Prof. Resp. Flashcards
PR - Duties of a Lawyer
-
Duty of Loyalty and Avoidance of Conflicts of Interest
- Concurrent Conflicts (Potential and Actual)
- Imputed Conflicts
- Financial Conflicts (Fair and Reasonable, Independent Counsel)
- Payment From Party Other than Client
- Duty to Keep Client Property and Records (No Commingling)
- Duty of Competence (Knowledge, Skill, Preparation, Thoroughness)
- Duty of Care (Attention, Research, Investigation)
- Duty of Diligence (Promptly and Zealously to Completion)
- Duty of Communication (Inform, Comply, Settlement Offers)
- Attorney-Client Privilege (Extends to Necessary Persons, Scope)
- Duty of Confidentiality (Broader Scope)
- Duty to the Profession Not to Aid Unauthorized Practice of Law (Know or Reason to Know, Professional Judgment of Lawyer, No Splitting Fees/Referrals to Non-Lawyer)
- Duty of Fair Representation (Juror/Judge Contact, Trial Publicity, Fairness to Parties)
- Duty of Fairness to Opposing Parties and Counsel (Evidence, Deception, Frivolous Requests)
- Duty of Candor (Truthfulness with Court, Adverse Authority, Criminal Defendant Perjury)
- Duty to Produce Evidence (No Suppression or Tampering)
- Duty Not to Contact Represented Parties
- Duties of a Public Prosecutor (9 Duties)
- Duty to the Public (No Fraud, Crimes, Immoral Acts)
- Duty to the Legal Profession (Report Others—ABA, Report Self—CA)
- Duty to Withdraw (Mandatory or Permissive)
- Duty of Truthful Advertising (Truthful, Not False or Misleading)
- Duty to Avoid Solicitation (No Direct Contact for Fee-Paying Work)
- Duty to Make a Reasonable Fee Arrangement (Reasonable (ABA) vs. Unconscionable (CA)
PR - Duties of a Lawyer SUMMARY
CLFC/CFD
Clients Love Fierce Counsel—Courts Feel Differently
Owed to Client:
- Competence and Care (Competence, Diligence, Management of Firm)
- Loyalty (Conflicts of Interest—With Client, Between Clients, Clients & Third Parties)
- Financial Responsibility (Compensation, Client Trust Accounts, Loans, Liability Insurance)
- Confidentiality (Client Representation, Attorney-Client Privilege)
Owed to Court/Profession:
- Candor (Prevent Perjury, Present Facts & Evidence Truthfully, No Frivolous Claims)
- Fairness (Comply With Discovery Requests, Contact With Represented Party)
- Dignity (Advertising & Solicitation, Reporting Professional Misconduct, Unauthorized Practice of Law)
PR - Duty of Loyalty
An attorney owes his client a duty of loyalty and to avoid conflicts of interest. A conflict of interest can be actual or potential, and arises where the interests of the attorney or a third party (including a current or former client) may limit or adversely affect the attorney’s decisions or ability in representing the client.
PR - Conflict Due to Another Client
- Insurance Companies (CA): There is no conflict when a lawyer represents a policyholder and his insurance company as joint clients, where insurer’s interest in each matter is only as indemnity provider.
- Multiple Clients, Same Matter: Risk that your service may become materially limited due to others’ interest. Such potential conflicts require disclosure and consent.
- Former Client: Generally cannot take on new client with interests materially adverse to former client without former’s consent
PR - Conflict Due to Attorney’s Interest - Financial Conflicts
- Transaction must be fair and reasonable to client and disclosed in writing
- Client advised to seek independent counsel (in writing in CA)
- Client understands lawyer’s role
- Client gives informed consent in writing
PR - Conflict due to Attorney’s Interest - Gifts to Attorney
- ABA: Lawyer may not solicit a substantial gift from a client or prepare an instrument giving the lawyer or his relation a substantial gift from a client, except where they are related.
