Law Firms and Associations

Question 1

Rule 5.1 Responsibilities of Partners, Managers, and Supervisory Lawyers

Answer 1

1. Firm Management: Partners and managers must ensure firm policies help all lawyers follow the Rules of Professional Conduct.
2. Supervisory Duty: Supervisors must make reasonable efforts to ensure subordinate lawyers comply with the Rules.
3. Responsibility for Violations:
   A lawyer is responsible for another’s misconduct if they:
   Order or ratify the conduct, or
   Fail to act on known misconduct when they could prevent or mitigate it.

Question 2

Rule 5.2 Responsibilities of a Subordinate Lawyer

Answer 2

1. Bound by Rules: A lawyer must follow the Rules even if directed by another.
2. Acting on Supervisor’s Decision: No violation if following a reasonable resolution of an arguable professional duty question made by a supervisor.

Question 3

Rule 5.3 Responsibilities Regarding Nonlawyer Assistance

Answer 3

1. Firm Management: Partners and managers must ensure nonlawyer conduct aligns with lawyer’s professional obligations.
2. Supervisory Duty: Supervisors must make reasonable efforts to ensure nonlawyers act within professional standards.
3. Responsibility for Violations: Lawyer is responsible if they:
   Order or ratify improper conduct, or
   Fail to act on known misconduct when they could prevent or mitigate it.

Question 4

Rule 5.4 Professional Independence of a Lawyer

Answer 4

1. No Fee Sharing:
   Exceptions:
   Payments to deceased lawyer’s estate.
   Purchase of deceased/disabled lawyer’s practice.
   Nonlawyer employee profit-sharing/retirement plans.
   Fee-sharing with nonprofits.
2. No Partnerships:
   Don’t form partnerships with nonlawyers if it involves practicing law.
3. No Control Over Judgment:
   Don’t let anyone who employs, pays, or recommends you influence your professional judgment.
4. No Nonlawyer Ownership or Control:
   No practice with firms where:
   Nonlawyers own an interest.
   Nonlawyers hold management positions.
   Nonlawyers control legal judgment.

Question 5

Rule 5.5 Unauthorized Practice of Law; Multijurisdictional Practice of Law

Answer 5

1. No Unauthorized Practice: Don’t practice or assist others in practicing in a jurisdiction where not licensed.
2. Out-of-State Lawyer Restrictions: Can’t establish a continuous presence or misrepresent admission status in the jurisdiction.
3. Temporary Practice Allowed If:
   Associated with a licensed lawyer.
   Connected to a pending tribunal matter with authorization.
   ADR Proceedings related to admitted practice.
   Other services related to admitted jurisdiction practice.
4. In-House Counsel & Special Authorization:
   Allowed with continuous presence if:
   For Employer: No pro hac vice needed; foreign lawyer must rely on U.S. licensed lawyer for U.S. law advice.
   Authorized by Law: Federal or other law permits services.
5. Foreign Lawyer Requirements:
   Must be in good standing in a regulated legal profession, or authorized as in-house counsel by the jurisdiction’s highest court.

Question 6

Rule 5.6 Restrictions on Right to Practice

Answer 6

1. No Practice Restrictions in Agreements: No agreements restricting a lawyer’s right to practice after leaving, except for retirement benefits.
2. No Restrictions in Settlements:
   Can’t agree to limit practice as part of a settlement of a client controversy.

Question 7

Rule 5.7 Responsibilities Regarding Law-related Services

Answer 7

Lawyer Responsibility for Law-Related Services:
Rules apply if:
1. Provided in connection with legal services.

2. Provided by a lawyer-controlled entity without clear disclaimer that they are not legal services.

Law-Related Services Definition: Services related to legal work but not requiring a lawyer (e.g., financial planning, consulting).