Regulating Lawyers

Question 1

Where are the rules governing the conduct of NY attorney’s found?

Answer 1

NY Code of Professional Responsibility

Question 2

Who investigates conduct AND what are the 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 though)

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-jurisdictional 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-jurisdictional 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 conduct’s predominant effect is in another state, THEN the other state’s rule will apply

Question 6

What are the 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
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