Regulating Lawyers

Question 1

Where are the rules governing the conduct of NY attorneys found?

Answer 1

NY Code of Professional Responsibility

Question 2

Who investigates conduct AND what are the 4 types of discipline?

Answer 2

Complaints involving a NY attorney’s conduct are investigated by the grievance committee of one of the four appellate divisions

Four types of discipline:

1. Admonition
2. Public or private censure
3. Suspension
4. Disbarment

NOTE: violation of a Rule is SOME evience of malpractice (not conclusive tho)

Question 3

What duty do you owe when you KNOW of another lawyer’s violation of the Rules?

Answer 3

When you know of another lawyer’s violation of the Rules that raises a substantial question as to that lawyer’s honesty, trustworthiness, or fitness as a lawyer:

(1) You MUST report knowledge of violation to a grievance committee or a court; AND
(2) You have to cooperate in an investigation.

EXCEPTION: When a lawyer learns of another lawyer’s Rule violation during the representation of a client, the duty of confidentiality to the client will trump the duty to report the misconduct to the bar→The lawyer may not reveal the information without the client’s consent.

Question 4

Where can a lawyer be disciplined re: multi-jx practice?

Answer 4

Discipline imposed upon the lawyer by another state permits New York to impose reciprocal discipline on the same conduct

A lawyer admitted in NY state can be disciplined by NY’s disciplinary authority for ANY misconduct, no matter WHERE it occurs

A NY lawyer can be subject to the disciplinary authority of BOTH NY AND another state for the same misconduct

Question 5

How does choice of law work re: multi-jx discipline?

Answer 5

If the conduct occurred in connection with a proceeding before a tribunal in which the lawyer was admitted (generally or pro hac vice), then the rules of that jurisdiction govern your conduct.

For any other conduct, like a transaction matter, NY rules (the lawyer’s primary practice) will apply UNLESS the the conduct’s predominant effect is in another state, THEN the other state’s rule will apply.

NY rules govern if lawyer only admitted in NY.

Question 6

What are the 3 restrictions on lawyers?

Answer 6

1) A lawyer shall NOT aid a non-lawyer in the practice of law A non-lawyer includes a LAWYERnot admitted in that jurisdiction

2) A lawyer shall NOT enter into a partnership, employment, or similar type of agreement that restricts the right of the lawyer to practice after termination of the relationship
Exception: benefits upon retirement and sale of the entire law practice

3) A lawyer may NOT participate in the settlement of a client’s matter that restricts the lawyer’s right to practice in the future So a lawyer can’t settle a claim if the settlement requires the lawyer to refrain from bringing future actions