nC1 engage ln conducL lnvolvlng dlshonesLy fraud decelL or
mlsrepresenLaLlon
(d) ALLy MuS1 nC1 engage ln conducL LhaL ls pre[udlclal Lo Lhe admlnlsLraLlon of [usLlce
(e) ALLy MuS1 nC1 say C8 lmply LhaL ALLy can lnfluence govL agency/offlclal
ALLy MuS1 nC1 say C8 lmply LhaL ALLy can achleve resulLs by vlolaLlve conducL
(f) ALLy MuS1 nC1 knowlngly asslsL a [udge/[udlclal offlcer ln vlolaLlve conducL