Chapter 1 - Regulation of Lawyers Flashcards
The (1) asserts authority over lawyers. The highest court in DC and in each state is responsible for making rules related to (2) and (3). These include mechanisms for (4)
- judiciary
- law practice admission
- lawyers’ ethic conduct
- disciplining lawyers
Most (1) have also passed statutes that supplement the ethical rules adopted by the courts. This authority is at best considered (2) with the court authority. Sometimes a court will be called on to (3) legislation that conflicts. Many state supreme courts rely heavily on (4) to carry out responsibilities of regulation.
- state legislatures
- concurrent
- strike down
- state bar associations
For (1) state bar associations, membership is compulsory and generally play a more active role in (2) and (3) functions. There are many modern (4) bar associations, as law has become less general.
- integrated
- admissions
- disciplinary functions
- “specialty”
(1) and (2) are now widely used in disputes between lawyers and clients.
- mediation
2. arbitration
5 ways bar associations have enforced ethical behavior for lawyers
- ethics training
- random audits on trust accounts
- firm-wide ethics rules
- programs for substance abuse
- transparency of disciplinary proceedings/meetings
The (1) led to the SEC’s adoption of rules that require lawyers to report suspected violations of securities laws; however, (2) is often unsuccessful because lawyers are regulated by (3) and (4).
- Sarbanes-Oxley Act of 2002
- federal regulation of lawyers
- states
- courts
All states but California have patterned their code of ethics on models of the (1), which is a (2) of lawyers. The ABA’s productions on ethics include the (3), the (4) and the (5)
- American Bar Association
- voluntary professional association
- Canons of Professional Ethics
- Model Code of Professional Responsibility
- Model Rules of Professional Conduct
3 basic things contained in the Model Code of Professional Responsibility
- canons
- disciplinary rules
- ethical considerations
4 things that were re-examined in ABA’s Model Rules (update of Codes)
- structures/models of ownership
- efficacy of state-by-state regulation
- lawyer advertising
- misconduct in Watergate scandal
(1) of state and local bar associations are not binding on lawyers but often consulted. Bar associations have (2) that examine dilemmas and write these in (3) and on (4).
- ethics opinions
- ethics committees
- bar journals
- Web sites
4 main sanctions for lawyers for ethical misconduct
- disbarment (egregious violations, repetitive bad behavior) (sometimes permanent, sometimes re-admission)
- suspension
- probation (continue to work under certain conditions)
- reprimand/reproval (warning, becomes part of att’s record at court/state bar)
7 mitigating/aggravating factors that may come into play in punishing an attorney
- nature/severity of offence
- whether atty has a prior record
- cooperation with investigation
- reputation in community
- circumstances surrounding offence
- whether offence is likely to be repeated
- amount of remorse
An atty may also be prosecuted (1) for violations of statutory laws (soliciting in hospitals, etc.). Civil (2) may be brought by clients. Judges may exercise (3) over lawyers who affect administration of justice or function of courts. Courts also rule on (4), which regard conflicts of interest.
- criminally
- legal malpractice
- contempt power
- motions to disqualify counsel
a bar association in which the mandatory and voluntary aspects of bar activities are combined, and membership is required
integrated bar
First publishing of ethics codes by ABA; patterned after first state code of ethics; consisted of 32 statements of very general principles about atty conduct, mainly in the courtroom
Canons of Professional Ethics
