Breakdown of ABA Model Rules

Question 1

Competency Rule

Answer 1

A lawyer shall provide competent representation to a client.

This requires:
1. Legal knowledge,
2. Skill,
3. Thoroughness, and
4. Preparation reasonably necessary for the representation.

Question 2

Belief (definition)

Answer 2

Denotes that the person involved actually supposed the fact in question to be true. May be inferred from circumstances.

Question 3

Confirmed in Writing (definition)

Answer 3

When used in reference to the informed consent of a person, denotes consent that is given in writing by the person or a writing that a lawyer promptly transmits to the person confirming an oral informed consent. If it is not feasible to obtain the writing at the time the person gives informed consent, then the lawyer must obtain it within a reasonable time thereafter.

Question 4

Firm/Law Firm (definition)

Answer 4

Denotes a lawyer(s) in a law partnership, professional corporation, sole proprietorship, or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization.

Question 5

Fraud (definition)

Answer 5

Denotes conduct that is fraudulent under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive.

This does not include merely negligent misrepresentation or negligent failure to apprise another of relevant information. For purposes of these Rules, it is not necessary that anyone has suffered damages or relied not the misrepresentation or failure to inform.

Question 6

Informed Consent (definition)

Answer 6

Denotes the agreement by a person to a proposed course of conduct after the lawyer has communicated adequate information and explanation about the material risks of and reasonably available alternatives to the proposed course of conduct.

Question 7

Knowingly/Known/Knows (definition)

Answer 7

Denotes actual knowledge of the fact in question. A person’s knowledge may be inferred from circumstances.

Question 8

Partner (definition)

Answer 8

Denotes a member of a partnership, a shareholder in a law firm organized as a professional corporation, or a member of an association authorized to practice law.

Question 9

Reasonable/Reasonably (definition)

Answer 9

When used in relation to conduct by a lawyer denotes the conduct of a reasonably prudent and competent lawyer.

Question 10

Reasonable Belief/Reasonably Believes (definition)

Answer 10

When used in reference to a lawyer denotes that the lawyer believes the matter in question and that the circumstances are such that the belief is reasonable.

Question 11

Reasonably Should Know (definition)

Answer 11

When used in reference to a lawyer denotes that a lawyer of reasonable prudence and competence would ascertain the matter in question.

Question 12

Screened (definition)

Answer 12

Denotes the isolation of a lawyer from any participation in a matter through the timely imposition of procedures within a firm that are reasonably adequate under the circumstances to protect information that the isolated lawyer is obligated to protect under these Rules or other law.

Question 13

Substantial (definition)

Answer 13

When used in reference to degree or extent denotes a material matter of clear and weighty importance.

Question 14

Tribunal (definition)

Answer 14

Denotes a court, an arbitrator in a binding arbitration proceeding or legislative body, administrative agency, or other body acting in an adjudicative capacity.

Question 15

Writing/Written (definition)

Answer 15

Denotes a tangible or electronic record of a communication or representation, including handwriting, typewriting, printing, photostating, photography, audio or video recording, and electronic communications.

Question 16

Scope of Representation in Client-Lawyer Relationship

Answer 16

A lawyer shall abide by a client’s decision concerning the objectives of representation and, as required, shall consult with the client as to the means by which they are to be pursued. A lawyer may take such action on behalf of the client as impliedly authorized to carry out the representation. A lawyer shall abide by a client’s decision whether to settle a matter.

Question 17

Scope of Representation in Client-Lawyer Relationship in Criminal Matter

Answer 17

In a criminal case, the lawyer shall abide by the client’s decision, after consultation with the lawyer:

1. To a plea to be entered,
2. Whether to waive a jury trial, and
3. Whether the client will testify.

Question 18

Endorsement of Client in Client-Lawyer Relationship

Answer 18

A lawyer’s representation of a client, including representation by appointment, does not constitute an endorsement of the client’s political, economic, social or moral views or activities.

Question 19

Limiting the Scope of Representation in Client-Lawyer Relationship

Answer 19

A lawyer may limit the scope of representation if the limitation is:

1. Reasonable under the circumstances, and
2. The client gives informed consent.

Question 20

Criminal/Fraudulent Acts in Client-Lawyer Relationship

Answer 20

A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, or meaning or application of the law.

Question 21

Diligence Rule for Client-Lawyer Relationship

Answer 21

A lawyer shall act with reasonable diligence and promptness in representing a client.

Question 22

Requirements regarding Communications in Client-Lawyer Relationship

Answer 22

A lawyer shall:

1. Promptly inform the client of any decision or circumstance with respect to which the client’s informed consent;
2. Reasonably consult with the client about the means by which the client’s objectives are to be accomplished;
3. Keep the client reasonably informed about the status of the matter;
4. Promptly comply with reasonable requests for information; and
5. Consult with the client about any relevant limitation on the lawyer’s conduct when the lawyer knows that the client expects assistance not permitted by the Rules or other law.

Question 23

Explaining Matters/Communications in Client-Lawyer Relationship

Answer 23

A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.

Question 24

Factors Considered in Determining the Reasonableness of a Fee

Answer 24

1. The time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly;
2. The likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer;
3. The fee customarily charged in the locality for similar legal services;
4. The amount involved and the results obtained;
5. The time limitations imposed by the client or by the circumstances;
6. The nature and length of the professional relationship with the client;
7. The experience, reputation, and ability of the lawyer or lawyers performing the services; and
8. Whether the fee is fixed or contingent.

Question 25

Rate of Fee and Expenses

Answer 25

Scope of representation and basis/rate of the fee and expenses for which the client will be responsible:

1. Shall be communicated to the client (preferably in writing),
2. Before or within a reasonable time after commencing representation.

Exception: When the lawyer will charge a regularly represented client on the same basis or rate.

Any changes in the rate shall be communicated to the client.

Question 26

Contingency Fees

Answer 26

A fee may be contingent on the outcome of the matter for which the service is rendered, except as prohibited by the model rules.

A contingency fee:
1. Shall be in writing signed by the client; and
2. Shall state the method by which the fee is to be determined (including percentages that shall accrue to the lawyer in event of settlement, trial or appeal);
3. Must clearly notify client of any expenses for which they will be liable whether or not the client is the prevailing party.

Question 27

Lawyers Cannot Collect Contingency Fees on These Matters

Answer 27

1. Any fee in a domestic relation matter, the payment or amount of which is contingent upon the securing of a divorce or upon the amount of alimony or support, or property settlement in lieu thereof; or
2. A contingent fee representing a defendant in a criminal case.

