General Flashcards
Lawyers have duties to:
Clients (Loyalty, Confidentiality, Professional Judgment, Honesty); The Judicial System (Honesty; Officer of the Court); The Legal Profession (Civility, Independence, Honesty); 3rd Parties (Maintaining Confidence in the Law, Promoting Administration of Justice, Honesty).
Lawyer roles
Advisor, Advocate, Negotiator, Evaluator, 3rd Party Arbiter
Minimum Requirements of Lawyer Conduct
Complying with Rules of PR; Following Rules of Court and Court Orders; Avoiding Liability.
Higher Goals of Lawyer Conduct
Pro Bono Service; Commitment to Client Service and Excellent Representation.
Rule 8.5: Disciplinary Authority; Choice of Law
If you’re licensed here or engage in misconduct here, the Bar has jurisdiction. For misconduct in litigation, rules of tribunal apply. For other misconduct, rules where conduct occurred (or had a predominant effect) apply.
What discipline is appropriate?
General Considerations (Nature of Violation. Extent of Actual/Potential Harm, State of Mind); Aggravating Factors (Pattern of Misconduct, Vulnerability of Victim, No Remorse, Lack of Honesty, Negative Impact on Perception of the Profession); Mitigating Factors (Absence of Dishonesty, Good Faith Efforts to Make Restitution, Remorse, Cooperation, Inexperience)
Rule 8.4: Misconduct (Per Bannon, not a catch-all—be familiar)
It is professional misconduct for a lawyer to: (1) violate or attempt to violate the RPC, or knowingly assist or induct another to do so; (2) commit criminal acts that reflect adversely on the lawyer’s honesty or trustworthiness; (3) engage in conduct suggesting dishonesty, fraud, or deceit; (4) engage in conduct that is prejudicial to the administration of justice; (5) imply that they have influence over a government agency or official; (6) intentionally prejudice the administration of justice.
Rule 8.1: Bar Admission and Disciplinary Matters
Whether inquiry is about you or another lawyer, must be rigorously and completely honest in disciplinary matters and re: admission to the bar.
Rule 8.3: Reporting Professional Misconduct
(1) Must report to the Bar when you KNOW that another lawyer has engaged in conduct that raises a SUBSTANTIAL QUESTION as to the lawyer’s fitness; (2) This rule does not require disclosure of information protected under Rule 1.6
Key Concepts: Regulating Lawyers
(1) Lawyers must participate in regulation, even when it is burdensome; (2) Must be completely honest in disciplinary matters and with the Bar; (3) Must report KNOWN Rule violations that raise a SUBSTANTIAL QUESTION as to the lawyer’s fitness (but duty to keep client confidences takes precedence); (4) the State where lawyer is licensed has jurisdiction, rules of tribunal apply to misconduct in litigation, for all other misconduct, the rules of the state where it occurs will apply.
Rule 8.2: Judicial and Legal Officials
Don’t intentionally or recklessly slander a judge or judicial candidate.
How to tell is two or more lawyers are a “firm”:
Fact-specific. Emphasis on how they present to the public and whether they share access to client information.
Do subordinate lawyers get a “pass” when they violate the Rules per their supervisor’s instruction? Rule 5.2
Lawyers are bound by the Rules always, but they’ll get a pass on “arguable questions of professional duty.”
Rules 5.1 & 5.2: Responsibilities of Firm Lawyers
(1) Firm must have adequate policies; (2) there must be reasonable supervision; (3) vicarious liability if (A) lawyer orders or ratifies the conduct or (B) there is opportunity to remediate but failure to do so.
Considerations When Leaving a Firm
(1) Duty of loyalty to firm; (2) duty to communicate with clients and protect their interests; (3) protect client’s choice of counsel (Rule 5.6: no restrictions on rights to practice).
Rule 1.18: Duties to Prospective Clients
(1) People who consult with lawyers are prospective clients; (2) lawyer cannot reveal information obtained in consultation except as Rule 1.9 would permit (same as normal duty but may reveal if the info is in the public record unless it would be embarassing or detrimental to client); (3) can’t represent clients with interests materially adverse IF you received information from the prospective client that could be significantly harmful to the client.
