Duties to Clients

Question 1

Mandatory Rejection/Withdrawal

Answer 1

1. Representation will result in violation of rules
2. lawyer’s condition substantially impairs ability
3. lawyer discharged by client
4. (CA) client is acting without probable cause and for purpose of harassing

Question 2

Permissive Withdrawal

Answer 2

Permitted if it can be accomplished (1) without material adverse effect on client’s interest or (2) where there is good cause.
- Lawyer may withdraw if client fails substantially to fulfill obligation to lawyer (e.g., payment) and has been given reasonable warning that lawyer will withdraw unless obligation is fulfilled.

Question 3

When Client has Final Decision

Answer 3

1. settlement offers
2. pleas
3. jury trial waiver (criminal)
4. testifying (criminal)

Question 4

Assisting Client in Criminal or Fraudulent Conduct

Answer 4

Lawyer must not. However, they may advise client of legal consequences. If they insist on pursuing, lawyer must withdraw.

Question 5

Limiting Scope of Representation

Answer 5

Lawyer may limit scope if (1) reasonable and (2) client gives informed consent

Question 6

Representing Organizations

Answer 6

Lawyer owes duty to organization, not people. Lawyer must explain this whenever org’s interests are adverse to persons.
- Lawyer must clearly identify who their client is

If lawyer learns person associated with org has violated duty in way that may be imputed to org, lawyer must reasonably protect interests, including reporting to highest authority.
- Lawyer may report outside if highest authority fails to act and its necessary to prevent substantial injury. (not in CA)

Question 7

Duty of Competence

Answer 7

Acting competently means acting with legal knowledge, skill, thoroughness and preparation reasonably necessary.

If not competent, they must decline unless they can
1. learn it without undue expense/delay, OR
2. consult with competent lawyer

Question 8

Duty of Diligence

Answer 8

Lawyer must control workload and act with dedication (and see matter through to completion unless withdrawal is permitted.

CA: lawyer must not intentionally/recklessly fail to perform without reasonable competence/diligence

Question 9

Duty of Communication

Answer 9

Must
1. explain matter to client so they can make informed decisions
2. keep client informed of status (all significant developments)
3. promptly comply with all reasonable requests for info from client

Question 10

Duty of Confidentiality

Answer 10

Lawyer must not reveal any info relating to representation
- Regardless of whether client requests it be confidential
- exists even after client dies

Question 11

Exceptions to Duty of Confidentiality

Answer 11

Where exception applies, lawyer may disclose cleint’s confidential info only to extent reasonably necessary to meet exception. (permitted but not required)
1. Consent/implied authority
2. Prevent Death/substantial bodily harm
3. Prevent substantial financial loss (CA does not recognize)
4. Defend self or establish claim against client
5. Obtain legal ethics (CA does not recognize)
6. Adress conflict resulting from organizational change (CA does not recognize)
7. Comply with Court Order or Law

Question 12

Attorney-Client Privilege

Answer 12

Applies only to comms that pertain to legal services.
- When client is corp, comms with employees are generally privileged if authorized and concern duties

Distinguished from Confidentiality:
1. privilege is exclusionary rule of evidence law, prevents being compelled to testify (confidentiality is inside and outside court)
2. Privilege only covers confidential comms between lawyer and client (and agents)

Question 13

Duty of Loyalty - COI

Answer 13

A lawyer owes a duty to their client, and must avoid or properly address any COIs.
- Some conflicts are non-consentable, others can be resolved with consent.

Lawyer must not represent client when client will be directly adverse to another client (whether in same or separate matter) OR
there is significant risk that representation will be materially limited by lawyer’s own interest or responsibilities to third person.

Question 14

COI Imputation

Answer 14

Generally when a lawyer can’t take on a matter, firm is imputed.
Exceptions:
- conflict is uniquely personal to the disqualified lawyer AND would not materially limit representation of client by other lawyers in firm
- When conflict is based on lawyer’s prior work, and lawyer is properly screened AND affected persons give notice

Note: Imputation can be waived by affected clients.