Question 28

Division of Fees Between Lawyers Not in the Same Firm

Answer 28

This can only occur if:

1. The division is in proportionate to the services performed by each lawyer or each lawyer assumes joint responsibility for the representation;
2. The client agrees to the arrangement, including the share each lawyer will receive, and the agreement is confirmed in writing; and
3. The total fee is reasonable.

Question 29

General Confidentiality Rule

Answer 29

A lawyer shall not reveal information to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order the carry out the representation or the disclosure is permitted by the model rules.

Question 30

A Lawyer May Reveal Information During These Scenarios

Answer 30

A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary:

1. To prevent reasonably certain death or substantial bodily harm;
2. To prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used the lawyer’s services;
3. To prevent, mitigate, or rectify substantial injury to the financial interests or property of another that is reasonably certain to result from the client’s commission of a crime or fraud in furtherance of which the client has used the lawyer’s services;
4. To secure legal advice about the lawyer’s compliance with the Model Rules;
5. To establish a claim/defense on behalf of the lawyer in a controversy between the lawyer and client; to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer’s representation of the client;
6. To comply with other law or a court order; or
7. To detect and resolve conflicts of interest arising from the lawyer’s change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client.

Question 31

Preventing Disclosures of Client Information

Answer 31

A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.

Question 32

Conflicts of Interest - Concurrent Conflicts

Answer 32

A concurrent conflict of interest exists if:

1. The representation of one client will be directly adverse to another client; or
2. There is a significant risk that the representation of one or more clients will be materially limited by the lawyer’s responsibilities to another client, a former client, or a third person or by a personal interest of the lawyer.

Question 33

Conflicts of Interest - Represent Anyway

Answer 33

Despite concurrent conflicts of interest, a lawyer may represent a client if:

1. The lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client;
2. The representation is not prohibited by law;
3. The representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and
4. Each affected client gives informed consent, confirmed in writing.

Question 34

Business Transactions With Current Clients

Answer 34

A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security, or other pecuniary interest adverse to a client unless:

1. The transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client;
2. The client is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel on the transaction; and
3. The client gives informed consent, in a writing signed by the client, to the essential terms of the transaction and the lawyer’s role in the transaction, including whether the lawyer is representing the client in the transaction.

Question 35

Information Relating to Representation of Current Clients

Answer 35

A lawyer shall not use information relating to representation of a client to the disadvantage of the client unless the client gives informed consent, except as permitted or required by the Model Rules.

Question 36

Gifting From Clients

Answer 36

A lawyer shall not solicit any substantial gift from a client, including a testamentary gift, or prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer any substantial gift unless the lawyer or other recipient of the gift is related to the client.

Related persons: spouse, child, grandchild, parent, grandparent, or other relative/individual with whom the lawyer or the client maintains a close, familial relationship.

Question 37

Literary or Media Rights Rule

Answer 37

Prior to the conclusion of representation of a client, a lawyer shall not make or negotiate an agreement giving the lawyer literary or media rights to a portrayal or account based in substantial part on information relating to the representation.

Question 38

Financial Assistance to a Client

Answer 38

A lawyer shall not provide financial assistance to a client in connection with pending or contemplated litigation, except that:

1. A lawyer may advance court costs and expenses of litigation, the repayment of which may be contingent on the outcome of the matter;
2. A lawyer representing an indigent client may pay court costs and expenses of litigation on behalf of the client; and
3. A lawyer representing an indigent client pro bono, a lawyer representing an indigent client pro bono through a nonprofit legal services or public interest organization and a lawyer representing an indigent client pro bono through a law school clinic or pro bono program may provide modest gifts to the client for food, rent, transportation, medicine, and other basic living expenses. However, the lawyer:
   a. May not promise, assure, or imply the availability of such gifts prior to retention or as an inducement to continue the client-lawyer relationship after retention;
   b. May not seek or accept reimbursement from the client, a relative of the client or anyone affiliated with the client; and
   c. May not publicize or advertise a willingness to provide such gifts to prospective clients.

Question 39

Accepting Compensation for Representing from Third Party

Answer 39

A lawyer shall not accept compensation for representing a client from one other than the client unless:

1. The client gives informed consent;
2. There is not interference with the lawyer’s independence of professional judgment or with the client-lawyer relationship; and
3. Information relating to representation of a client is protected as required by Rule 1.6.

Question 40

Representing Two or More Clients

Answer 40

A lawyer who represents two or more clients shall not participate in making an aggregate settlement of the clients of or against the clients, or in a criminal case an aggregated agreement as to guilty or nolo contendere pleas, unless each client gives informed consent, in a writing signed by the client. The lawyer’s disclosure shall include the existence and nature of all the claims or pleas involved and of the participation of each person in the setltlement.

Question 41

No-go’s for Lawyers Regarding Liability

Answer 41

A lawyer shall not:

1. Make an agreement prospectively limiting the lawyer’s liability to a client for malpractice unless the client is independently represented in making the agreement; or
2. Settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith.

Question 42

Acquiring Proprietary Interest in Cause of Action

Answer 42

A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of litigation the lawyer is conducting for a client, except that the lawyer may:

1. Acquire a lien authorized by law to secure the lawyer’s fee or expenses; and
2. Contract with a client for a reasonable contingent fee in a civil case.

Question 43

Sexual Relationships with Clients

Answer 43

A lawyer shall not have sexual relations with a client unless a consensual sexual relationship existed between them when the client-lawyer relationship commenced.

Question 44

Former Clients General Rule

Answer 44

A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person’s interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing.

Question 45

Former Clients and Formerly Associated Firms

Answer 45

A lawyer shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client:

1. Whose interests are materially adverse to that person; and
2. About whom the lawyer had acquired information protected by Rules 1.6 and 1.9(c) that is material to the matter; unless the former client gives informed consent, confirmed in writing.

Question 46

Former Client Representation No-Go’s

Answer 46

A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter:

1. Use information relating to the representation to the disadvantage of the former client except at the Model Rules would permit or require with respect to a client, or when the information has become generally known; or
2. Reveal information relating to the representation except as the Model Rules permit or require with respect to a client.