- California: A lawyer may not induce a gift, but may prepare the instrument (although this creates a rebuttable presumption that will invalidate the gift unless overcome)
PR - Conflcit due to Attorney’s Interst - Media Rights
- ABA: Lawyer cannot obtain media rights prior to conclusion of representation
- California: No rule prohibiting it, but it is discouraged and client must understand and consent
PR - Conflict Due to Attorney’s Interest - Sex with Clients
- ABA: No sexual relationships with a client unless it is preexisting and consensual
- California: Lawyer cannot demand sex, coerce or unduly influence client into sex, or act incompetently due to sex
PR - Conflict due to Attorney’s Interest - Malpractice/Limiting Liability
-
ABA: To limit liability, a lawyer must
- Withdraw or advise client in writing to seek independent counsel
- Advise client lawyer is not advising client as to settlement
- Disclose in writing terms and effect of settlement agreement
- California: A lawyer must promptly disclose to the client any facts giving rise to malpractice claim against him. A lawyer may not seek to limit his liability under any circumstances.
PR - Conflict due to Attorney’s Interest - Loans/Advances to Client
-
ABA: No assistance unless:
- Litigation expenses for indigent
- Advance of litigation expenses in a contingency fee case
- California: Lawyer may not promise to pay prospective client’s debts, but may make loans to client for any purpose with a written loan agreement
PR - Conflict Due to Attorney’s Interest - Trial Counsel as Witness
-
ABA: Lawyer may not appear as counsel and witness in same trial unless:
- Testimony is uncontested
- Testimony relates to nature and value of services rendered
- Attorney’s distinctive value to case means withdrawal would impose substantial hardship
- California: Lawyer may testify in bench trial, and if the client consents, in a jury trial
PR - Conflict due to Third PArty
Compensation From Non-Party: Lawyer must not accept compensation for representing a client from a non-client unless:
- The client gives informed consent (CA requires a writing)
- No interference with lawyer’s independence of professional judgment or client relationship
- Information relating to representation is protected
PR - Continuing to Represent Client in Face of Conflict
- ABA: Lawyer may continue representing client in the face of conflict if:
- Lawyer must reasonably believe he can competently and diligently represent client
- Representation not prohibited by law
- Client not asserting claim directly against another client
- Lawyer obtains clients’ informed, written consent
- California: Lawyer’s belief he can continue to represent client need not be reasonable. Rules apply to both potential and actual conflicts. Lawyer need only make written disclosure where conflict arises out of lawyer’s prior relationships or personal interests.
PR - Imputed Conflicts
Generally: If lawyer faces conflict of interest, no lawyer in his firm may represent client. Affected client may resolve conflict by giving informed, written consent. General rule does not apply to:
- Current and former government lawyers
- Purely personal interests of conflicted lawyer
- Conflicts due to conflicted lawyer’s close family relationship with another lawyer
- Conflict due to conflicted lawyer’s sexual relationship with client
ABA Screening Procedure: Lawyer may continue representing client in the face of conflict if:
- Timely screened
- Apportioned no part of fee
- Written notice given to affected former clients
- Certifications of compliance with procedure provided upon former client’s request
California: Silent regarding imputed conflicts of interest, so not subject to discipline. Case law follows the rule for the purpose of granting motions disqualifying a lawyer from handling a litigated matter.
PR - Government Attorneys
ABA: Lawyer now in private practice may not represent client in connection with matter he participated in personally and substantially as a government officer or employee, unless government agency gives informed, written consent.
California: No counterpart, but a lawyer who participated on prosecution side of criminal case cannot participate on defense side.