ET: if more than one lawyer in facts, check for shared conflicts

Question 15

Resolving Current-Client Conflict

Answer 15

If there is a conflict with a current client, lawyer may undertake representation if:
1. lawyer reasonably believes they can competently/diligently represent client despite conflict
2. representation is not prohibited by law
3. lawyer is not on both sides of the same litigation
4. each affect client gives informed consent, confirmed in writing
CA: required informed written consent (both disclosure and consent in writing)

Question 16

Direct Adversity Conflicts

Answer 16

Lawyer generally must not rep client who is directly adverse to different current conflict (unless properly waived). There is a direct adversity conflict even if lawyer respresents clients in totally unrelated matters.
- Even if co-parties interests are generally aligned to begin with, relationships can sour
- mere economic adversity does not amount to direct adversity (can represent competitors)

Question 17

Material Limitation Conflicts

Answer 17

Even where direct adversity doesn’t exist, lawyer generally must not represent client if significant risk that representation will be materially limited by lawyer’s own interest or responsibilities to third person.

Question 18

Business Transactions with Client

Answer 18

A lawyer must not enter into business transaction or acquire interest adverse to client unless:
1. terms are fair to client
2. terms and lawyer’s role in transaction are fully disclosed to client in writing
3. client is advised in writing they should get independent advice
4. client gives informed consent, in signed writing

ET: First Discuss Over Coffee - (1) Fair, (2) Disclosure, (3) advice to get Outside lawyer, and (4) Consent

Question 19

Substantial Gifts from Clients

Answer 19

lawyer must not either
1. solicit substantial gift from client (for lawyer or relative)
2. prepare instrument on behalf of client giving substantial gift to lawyer or relative

Does not apply if client is related to receipient of gift

Question 20

Financial Assistance to Client

Answer 20

Lawyer must not provide finanacial assistance to client in connection with pending or contemplated litigation.
Exceptions:
1. may advance litigation expenses, and repayment may be contingent
2. if client indigent, lawyer may pay court costs and litigation expenses outright
3. lawyer may provide basic living expenses for pro bono client

CA: applies to financial assistance to client in all contexts.

Question 21

Compensation from Someone Other than Client

Answer 21

A lawyer must not accept compensation for representing client from someone else unless:
1. client gives informed consent
2. there is no interference with lawyer-client relationship, and
3. confidential information relating to the representation of the client is protected

CA: informed written consent

Question 22

Settling Malpractice Claim

Answer 22

Lawyer mst not settle malpractice claim without:
1. advising person in writing to get independent counsel, and
2. giving person reasonable chance to consult with said counsel

Question 23

Prospectively Limiting Malpractice Liability

Answer 23

Lawyer must not make agreement unless client is indepedently represented in making the agreement.
CA: never allows this in any circumstance

Question 24

Acquiring Media Rights Concerning Client’s Case

Answer 24

May not acquire such rights until after the legal matter is entitrely completed, appeals and all.
CA: does not adopt this rule, treats it as business transaction

Question 25

Conflicts with Former Clients - Lawyer's Own Conflict

Answer 25

1. Lawyer must never use **confidential info** to former client's disadvantage without consent. 2. Lawyer must not represent one client whose interests are materially adverse to former client in same or **substantially related matter** without consent (note there is also conflict relating to **current representation** if there is significant risk) 3. If lawyer's former firm represented client in matter and lawyer **actually acquired confidential material info**, lawyer must not rep another person in substantially related matter to former firm's client.

Question 26

Conflicts with Former Clients - Firm's Conflict

Answer 26

Generally, if lawyer is disqualified because of former client conflict, entire firm is also disqualified. However, different rules apply if lawyer has joined or departed firm.