Question 47

Imputation of Conflicts of Interest General Rule

Answer 47

While lawyers are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by Rules 1.7 and 1.9, unless:

1. The prohibition is based on a personal interest of the disqualified lawyer and does not present a significant risk of materially limiting the representation of the client by the remaining lawyers in the firm; or
2. The prohibition is based on Rule 1.9(a) or (b) and arises out of the disqualified lawyer’s association with a prior firm, and
   a. The disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom;
   b. Written notice is promptly given to any affected former client to enable the former client to ascertain compliance with the provisions of this Rule, which shall include a description of the screening procedures employed; a statement of the firm’s and of the screened lawyer’s compliance with these Rules; a statement that review may be available before a tribunal; and an agreement by the firm to respond promptly to any written inquiries or objections by the former client about the screening procedures; and
   c. Certifications of compliance with the Model Rules and with the screening procedures are provided to the former client by the screened lawyer and by a partner of the firm, at reasonable intervals upon the former client’s written request and upon termination of the screening procedures.

Question 48

Termination with a Firm and Conflicts of Interest

Answer 48

When a lawyer has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm, unless:

1. The matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and
2. Any lawyer remaining in the firm has information protected by Rule 1.6 and 1.9(c) that is material to the matter.

Question 49

General Rule for Former/Current Government Officers/Employees

Answer 49

Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government:

1. Is subject to Rule 1.9(c); and
2. Shall not otherwise represent a client in connection with a matter in which the lawyer participated personally or substantially as a public officer, unless the appropriate government agency gives its informed consent, confirmed in writing, to the representation.

Question 50

Other Lawyers Associated with a Former Government Officer/Employee

Answer 50

When a lawyer is disqualified from representation, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter, unless:

1. The disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefore; and
2. Written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of the Rule.

Question 51

Former Government Officer and Confidential Government Information

Answer 51

Except as law may otherwise expressly permit, a lawyer having information that the lawyer knows is confidential government information about a person acquired when the lawyer was a public officer or employee, may not represent a private client whose interests are adverse to that person in a matter in which the information could be used to the material disadvantage of that person.

Question 52

Lawyer Currently Serving as Government Officer

Answer 52

Except as law may otherwise expressly permit, a lawyer currently servicing as a public officer:

1. Is subject to Rules 1.7 and 1.9; and
2. Shall not:
   a. Participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless the appropriate government agency gives its informed consent, confirmed in writing; or
   b. Negotiate for private employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially, except that a lawyer serving as a law clerk to a judge, other adjudicative officer or arbitrator may negotiate for private employment as permitted by the Model Rules.

Question 53

Representation and Former Judges, Arbitrators, Mediators, or Other Third-Party Neutrals General Rule

Answer 53

A lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer or law clerk to such a person or as an arbitrator, mediator, or third-party neutral, unless all parties to the proceeding give informed consent, confirmed in writing.

Question 54

Negotiation for Employment & Former Judges, Arbitrators, Mediators, or Other Third-Party Neutrals

Answer 54

A lawyer shall not negotiate for employment with any person who is involved as a party or as a lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator, or other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge or other adjudicative officer.

Question 55

Lawyers in a Firm with Lawyer Disqualified by Former Judges, Abritrators, Mediators, or Other Third Party Neutrals

Answer 55

If a lawyer is disqualified, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in the matter unless:

1. The disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and
2. Written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this Rule.

Question 56

Organizations as Client General Rule

Answer 56

A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents.

Question 57

Employee in Represented Organization Engaged in Action

Answer 57

If a lawyer for an organization knows that an officer, employee, or other person associated with the organization is engaged in action, intends to act or refuses to act in a matter related to the representation that is a violation of a legal obligation to the organization, or a violation of law that reasonably might be imputed to the organization, and that is likely to result in substantial injury to the organization, then the lawyer shall proceed as is reasonably necessary in the best interest of the organization. Unless the lawyer reasonably believes that it is not necessary in the best interest of the organization to do so, the lawyer shall refer the matter to higher authority in the organization, including, if warranted by the circumstances to the highest authority that can act on behalf of the organization as determined by the applicable law.

Question 58

Revealing Information during Representation of an Organization

Answer 58

If,
1. Despite the lawyer’s efforts in accordance with the Rules, the highest authority that can act on behalf of the organization insist upon or fails to address in a timely and appropriate manner an action, or a refusal to act, that is clearly a violation of law, and
2. The lawyer reasonably believes that the violation is reasonably certain to result in substantial injury to the organization, then the lawyer may reveal information relating to the representation whether or not Rule 1.6 permits such disclosure, but only if and to the extent the lawyer reasonably believes necessary to prevent substantial injury to the organization.

Question 59

Exception to Revealing Information on Organization

Answer 59

The rule may not apply with respect to information relating to a lawyer’s representation of an organization to investigate an alleged violation of law, or to defend the organization or an officer, employee or other constituent associated with the organization against a claim arising out of an alleged violation of law.

Question 60

Discharged from Representation of Organization

Answer 60

A lawyer who reasonably believes that he or she has been discharged or who withdraws under circumstances that require or permit the lawyer to take action under certain Rules, shall proceed as the lawyer reasonably believes necessary to assure that the organization’s highest authority is informed of the lawyer’s discharge or withdrawal.

Question 61

Organization as Identity of Client to Adverse Par

Answer 61

In dealing with an organization’s directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identify of the client when the lawyer knows or reasonable should know that the organization’s interests are adverse to those of the constituents with whom the lawyer is dealing.

Question 62

Representing Organization and Its Employees

Answer 62

A lawyer representing an organization may also represent any of its directors, officers, employees, members, shareholders, or other constituents, subject to provisions of the Model Rules. If the organization’s consent to the dual representation is required, the consent shall be given by an appropriate official of the organization other than the individual who is to be represented, or by the shareholders.

Question 63

Client with Diminished Capacity Rule

Answer 63

When a client’s capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment or for some other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client.

Question 64

Protective Actions on Behalf of Clients with Diminished Capacity

Answer 64

When the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial, or other harm unless action is taken and cannot adequately act in the client’s own interest, the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator, or guardian.

Question 65

Information of Client with Diminished Capacity

Answer 65

Information relating to the representation of a client with diminished capacity is protected by Rule 1.6. When taking protective action pursuant to the Model Rules, the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client’s interests.

Question 66

Safekeeping Property General Rule

Answer 66

A lawyer shall hold property of clients or third persons that is in a lawyer’s possession in connection with a representation separate from the lawyer’s own property. Funds shall be kept in a separate account maintained in the state where the lawyer’s office is situated, or elsewhere with the consent of the client or third person.

Question 67

Depositing Own Funds in Client Trust

Answer 67

A lawyer may deposit the lawyer’s own funds in a client trust account for the sole purpose of paying bank service charges on that account, but only in an amount necessary for that purpose.