Imputed Conflicts: Conflicts not imputed if conditions of a screening procedure met:
- Screened from participation
- Does not share in fee
- Government agency notified
PR - Duty to Keep Client Property & Records
Generally:
- Hold property of clients or third persons separate from his own
- Keep client funds in client trust account
- Keep records of client funds and other property
- Keep client informed and deliver funds or other property to one entitled to receive them
Disputes: If lawyer possesses funds or other property to which the lawyer or a third person has claim, and client disputes it, the lawyer must keep disputed portion of funds or property separate
Trust Accounts
- If lawyer takes advance on fees, he must deposit them in trust account until earned—failure to timely withdraw from account as earned results in improper commingling of funds
- Once dispute as to funds is resolved, undisputed funds must be paid out
California Timing: Lawyer must preserve records of client funds or other property for 5 years after distributed
PR - Duty of Competence
Knowledge, Skill, Preparation, Thoroughness
ABA: Duty to have the knowledge, skill preparation and thoroughness necessary to undertake representation of client. If lawyer doesn’t possess these abilities, he may still undertake representation if:
- Learns necessary knowledge within a reasonable time
- Associates and works with experienced attorney
- Faces an emergency situation
California: Lawyer subject to discipline for intentionally or recklessly, or repeatedly, rendering services incompetently
PR - Duty of Care
Diligence, Skill, Attention
Duty to pursue a matter diligently and with the skill and attention one would give to one’s own personal matters. This includes a duty to research, investigate, and take time necessary to adequately prepare a matter for a client.
PR - Duty of Diligence
Diligence, Promptly, Zealously
Duty to diligently, promptly and zealously pursue your case to completion.
Note: May conflict with duty to withdraw
PR - Duty of Communication
Inform, Comply w/Requests, Explain Matters
Duty to keep client reasonably informed about the status of a matter and promptly comply with reasonable requests for information. Lawyer must explain matter enough to allow client to make informed decisions regarding representation.
California—Liability Insurance: Attorney who knows or should know they have no professional liability insurance must disclose that fact in writing to any client when the total amount of legal representation may exceed 4 hours. Inapplicable to government lawyers, in-house counsel, or legal services in an emergency.
PR - Attorney Client Privilege
Applies Only to Communications
ABA: Attorney cannot disclose confidential communications, except where:
- Client uses attorney to commit crime,
- Issue relates to breach of attorney-client relationship, or
- Litigation between former joint clients
California: Same, but can also reveal confidential information to prevent a criminal act that will cause death or substantial bodily harm
PR - Duty of Confidentiality (Duty to Keep Secrets)
Generally: Duty to keep client confidences and secrets on matters related to the representation. Duty relates to all information, regardless of whether client considers it confidential. The duty is broader than the attorney-client privilege, which applies only to communications.
ABA Exceptions:
- Attorney has consent or implied authority
- Necessary to prevent future death or serious bodily harm
- Necessary to prevent or rectify substantial financial loss (only ABA)
- Required by final court order
- Necessary to collect a fee or protect lawyer from criminal charge or civil litigation
California Exceptions:
- Necessary to prevent a criminal act that will cause death or substantial bodily harm, but if reasonable client must first:
- Make good faith effort to persuade client not to commit act, and
- Inform client of intention to reveal confidences
- Necessary to collect a fee or protect lawyer from criminal charge, ethics charge or civil litigation
- Required by final court order
PR - Duty of Confidentiality (Sarbanes-Oxley)
Generally:
- Report up to CLO/CEO
- CLO makes inquiry and informs reporting attorney if he fails to discover violation, or takes steps to cause issuer to adopt response and notifies reporting attorney
- If no response in reasonable time, report up to audit committee or board
- If reasonable response, that’s it
- If not, attorney may report out to SEC where necessary to prevent fraud
California: Does not permit this permissive disclosure, so there is a potential conflict regarding duty under federal law and state rules of professional conduct
PR - Duty Not to Aid the Unauthorized Practice of Law
“Professional Judgment of a Lawyer”
Generally: A lawyer may not permit or assist someone in the unauthorized practice of law, which includes things involving the professional judgment of a lawyer.
Fee Splitting: Lawyer may not split fees with a non-lawyer, pay a referral fee to a non-lawyer, or engage in practice of law or sharing of legal income with a non-lawyer (including a disbarred former lawyer).