How to tell if ACR was formed?
Fact-specific inquiry. It doesn’t turn on payment of $$ or contract. Emphasis is on client’s reasonable belief and duty is on the lawyer to clarify ambiguity. Sharing of confidential information = manifestation of intent to form ACR—if lawyer provides advice, ACR implied.
Rule 1.16: Declining Representation
Lawyers are generally free to accept or decline any representation, but a lawyer shall not represent a client when the representation WILL result in a violation of the law or the Rules or where a lawyer’s condition materially impairs representation.
What constitutes unauthorized practice of law?
Per statutes, the “practice of law” is extremely broad—cannot hold yourself out as competent to give advice, and doesn’t matter if you didn’t charge. Only members of the State Bar may practice law.
Rule 5.5: Unauthorized Practice of Law
(1) A lawyer in good standing in another jurisdiction can practice here if: admitted pro hac vice, allowed by law or court to appear, working as in-house counsel, not dealing with NC law, when admission by comity is pending; (2) a lawyer shall not assist another person in the unauthorized practice of law.
Rules 7.1 & 7.2: Communications Concerning a Lawyer’s Services
A lawyer shall not make false or misleading statements about the lawyer or the lawyer’s services, including about the results the lawyer can achieve. Can’t say you’re a specialist unless some organization says you are. Lawyers may advertise, but lawyers may not pay kickbacks.
Rule 7.4: Intermediary Organizations
Contains tons of rules about how an intermediary organization must be run. Flag it.
Rule 7.3: Direct Contact with Potential Clients
Don’t solicit clients via person-to-person contact unless you’re not doing it for money, the other person is a lawyer, you have a close relationship with the other person, or the person routinely uses lawyers for business purposes.
Rule 5.4: Professional Independence of Lawyer
In general, a lawyer may not share fees with a nonlawyer, but there are exceptions in the Rule. Don’t form partnerships with nonlaywers. If someone else pays for your client’s representation, don’t let them drive the representation (need informed consent, maintain confidentiality, no interference with judgment: Rule 1.8)
Rule 1.5: Fees
Fees must be reasonable or contract might not be enforceable and you might be subject to discipline. Reasonable factors: time, labor, and skill required; market rates; reputation of lawyer; results obtained; restrictions (e.g., time) imposed by client. Lawyer can TRY to renegotiate fees. Lawyer can charge contingency fees but not in family or criminal cases. Contingency fee agreement with details must be in writing, but regular arrangements don’t have to be. Lawyers may share fees (with informed consent) with cocounsel to the extent labor was divided.
Rule 1.1: Competence
Lawyers shall not handle matters that they know or should know that they are incompetent to handle.
Rule 1.2: Scope of Representation and Allocation of Authority
Client decides what the goal is; lawyer must confer with client, but need not get permission for every step. Certain things are always up to the client (pleas, settlements). “My client told me to” isn’t an excuse for lack of professionalism. Lawyer is expert on strategy—need not press every point you possibly could.
Rule 1.3: Diligence
A lawyer shall act with reasonable diligence and promptness in representing a client.
Rule 1.13: Organization as Client
Can report things in-house, but keep it in-house.
Rule 1.14: Client with Diminished Capacity
Try to maintain as normal an ACR as possible.
Lawyer as Agent
Clients are bound by their lawyer’s mistakes. Client can attempt to recover through a malpractice claim or through a breach of fiduciary duty claim.
Elements of a Malpractice Claim:
(1) ACR or other duty of care existed; (2) the defendant did not act as a reasonably prudent lawyer in the jurisdiction under similar circumstances; (3) defendant’s breach caused damages; (4) but for defendant’s conduct, the plaintiff would have been successful in underlying claim.
The First Rule of Confidentiality Is:
You don’t talk about confidential information!
Rule 1.6: Confidentiality of Information
A lawyer shall not reveal information acquired during the professional relationship with a client unless the client gives informed consent, the
disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b). Applies to all information relating to the representation of a client, in whatever form, acquired from any source. Lawyers are under a duty to act competently to preserve confidential info—analyzed under rules of reason.