Question 68

Depositing Money into Trust Account

Answer 68

A lawyer shall deposit into a client trust account legal fees and expenses that have been paid in advance, to be withdrawn by the lawyer only as fees are earned or expenses incurred.

Question 69

Receiving Property in Interest of Client or Third Party

Answer 69

Upon receiving funds or other property in which a client or third party has an interest in, a lawyer shall promptly notify the client or third person. Except as stated in this rule or otherwise permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, upon request by client or third person, shall promptly render a full accounting regarding such property.

Question 70

Two or More Persons Claiming Interest in Property

Answer 70

When in the course of representation a lawyer is in possession of property in which two or more persons (one of whom may be the lawyer) claim interests, the property shall be kept separate by the lawyer until the dispute is resolved. The lawyer shall promptly distribute all portions of the property as to which the interests are not in dispute.

Question 71

Required Considerations in Declining or Terminating Representation

Answer 71

A lawyer shall not represent a client or, where representation has commenced, shall withdraw from the representation of a client if:

1. The representation will result in violation of the Rules of Conduct or other law;
2. The lawyer’s physical or mental condition materially impairs the lawyer’s ability to represent the client;
3. The lawyer is discharged; or
4. The client or prospective client seeks to use or persists in using the lawyer’s services to commit or further a crime or fraud.

Question 72

Potential Causes in Declining or Terminating Representation

Answer 72

A lawyer may withdraw from representing a client if:

1. Withdrawal can be accomplished without material adverse effect on the interests of the client;
2. The client persists in a course of action involving the lawyer’s services that the lawyer reasonably believes is criminal or fraudulent;
3. The client has used the lawyer’s services to perpetrate a crime or fraud;
4. The client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement;
5. The client fails substantially to fulfill an obligation to the lawyer regarding the lawyer’s services and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled;
6. The representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or
7. Other good cause for withdrawal exists.

Question 73

Notice or Permission in Declining/Terminating Representation

Answer 73

A lawyer must comply with applicable law requiring notice to or permission of a tribunal when terminating a representation. when ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation.

Question 74

Steps Taken Upon Termination

Answer 74

Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client’s interests, such as giving reasonable notice to a client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payment of fee or expense that has not been earned or incurred. The lawyer may retain papers relating to the client to the extent permitted by other law.

Question 75

Sale of Law Practice General Rule

Answer 75

A lawyer or law firm may sell or purchase a law practice, or an area of law practice, including good will, if the following conditions are satisfied:

1. The seller ceases to engage in the private practice of law, or in the area of practice that has been sold [in the geographic area] [in the jurisdiction] (a jurisdiction may elect either version) in which the practice has been conducted;
2. The entire practice, or the entire area of practice, is sold to one or more lawyers or law firms;
3. The seller gives written notice to each of the seller’s clients regarding:

a. The proposed sale;
b. The client’s right to retain other counsel or to take possession of the file; and
c. The fact that the client’s consent to the transfer of the client’s files will be presumed if the client does not take any action or does not otherwise object within ninety (90) days of receipt of the notice; If client cannot be given notice, the representation of that client may be transferred to the purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may disclose to the court in camera information relating to the representation only to the extent necessary to obtain an order authorizing the transfer of a file.

4. The fees charged client shall not be increased by reason of the sale.

Question 76

Prospective Client Definition Rule

Answer 76

A person who consults with a lawyer about the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client.

Question 77

Prospective Client’s Information

Answer 77

Even when no client-lawyer relationship ensues, a lawyer who has learned information from a prospective client shall not use or reveal that information, except as Rule 1.9 would permit with respect to a former client.

Question 78

Prospective Clients and Material Adverse to Their Matter

Answer 78

A lawyer shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in these Rules. If a lawyer is disqualified from representation, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter, except as provided in these Rules.

Question 79

Representation to Prospective Clients Despite Materially Adverse Interests to Former Clients

Answer 79

When the lawyer has received disqualifying information as defined in these Rules, representation is permissible if:

1. Both the affected client and the prospective client have given informed consent, confirmed in writing, or;
2. The lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client; and
   a. The disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and
   b. The written notice is promptly given to the prospective client.

Question 80

Advisor Rule

Answer 80

In representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice, a lawyer may refer not only to law but to other considerations such as moral, economic, social, and political factors that may be relevant to the client’s situation.

Question 81

Evaluation for Use by Third Persons General Rule

Answer 81

A lawyer may provide an evaluation of a matter affecting a client for the use of someone other than the client if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer’s relationship with the client.

Question 82

Evaluation for Use by Third Persons that is Materially Adverse to Client

Answer 82

When the lawyer knows or reasonably should know that the evaluation is likely to affect the client’s interests materially and adversely, the lawyer shall not provide the evaluation unless the client gives informed consent.

Question 83

Protection of Information During Evaluations for Use by Third Persons

Answer 83

Except as disclosure is authorized in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by Rule 1.6

Question 84

Lawyer Serving as Third-Party Neutral Definition/Parameters

Answer 84

A lawyer serves as a third-party neutral when the lawyer assists two or more persons who are not clients of the lawyer to reach a resolution of a dispute or other matter that has arise between them. Service as a third-party neutral may include service as an arbitrator, mediator, or in such other capacity as will enable the lawyer to assist the parties to resolve the matter.

Question 85

Informing Parties of Third-Party Neutral Status

Answer 85

A lawyer serving as a third-party neutral shall inform unrepresented parties that the lawyer is not representing them. When the lawyer knows or reasonably should know that a party does not understand the lawyer’s role in the matter, the lawyer shall explain the difference between the lawyer’s role as third party neutral and a lawyer’s role as one who represents a client.

Question 86

Meritorious Claims and Contentions Rule

Answer 86

A lawyer shall not bring or defend a proceeding, or assert or controvert as issue therein, which includes a good faith argument for an extension, modification or reversal of existing law. A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established.

Question 87

Expediting Litigation Rule

Answer 87

A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of the client.

Question 88

Candor Toward the Tribunal General Rule

Answer 88

A lawyer shall not knowingly:

1. Make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer;
2. Fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or
3. Offer evidence that the lawyer knows the be false. If a lawyer, the lawyer’s client, or a witness called by the lawyer, has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyer reasonably believes is false.

Question 89

Client Intends to Engage in Conduct Unbecoming in Proceedings

Answer 89

A lawyer who represents a client in an adjudicative proceeding and who knows that a person intends to engage, is engaging, or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal.