Question 27

Effect of Lawyer's Conflict on Firm

Answer 27

Incoming Lawyer - conflict arises out of **lawyer's association with former firm** - imputation will be cured if: - disqualified lawyer is **properly screened** and **does not share in fee**, and - **former client is given notice** CA: screening will only cure imputation if disqualified lawyer did not substantially participate in substantially related matter while at former firm

Question 28

Firm Opposing Client of Departed Lawyer

Answer 28

If lawyer represented a client in matter then left firm and firm no longer represents that client, firm is generally not prohibited from representing a client adverse to former client, unless: - matter is **same or substantially related** to former representation, and - at least one **remaining lawyer has confidential material information** Note: Former client can waive with informer consent, confirmed in writing.

Question 29

Prospective Client

Answer 29

Lawyer owes duty of confidentiality to prospective clients. A prospective client is person who consults in GF about possibly forming lawyer-client relationship, but a person does not receive protections if they unilaterally communciate information to lawyer without reasonable expectation of representation.

Question 30

Government Work to Private Sector

Answer 30

lawyer must not represent private client in matter which lawyer participated **personally and substantially** while in gov, unless gov gives informed consent, in writing. - Imputation to others will be cured if (1) lawyer **screened** and does not share fee, and (2) **written notice** to gov agency

Question 31

Fee Amount

Answer 31

Lawyer must not colelct an **unreasonable** fee. Factors are time and labor, skill, customs, reputation of attorney, contingent or fixed, etc.) CA: just prohibits **unconsionable** fees Double bills is ordinarily considered dishonest, but **CA permits** if not unconscionable, lawyer discloses and both clients consent.

Question 32

Fee Agreements

Answer 32

Lawyer must **within reasonable time** after commencing representation, communicate expenses and fee for which client will be responsible. Writing is preferable, but generally **not required** (unless contingent). Lawyer also has duty to communicate changes. CA: If total expense **will exceed $1,000**, fee agreement must be in writing

Question 33

Advance Payments

Answer 33

Lawyer may require a fee be paid in advance, but lawyer must **refund unearned portion** if they do not perform the services. - However, lawyer is not required to refund **true retainer** fee.

Question 34

Contingent Fee

Answer 34

Under ABA, lawyer must not acquired a proprietary interest in matter. However, exception is made for contingent fees in civil cases. Like all fees, contingent fees must be reasonable and must be in **writing and signed by client**. Writing must disclose: - how fee is **calculated** - what expenses will be **deducted** - whether expenses will be deducted **before or after** fee is calculated - what expenses client must pay **regardless of outcome**. Contingent fees are prohibited in **criminal cases** and **domestic relations cases**

Question 35

Separation of Funds

Answer 35

All money lawyer receives for representation must be promptly placed in **client trust account**. Lawyer must never place own money or firm's money into account. Interest goes to client. - Advance payments must be put into client trust account - Disputed funds must be kept separate by lawyer until resolution of dispute

Question 36

Safekeeping and Delivery of Property

Answer 36

Lawyer must: 1. **identify and label** properties of client/third person and put them in **place of safekeeping** 2. **promptly notify** when lawyer receives property 3. **promptly deliver** property to which client/thirdperson is entitled 4. **Keep records for at least 5 years** after final distribution of property

Question 37

Examples of Direct Adversity Conflicts

Answer 37

- multiple clients in same matter with conflicting interests - lawyer accepts rep of client who is adverse party in different matter lawyer/firm is handling for existing client - accepts rep of client in matter adverse to existing client of lawyer/firm - as part of representing client, lawyer must conduct harmful cross of existing client

Question 38

Examples of Material Limitation

Answer 38

- representing multiple parties on same side with potentially conflicting interests - lawyer is dealing with former client conflict that could affect rep of current client - laywer owest duty to some third person that could affect handling of matter - lawyer has personal interest relating to matter or close family relations with opposing counsel CA: - lawyer (or firm) has responsibility to aprty or witness in client's matter - lawyer (or firm) has intimate personal relationship with or is client of firm of another party's attorney

Question 39

Substantially Related Matters

Answer 39

Matters are substantially related if: (1) they involve **same transaction or legal dispute**, or (2) **substantial risk** that **confidential** factual info that would have normally be obtained in prior rep would **materially advance** client's position in subsequent matter.