Miscellaneous duties / Duties to the Profession / The code of Judicial conduct Flashcards
1
Q
Rule 1.17 – Sale of a Law Practice
A
- Can sell only if: retiring, relocating, or giving up an area of practice
- Purchaser must be a lawyer
- No piecemeal sale of cases. Purchaser must accept all matters in the practice, subject to client consent
- Seller must ensure that:
- The buyer is competent;
- There are no conflicts of interest;
- Confidentiality is protected.
- Seller must give 90 day written notice of the sale to clients
- Clients may consent to the new lawyer or find other counsel. (If client whereabouts unknown, court order required).
- Fees to clients shall not increase by reason of the sale.
2
Q
Duties of Supervision
A
- Rule 5.1 – Duties of Supervisory Lawyers
- Rule 5.2 – Duties of Subordinate Lawyers
- Rule 5.3 – Duties Re: Non-Lawyer Assistants
3
Q
Rule 5.1 – Responsibilities of Partners, Managers, and Supervisory Lawyers
Rule 5.1(a):
A
- A partner or other lawyer with comparable supervisory authority
- shall make reasonable efforts to ensure that the firm has in effect
- measures giving reasonable assurance that all lawyers in the firm conform their conduct to the Rules of Professional Conduct
4
Q
Rule 5.1(b):
A
- A lawyer having direct supervisory authority over another lawyer
- shall make reasonable efforts to ensure
- that the other lawyer’s conduct conforms to the Rules of Professional Conduct
5
Q
Rule 5.1(c):
A
- A lawyer shall be responsible for another lawyer’s violation of the RPC, if:
- The lawyer orders or, with knowledge of the specific conduct ratifies it; or,
- The lawyer is a supervisory lawyer and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action
6
Q
Rule 5.2 – Responsibilities of a Subordinate Lawyer
Rule 5.2(a):
A
- A lawyer is bound by the Rules of Professional Conduct
- notwithstanding that the lawyer acted at the direction of another person
7
Q
No good soldier defense!!
A
- You can not escape responsibility for ethical misconduct by claiming that you “followed orders.”
- There is no “good soldier defense.”
8
Q
Exception: Rule 5.2(b):
A
- A subordinate lawyer does not violate the RPC
- if that lawyer acts in accordance with
- a supervisory lawyer’s reasonable resolution of an arguable question of professional duty
*E.G., If the ethical violation is not clear, the subordinate can defer to the judgment of the supervisor.
9
Q
Rule 5.3 – Responsibilities Regarding Non-Lawyer Assistants
Rule 5.3(a):
A
- A partner or other lawyer with comparable managerial authority
- shall make reasonable efforts to ensure that the firm has measures in effect
- giving reasonable assurance that the conduct of non-lawyer assistants is compatible with the professional obligations of the lawyer
10
Q
Rule 5.3(b):
A
- A lawyer having direct supervisory authority
- shall make reasonable effors to ensure
- that the non-lawyer’s conduct is compatible with the professional obligations of the lawyer
11
Q
Rule 5.3(c):
A
- A lawyer shall be responsible for a non-lawyer’s misconduct if:
- The lawyer orders, or with knowledge of the specific conduct, ratifies it; or,
- The lawyer is a partner or lawyer with comparable managerial authority and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action
12
Q
Review of 5.1 – 5.3
A
- If you have any supervisory authority over a lawyer or non-lawyer staff person, you must have measures in place to assure subordinate’s compliance with the rules (training, etc.)
- If you order someone under your supervision to engage in conduct that violates a rule or, if you know of a violation but take no remedial action, YOU are subject to discipline
- Following someone else’s directive is NOT a defense to a claim of misconduct
13
Q
Rule 5.4 – Professional independence of lawyer
Rule 5.4(a):
A
- A lawyer / law firm shall not share fees with a non lawyer except that:
- You can pay a deceased lawyer’s estate any earned attorney fees of the lawyer;
- You can pay a deceased, disabled, or disappeared lawyer’s estate the purchase price of a practice;
- Non-lawyer employees can be included in compensation or retirement plans with a profit-sharing arrangement; and,
- You can share court awarded legal fees with a non-profit organization that employed, retained or recommended your services in the matter
14
Q
Rule 5.4(b)
A
- A lawyer shall not form a partnership with a non-lawyer
- if any partnership activities consist of the practice of law
15
Q
Rule 5.4(c)
A
- 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 services
*Can not allow third persons to interfere with your professional judgment
16
Q
Rule 5.4(d)
A
- Non lawyers can not have an interest in a lawyer corporation or partnership
- Non lawyers can not serve as officers or directors
- Non lawyers can not direct or control the professional judgment of a lawyer
17
Q
Rule 5.6 – Restrictions on Right to Practice
A
- A lawyer shall not participate in offering or making:
- 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,
- An agreement in which a restriction on the lawyer’s right to practice is part of the settlement of a client controversy
18
Q
Rule 5.7(a) – Responsibilities Re: Law Related Services
A
- A lawyer is subject to the RPC re: law-related services if:
- The servies are provided in circumstances related to the provision of legal services to clients; or
- 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 a-c relationship do not exist
19
Q
Rule 5.7(b)
A
- “Law related” services are services that:
- Might reasonably be performed in conjunction with and in substances are
- related to the provision of legal services
20
Q
Rule 2.3 – Evaluation for Use by Third Persons
A
- You may provide an evaluation of a matter affecting a client
- for the use of someone other than the client
- if you reasonably believe that making the evaluation is compatible with other aspects of your relationship with the client
21
Q
Rule 2.3(b):
A
- When you know or reasonably should know aht the evaluation is likely to affect the client’s interests materially and adversely,
- you shall not provide the evaluation unless the client gives informed consent.
*If the evaluation will be against the client’s interests, you can not perform the evaluation absent the client’s informed consent
22
Q
Rule 2.3(c):
A
- 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
*Except to the extent must disclose the evaluation to the third party, the information is protected by Rule 1.6
23
Q
Rule 8.1 – Maintaining the Integrity of the Profession
A
- An applicant for admission to the bar, or a lawyer in connection with a bar application or disciplinary, shall not:
- Knowingly make a false statement of fact; or,
- Fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen; or,
Knowingly fail to respond to a lawful demand for information from an admissions or disciplinary authority, unless protected by Rule 1.6
24
Q
Rule 8.2 – Judicial and Legal Officials
A
- You shall not make a statement that you know to be false or with reckless disregard as to its truth or falsity
- concerning the qualifications or integrity of a judge, adjudicative officer or public legal officer, or a candidate for judicial office
- If you are a candidate for judicial office you must comply with the applicable provisions of the Code of Judicial Conduct
25
Q
Rule 8.3 – Duty to Report Professional Misconduct
A
- A lawyer who knows that another lawyer has committed a violation of the RPC
- that raises substantial question as to that lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects,
- shall inform the appropriate professional agency
26
Q
Rule 8.3(b):
A
- A lawyer who knows that a judge has committed a violation of the CJC
- that raises substantial question as to the judge’s fitness for office
- shall inform the appropriate authority
27
Q
Rule 8.3(c)
A
- 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
28
Q
Rule 8.4 – Misconduct
A
- It is professional misconduct for a lawyer to:
- Violate or attempt to violate the RPC, knowingly assist or induce another to do so, or to do so through acts of another;
- Commit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects;
- Engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
- Engage in conduct prejudicial to the administration of justice;
- State or imply the ability to influence improperly a government agency or official or to achieve results by means that violate the RPC or law;
- Knowingly assist a judge or judicial officer in conduct that is in violation of the CJC or other law