Question 90

Ex Parte Proceedings and Disclosure of Information to Tribunal

Answer 90

In an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse.

Question 91

Fairness to Opposing Party & Counsel

Answer 91

A lawyer shall not:

1. Unlawfully obstruct another party’s access to evidence or unlawfully alter, destroy, or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act;
2. Falsify evidence, counsel, or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law;
3. Knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists;
4. In pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party;
5. In trial, allude to any matter that the lawyer does not reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or
6. Request a person other than a client to refrain from voluntarily giving relevant information to another party unless:
   a. the person is a relative or an employee or other agent of a client; and
   b. the lawyer reasonably believes that the person’s interests will not be adversely affected by refraining from giving such information.

Question 92

Impartiality & Decorum of the Tribunal

Answer 92

A lawyer shall not:

1. Seek to influence a judge, juror, prospective juror or other official by means prohibited by law;
2. Communicate ex parte with such a person during the proceeding unless authorized to do so by law or court order;
3. Communicate with a juror or prospective juror after discharge of the jury if:
   a. The communication is prohibited by law or court order;
   b. The juror has made known to the lawyer a desire not to communicate; or
   c. The communication involves misrepresentation, coercion, duress, or harassment; or
4. Engage in conduct intended to disrupt a tribunal.

Question 93

Trial Publicity General Rule

Answer 93

A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter.

Question 94

Lawyer’s Parameters for Trial Publicity

Answer 94

A lawyer may state:

1. The claim, offense, or defense involved and, except when prohibited by law, the identity of the persons involved;
2. Information contained in a public record;
3. That an investigation of a matter is in progress;
4. The scheduling or result of any step in litigation;
5. A request for assistance in obtaining evidence and information necessary thereto;
6. A warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest; and
7. In a criminal case,
   a. The identity, residence, occupation, and family status of the accused;
   b. If the accused has not been apprehended, information necessary to aid in apprehension of that person;
   c. The fact, time, and place of arrest; and
   d. The identity of investigating and arresting officers or agencies and the length of the investigation.

Question 95

Response to Recent Publicity Not Initiated by Lawyer

Answer 95

A lawyer may make a statement that a reasonable lawyer would believe is required to protect a client from the substantial undue prejudicial effect of recent publicity not initiated by the lawyer or lawyer’s client. A statement made pursuant to this Rule shall be limited to such information as is necessary to mitigate the recent adverse publicity.

Question 96

Lawyer as Witness General Rule

Answer 96

A lawyer shall not act as an advocate at a trial in which the lawyer is likely to be a necessary witness unless:

1. The testimony relates to an uncontested issue;
2. The testimony relates to the nature and value of legal services rendered in the case; or
3. Disqualification of the lawyer would work substantial hardship on the client.

Question 97

Advocate for Another Lawyer’s Trial

Answer 97

A lawyer may act as an advocate in a trial in which another lawyer in the lawyer’s firm is likely to be called as a witness unless precluded from doing so.

Question 98

Special Responsibilities of a Prosecutor

Answer 98

The prosecutor in a criminal case shall:

1. Refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause;
2. Make reasonable efforts to assure that the accused has been advised of the right to, and the procedure of obtaining, counsel and has been given reasonable opportunity to obtain counsel;
3. Not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the right to a preliminary hearing;
4. Make timely disclosure to the defense of all evidence or information known to the prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection with sentencing, disclose to the defense and to the tribunal all unprivileged mitigating information known to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of the tribunal;
5. Not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence about a past or present client unless the prosecutor reasonably believes:
   a. the information sought is not protected from disclosure by any applicable privilege;
   b. the evidence sought is essential to the successful completion of an ongoing investigation or prosecution; and
   c. there is no other feasible alternative to obtain the information.
6. Except for statements that are necessary to inform the public of the nature and extent of the prosecutor’s action and that serve a legitimate law enforcement purpose, refrain from making extrajudicial comments that have a substantial likelihood of heightening public condemnation of the accused and exercise reasonable care to prevent investigators, law enforcement personnel, employees or other persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial statement that the prosecutor would be prohibited from making under this Rule;
7. When a prosecutor knows of new, credible and material evidence creating a reasonable likelihood that a convicted defendant did not commit an offense of which the defendant was convicted, the prosecutor shall:
   a. Promptly disclose that evidence to an appropriate court or authority, and
   b. If the conviction was obtained in the prosecutor’s jurisdiction,
   i. promptly disclose that evidence to the defendant unless a court authorizes delay, and
   ii. Undertake further investigation, or make reasonable efforts to cause an investigation, to determine whether the defendant was convicted of an offense that the defendant did not commit.
8. When a prosecutor knows of clear and convincing evidence establishing that a defendant in the prosecutor’s jurisdiction as convicted of an offense that the defendant did not commit, the prosecutor shall seek to remedy the conviction.

Question 99

Advocate in Nonadjudicative Proceedings

Answer 99

A lawyer representing a client before a legislative body or administrative agency in a non-adjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provision of the Model Rules.

Question 100

Truthfulness in Statements to Others

Answer 100

In the course of representing a client a lawyer shall not knowingly:

1. Make a false statement of material fact or law to a third person; or
2. Fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.

Question 101

Communication with Person Represented by Counsel

Answer 101

In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order.

Question 102

Dealing with Unrepresented Person

Answer 102

In dealing on behalf of a client with a person who is not represented by counsel, a lawyer:

1. Shall not state, or
2. Imply that the lawyer is disinterested.

When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer’s role in the matter, the lawyer:

1. Shall make reasonable efforts to correct the misunderstanding.

The lawyer shall not give legal advice to an unrepresented person, other than to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client.

Question 103

Respect for Rights of Third Persons General Rule

Answer 103

In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such person.

Question 104

Lawyer(s) with Managerial Authority

Answer 104

A partner is a law firm, and a lawyer who individually or together with other lawyers possess comparable managerial authority in a law firm, shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rule of Professional Conduct.

Question 105

Lawyer with Direct Supervising Authority

Answer 105

A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct.

Question 106

Lawyer’s Responsibilities for Another Lawyer’s Violations

Answer 106

A lawyer shall be responsible for another lawyer’s violation of the Rules of Professional Conduct if:

1. The lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or
2. The lawyer is a partner or has comparable managerial authority in the law firm in which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at the time when its consequence can be avoided or mitigated but fails to take reasonable remedial action.

Question 107

Subordinate Lawyer General Rule

Answer 107

A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer acted at the direction of another person.

Question 108

Subordinate Lawyer’s Responsibilities When Acting on Supervisory Lawyer’s Instructions

Answer 108

A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in accordance with a supervisory lawyer’s reasonable resolution of an arguable question of professional duty.

Question 109

Responsibilities Regarding Nonlawyer Assistance

Answer 109

With respect to a nonlawyer employed or retained by or associated with a lawyer:

1. A partner, and a lawyer who individually or together with other lawyers possess comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person’s conduct is compatible with the professional obligations of the lawyer;
2. A lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person’s conduct is compatible with the professional obligations of the lawyer; and
3. A lawyer shall be responsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer if:
   a. The lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or
   b. The lawyer is a partner or has comparable managerial authority in the law firm in which the person is employed, or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.

Question 110

Sharing Fees with Nonlawyers

Answer 110

A lawyer or law firm shall not share legal fees with a nonlawyer, except that:

1. An agreement by a lawyer with the lawyer’s firm, partner, or associate may provide for the payment of money, over a reasonable period of time after the lawyer’s death, to the lawyer’s estate or to one or more specified persons;
2. A lawyer who purchases the practice of a deceased, disabled, or disappeared lawyer may, pursuant to the provisions of Rule 1.17, pay to the estate or other representative of that lawyer the agreed upon purchase price;
3. A lawyer or law firm may include nonlawyer employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and
4. A lawyer may share court-awarded legal fees with a nonprofit organization that employed, retained, or recommended employment of the lawyer in the matter.

Question 111

Lawyer and Nonlawyer Partnerships

Answer 111

A lawyer shall not form a partnership with a nonlawyer if any of the activities of the partnership consist of the practice of law.

Question 112

Employee of Lawyer Rendering Legal Services to Another

Answer 112

A lawyer shall not permit a person who recommends, employs, or pays the lawyer to render legal services for another to direct or regulate the lawyer’s professional judgment in rendering such legal services.

Question 113

Lawyer Practicing/Forming Corporation to Practice Law

Answer 113

A lawyer shall not practice with or in the form of a professional corporation or association authorized to practice law for profit, if:

1. A nonlawyer owns any interest therein, except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration;
2. A nonlawyer is a corporate director or officer thereof or occupies the position of similar responsibility in any form of association other than a corporation; or
3. A nonlawyer has the right to direct or control the professional judgment of a lawyer.

Question 114

Practicing in Jurisdiction in Violation of Regulation

Answer 114

A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction, or assist another in doing so.

Question 115

Lawyer’s Action in Non-admitted Jurisdiction

Answer 115

A lawyer who is not admitted to practice in this jurisdiction shall not:

1. Except as authorized by these Rules or other law, establish an office or other systematic and continuous presence in this jurisdiction for the practice of law; or
2. Hold out to the public or otherwise represent that the lawyer is admitted to practice law in this jurisdiction.

Question 116

Providing Legal Services on a Temporary Basis

Answer 116

A lawyer admitted in another US jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services on a temporary basis in that jurisdiction that:

1. Are undertaken in association with a lawyer who is admitted to practice in this jurisdiction and who actively participates in the matter;
2. Are in or reasonably related to a pending or potential proceeding before a tribunal in this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized by law or order to appear in such proceeding or reasonably expects to be so authorized;
3. Are in or reasonably related to a pending or potential arbitration, mediation, or other alternative resolution proceeding in this or another jurisdiction, if the services arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice and are not services for which the forum requires pro hac vice admission; or
4. Are not within these paragraphs and arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice.

Question 117

Lawyers from Foreign Jurisdiction Practicing in In-house Counsel

Answer 117

A lawyer admitted in another US jurisdiction or in a foreign jurisdiction, and not disbarred or suspended from practice in any jurisdiction or the equivalent thereof, or a person otherwise lawfully practicing as an in-house counsel under the laws of a foreign jurisdiction, may provide legal services through an office or other systematic and continues presences in this jurisdiction that:

1. Are provided to the lawyer’s employer or its organizational affiliates, are not services for which the forum requires pro hac vice admission; and when performed by a foreign lawyer and requires advice on the law of this or another US jurisdiction or of the US, such advice shall be based upon the advice of a lawyer who is duly licensed and authorized by the jurisdiction to provide such advice; or
2. Are services that the lawyer is authorized by federal or other law or rule to provide in this jurisdiction.

Question 118

Foreign Lawyer (definition)

Answer 118

1. Must be a member in good standing of a recognized legal profession in a foreign jurisdiction, the members of which are admitted to practice as lawyers or counselors at law or the equivalent, and subject to effective regulation and discipline by a duly constituted professional body or a public authority; or
2. The person lawfully practicing as an in-house counsel under the laws of a foreign jurisdiction must be authorized to practice under this rule by, in the exercise of its discretion.

Question 119

Restrictions on Right to Practice

Answer 119

A lawyer shall not participate in offering or making:

1. A partnership, shareholders, operating, employment, or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or
2. An agreement in which a restriction on the lawyer’s right to practice is part of the settlement of a client controversy.

Question 120

Responsibilities Regarding Law-Related Services

Answer 120

A lawyer shall be subject to the Rules of Professional Conduct with respect to the provision of law-related services, if the law-related services are provided:

1. By the lawyer in circumstances that are distinct from the lawyer’s provision of legal services to clients; or
2. In other circumstances by an entity controlled by the lawyer individually or with others if the lawyer fails to take reasonable measures to assure that a person obtaining the law-related services knows that the services are not legal services and that the protections of the client-lawyer relationship do not exist.

Question 121

Law-Related Services (definition)

Answer 121

Denotes services that might reasonably be performed in conjunction with and in substance are related to the provision of legal services, and that are not prohibited as unauthorized practice of law when provided by a nonlawyer.

Question 122

Voluntary Pro Bono Public Service

Answer 122

Every lawyer has a professional responsibility to provide legal services to those unable to pay. A lawyer should aspire to render at least 50 hours of pro bono public legal services per year. In fulfilling this responsibility, the lawyer should:

1. Provide a substantial majority of the 50 hours of legal service without fee or expectation of fee to:
   a. persons of limited means, or
   b. charitable, religious, civic, community, governmental, and educational organizations in matters that are designed primarily to address the needs of persons of limited means; and
2. Provide any additional services through:
   a. delivery of legal services at no fee or substantially reduced fee to individuals, groups, or organizations seeking to secure or protect civil rights, civil liberties or public rights, or charitable, religious, civic, community, governmental, and educational organizational purposes, where the payment of standard legal fees would significantly deplete the organization’s economic resources or would be otherwise inappropriate;
   b. delivery of legal services at a substantially reduced fee to persons of limited means; or
   c. participation in activities for improving the law, the legal system, or the legal profession.

Question 123

Accepting Appointments

Answer 123

A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for good cause, such as:

1. Representing the client is likely to result in violation of the Rules of Professional Conduct or other law;
2. Representing the client is likely to result in an unreasonable financial burden on the lawyer; or
3. The client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer’s ability to represent the client.

Question 124

Membership in Legal Services Organization

Answer 124

A lawyer may serve as a director, officer, or member of a legal services organization, apart from the law firm in which the lawyer practices, notwithstanding that the organization serves persons having interests adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the organization:

1. if participating in the decision or action would be incompatible with the lawyer’s obligations to a client under Rule 1.7; or
2. Where the decision or action could have a material adverse effect on the representation of a client of the organization whose interests are adverse to a client of the lawyer.

Question 125

Law Reform Activities Affecting Client Interests

Answer 125

A lawyer may serve as a director, officer, or member of an organization involved in reform of the law or its administration notwithstanding that the reform may affect the interests of a client of the lawyer. When the lawyer knows that the interests of a client may be materially benefitted by a decision in which the lawyer participates, the lawyer shall disclose that fact but need not identify the client.

Question 126

Nonprofit & Court-Annexed Limited Legal Services Programs

Answer 126

A lawyer who, under the auspices of a program sponsored by a nonprofit organization or court, provides short-term limited legal services to a client without expectation by either the lawyer or the client that the lawyer will provide continuing representation in the matter:

1. Is subject to Rules 1.7 and 1.9(a) only if the lawyer knows that the representation of the client involves a conflict of interest; and
2. Is subject to rule 1.10 only if the lawyer knows that another lawyer is associated with the lawyer in a law firm is disqualified by Rule 1.7 or 1.9(a) with respect to the matter.

Question 127

Communications Concerning a Lawyer’s Services - Misleading Communication

Answer 127

A lawyer shall not make false or misleading communication about the lawyer or the lawyer’s services. A communication is false or mislead if it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading.

Question 128

Communications Concerning a Lawyer’s Services General Rule

Answer 128

A lawyer may communicate information regarding the lawyer’s services through any media.

Question 129

Compensation for Recommending Lawyer’s Services

Answer 129

A lawyer shall not compensate, give, or promise anything of value to a person for recommending the lawyer’s services except that a lawyer may:

1. pay the reasonable costs of advertisements or communications permitted by this Rule;
2. pay the usual charges of a legal service plan or a not-for-profit or qualified lawyer referral service;
3. pay for a law practice in accordance with Rule 1.17;
4. refer clients to another lawyer or nonlawyer professional pursuant to an agreement not otherwise prohibited under these Rules that provides for the other person to refer clients or customers to the lawyer if:
   a. the reciprocal referral agreement is not exclusive; and
   b. the client is informed of the existence and nature of the agreement; and
5. give nominal gifts as an expression of appreciation that are neither intended nor reasonably expected to be a form of compensation for recommending a lawyer’s services.

Question 130

Falsely Informing of Certified Specialist Status

Answer 130

A lawyer shall not state or imply that a lawyer is certified as a specialist in a particular field of law, unless:

1. The lawyer has been certified as a specialist by an organization that has been approved by an appropriate authority of the state or the District of Columbia or a US Territory or that has been accredited by the ABA; and
2. The name of the certifying organizations is clearly identified in the communication.

Question 131

Requirement for Communications under the Model Rules

Answer 131

Any communications made under this Rule must include the name and contact information of at least one lawyer or law firm responsible for its content.

Question 132

Solicitation/Solicit (definition)

Answer 132

Denotes a communication initiated by or on behalf of a lawyer or law firm that is directed to a specific person the lawyer knows or reasonably should know needs legal services in a particular matter and that offers to provide, or reasonably can be understood as offering to provide, legal services for that matter.

Question 133

Solicitation by Live Person-to-Person Contact Rule

Answer 133

A lawyer shall not solicit professional employment by live person-to-person contact when a significant motive for the lawyer’s doing so is the lawyer’s or law firm’s pecuniary gain, unless the contact is with a:

1. Lawyer;
2. Person who has a family, close personal, or prior business or professional relationship with the lawyer or law firm; or
3. Person who routinely uses for business purposes the type of legal services offered by the lawyer.

Question 134

Additional Solicitation of Professional Employment Limitations

Answer 134

A lawyer shall not solicit professional employment even when not otherwise prohibited by these Rules if:

1. The target of the solicitation has made known to the lawyer a desire not to be solicited by the lawyer; or
2. The solicitation involves coercion, duress, or harassment.

Question 135

Authorized Communications Rule

Answer 135

These Rules of Professional conduct do not prohibit communications authorized by law or ordered by a court or other tribunal.

Question 136

Person-to-Person Exception

Answer 136

A lawyer may participate with a prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses live person-to-person contact to enroll members or sell subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan.

Question 137

Political Contributions to Obtain Government Legal Engagements or Appointments by Judges

Answer 137

A lawyer or law firm shall not accept a government legal engagement or an appointment by a judge if the lawyer or law firm makes a political contribution or solicits political contributions for the purpose of obtaining or being considered for that type of legal engagement or appointment.

Question 138

Bar Admission & Disciplinary Matters - Maintaining the Integrity of the Profession

Answer 138

An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not:

1. Knowingly make a false statement of material fact; or
2. Fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from an admission or disciplinary authority, except that this rule does not require disclosure of information otherwise protected by Rule 1.6.

Question 139

Statements regarding Judicial & Legal Officials

Answer 139

A lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, or of a candidate for election or appointment to judicial or legal office.

Question 140

Lawyer as Candidate for Judicial Office

Answer 140

A lawyer who is a candidate for judicial office shall comply with the applicable provisions of the Code of Judicial Conduct.

Question 141

Reporting Professional Misconduct of Another Lawyer

Answer 141

A lawyer who knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate professional authority.

Question 142

Reporting Professional Misconduct of a Judge

Answer 142

A lawyer who knows that a judge has committed a violation of applicable rules of judicial conduct that raise a substantial question as to the judge’s fitness for office shall inform the appropriate authority.

Question 143

Confidentiality and Reporting Professional Misconduct

Answer 143

This Rule does not require disclosure of information otherwise protected by Rule 1.6 or information gained by a lawyer or judge while participating in an approved lawyers assistance program.

Question 144

Actions Considered Misconduct

Answer 144

It is professional misconduct for a lawyer to:

1. Violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;
2. Commit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects;
3. Engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
4. Engage in conduct that is prejudicial to the administration of justice;
5. State or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law;
6. Knowingly assist a judge or judicial officer in conduct that is violation of applicable rules of judicial conduct or other law; or
7. Engage in conduct that the lawyer knows or reasonably should know is harassment or discrimination on the basis of race, sex, religion, national, origin, ethnicity, disability, age, sexual orientation, gender identity, marital status or socioeconomic status in conduct related to the practice of law. This paragraph does not limit the ability of a lawyer to accept, decline, withdraw from a representation in accordance to Rule 1.16.

Question 145

Disciplinary Authority Rule

Answer 145

A lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction, regardless of where the lawyer’s conduct occurs. A lawyer not admitted in this jurisdiction is also subject to the disciplinary authority of this jurisdiction if the lawyer provides or offers to provide any legal services in this jurisdiction. A lawyer may be subject to the disciplinary authority of both this jurisdiction and another jurisdiction for the same conduct.

Question 146

Choice of Law

Answer 146

In any exercise of the disciplinary authority of this jurisdiction, the rules of professional conduct to be applied shall be as follows:

1. For conduct in connection with a matter pending before a tribunal, the rules of the jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise; and
2. For any conduct, the rules of the jurisdiction in which the lawyer’s conduct occurred, or, if the predominant effect of the conduct is in a different jurisdiction, the rules of the jurisdiction shall be applied to the conduct. A lawyer shall not be subject to discipline if the lawyer’s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect of the lawyer conduct will occur.

Question 147

Factors In Determining Whether a Lawyer Has Requisite Knowledge for Competency

Answer 147

1. The relative complexity and specialized nature of the matter;
2. The lawyer’s general experience;
3. The lawyer’s training and experience in the field in question;
4. The preparation and study the lawyer is able to give to the matter and whether it is feasible to refer the matter to, or associate or consult with, a lawyer of established competence in the field in question.

Question 148

Emergency Situations, Skill Required for Advice (Legal Knowledge), and Competency

Answer 148

In an emergency, a lawyer may give advice or assistance in a matter in which the lawyer does not have the skill ordinarily required where referral or consultation or association with another lawyer would be impractical. Even in an emergency, however, assistance should be limited to that reasonably necessary in the circumstances, for ill-considered action under emergency conditions can jeopardize the client’s interest.

Question 149

Retaining or Contracting with Other Lawyers OUTSIDE Own Firm

Answer 149

Before a lawyer retains or contracts with other lawyers OUTSIDE the lawyer’s own firm to provide or assist in the provision of legal services to a client, the lawyer should ordinarily obtain informed consent from the client and must reasonably believe that the other lawyer’s services will contribute to the competent and ethical representation of the client.

Question 150

Reasonableness for Retaining Other Lawyers Outside Own Firm

Answer 150

This will depend on the circumstances, including:

1. The education, experience and reputation of the non-firm lawyers;
2. The nature of the services assigned to the non-firm lawyers;
3. The legal protections, professional conduct rules, and ethical environments of the jurisdictions in which the services will be preformed (particularly relating to confidential information).

Question 151

Maintaining Competence

Answer 151

To maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice, including the benefits and risks associated with relevant technology, engage in continuing study and education and comply with all continuing legal education requirements to which the lawyer is subject.

Question 152

Lawyer and Client Disagree on Means to Accomplish Client’s Objectives

Answer 152

Clients normally defer to the special knowledge and skill of their lawyer with respect to the means to be used to accomplish their objectives, particularly with respect to technical, legal, and tactical matters. Conversely, lawyers usually defer to the client regarding such questions as the expense to be incurred and concern for third persons who might be adversely affected. Because of the varied nature of the matters about which a lawyer and client might disagree and because the actions in question may implicate interests of a tribunal or other persons, this Rule does not prescribe how disagreements are to be resolved. Other law, however, may be applicable. The lawyer should also consult with the client and seek a mutually acceptable resolution of the disagreement. If such efforts are unavailing and the lawyer has a fundamental disagreement with the client, the lawyer may withdraw from representation.

Question 153

Giving Opinions regarding Criminal, Fraudulent and Prohibited Transactions

Answer 153

A lawyer is not precluded from giving an honest opinion about the actual consequences that appear likely to result from a client’s conduct. Nor does the fact that a client uses advice in a course of action that is criminal or fraudulent of itself make a lawyer a party to the course of action. There is a critical distinction between presenting an analysis of legal aspects of questionable conduct and recommending the means by which a crime or fraud might be committed with impunity.

Question 154

Withhold Information from Client

Answer 154

In some circumstances, a lawyer may be justified in delaying transmission of information when the client would be likely to react imprudently to an immediate communication. A lawyer may not withhold information to serve the lawyer’s own interest or convenience or the interests or convenience of another person.

Question 155

Dispute Over Fees

Answer 155

If a procedure has been established for resolution of fee disputes, such as an arbitration or mediation procedure established by the bar, the lawyer must comply with the procedure when it is mandatory, and, even when it is voluntary, the lawyer should conscientiously consider submitting to it. Law may prescribe a procedure for determining a lawyer’s fee. The lawyer entitled to such a fee and a lawyer representing another party concerned with the fee should comply with the prescribed procedure.

Question 156

When does the rule of client-lawyer confidentiality apply?

Answer 156

It applies in situations other than those where evidence is sought from the lawyer through compulsion of law. It applies not only to matters communicated in confidence by the client but also to all information relating to the representation, whatever its source.

Question 156

When does attorney-client privilege and the work product doctrine apply?

Answer 156

They apply in judicial and other proceedings in which a lawyer may be called as a witness or otherwise required to produce evidence concerning a client.

Question 157

Authorized Disclosure Rule

Answer 157

Except to the extent that the client’s instructions or special circumstances limit that authority, a lawyer is impliedly authorized to make disclosures about a client when appropriate in carrying out the representation.

Lawyers in a firm may, in the course of the firm’s practice, disclose to each other information relating to a client of the firm, unless the client has instructed that particular information to be confined to specified lawyers.

Question 158

Steps to Resolving a Conflict of Interest Problem

Answer 158

The lawyer is required to:

1. clearly identify the client or clients;
2. determine whether a conflict of interest exists;
3. decide whether the representation may be undertaken despite the existence of a conflict;
4. if os, consult with the clients affected under these Rules and obtained their informed consent, confirmed in writing.