Shared Flashcard Set

Details

Professional Responsibility
Widener 2L ED Professional Resp Prof Mette
90
Law
Graduate
01/03/2019

Additional Law Flashcards

 


 

Cards

Term
Notes from Class 1- Jan 7
Definition

Be sure to read rules and notes on the rule.  

 

 

Use IRAC for class and bar exam. 

4 questions for each rule - 1) what does it say (general and specific) 2)  Why does rule exist, 3) how will someone come into conflict with the rule, 4) who will enforce rule.  

 

We are not judges - we are counselors, advocates -we do not pronounce the law.  

Term
Rule 8.3 Reporting Professional Misconduct
Definition

(a) A lawyer who knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that lawyer's honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate professional authority.

 

(b) A lawyer who knows that a judge has committed a violation shall inform the appropriate authority.

 

(c) This Rule does not require disclosure of information otherwise protected by Rule 1.6

Term
Rule 5.1: Responsibilities of a Partner or Supervisory Lawyer
Definition

(a) A partner in a law firm, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct.

 

(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules

 

(c) A lawyer shall be responsible for another lawyer's violation of the Rules of Professional Conduct if:

 

(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or

 

(2) the lawyer is a partner or has comparable managerial authority in the law firm in which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.

Term
Rule 5.2: Responsibilities of a Subordinate Lawyer
Definition

 (a) A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer acted at the direction of another person.

 

(b) A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in accordance with a supervisory lawyer's reasonable resolution of an arguable question of professional duty.

 

Should consult with others re if the reasonable resolution is truly reasonable. 

Term
Notes from class 2 - Jan 9
Definition

There are rules for lawyers who are not acting as a lawyer - if fraud in business dealings, there are ABA rules that apply. 

 

Most problems arise from the conflict between lawyers responsibility to clients and remaining and ethical person while earning enough. 

 

Knowingly means actual knowledge - or may be inferred from circumstances

 

 

 

 

 

 

Term
Rule 1.6 a Confidentiality of Information
Definition

a) A lawyer shall not reveal [any] information relating to the representation of a client unless the client gives informed or implied consent, except in circumstances allowed by para (b).

 Note that this "shall not" is a broad version of the shall not rule - any information - if this was narrow, you might be able to construe that other items outside of the shall not items are therefore OK.  

* affirmative duty to prevent inadvertent or unauthorized disclosure. 

* 1.6 is broader than atty-client privilege

 

Term
Rule 1.6 b 1-7 Confidentiality of Information - (b) A lawyer may reveal information relating to a client to the extent [not if - yes or know, it is a spectrum] the lawyer reasonably believes necessary:
Definition

Death, SBI, prevent or mitigate crime or fraud, legal advice, self-defend

1) to prevent reas cert death or substantial bodily harm;

2) to prevent the client from committing a future crime/FRAUD reas certain to result in substantial financial injury of another and in furtherance of which the client has used or is using the lawyer's services;

 3) to prevent, mitigate or rectify substantial (future or past) injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client's commission of a crime or fraud in furtherance of which the client has used the lawyer's services;

 (4) to get legal advice re compliance with these Rules;

 (5) to establish a claim or defense on behalf of the lawyer (sued in malpractice) in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client; 

 (6) to comply with other law or a court order; or

 (7) to detect and resolve conflicts of interest arising from the lawyer’s change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client. 

 

Term
Definition of Knowingly (Rule 1.0 (f))
Definition
Knowingly," "known," or "knows" denotes actual knowledge of the fact in question or inferred from circumstances.
Term
Rule 3.3 Candor Toward the Tribunal.  Al lawyer must not knowingly
Definition

1) make a material false statement or fail to correct such

 

(2) fail to disclose info directly adverse to the position of the client and not disclosed by opposing counsel; or

 

(3) offer evidence known to be false. A lawyer may refuse to offer evidence he reasonably believes is false.

 

(d) In an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse.

Term
Rule 4.1: Truthfulness in Statements to Others
Definition

In the course of representing a client a lawyer shall not knowingly:

 

(a) make a false statement of material fact or law to a third person; or

 

(b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.

Term
Rule 8.4 Misconduct.  it is professional misconduct for a lawyer to:
Definition

a) violate or attempt Rules of Professional Conduct, knowingly assist another to do so;

 

b) commit a criminal act reflecting the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects;

 

(c) engage in dishonesty, fraud, deceit or misrep;

 

(d) conduct that is prejudicial to the admin of justice;

 

(e) state or imply an ability to influence improperly a government agency or official or to achieve results;

 

(f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules or

 

(g) engage in conduct that the lawyer knows or reasonably should know is harassment or discrimination 

Term
Kelly v Hunton & Williams
Definition

A law graduate not admitted to the bar but working at a law firm as an associate cannot be fired for reporting a colleague’s violation of Professional Responsibility.

 

Kelly passed bar 1991, finished applying in 1997; 1991 saw that Wolas was engaged billing fraud, Brought to attention of some partners (some also involved with ponzi investments); 1993 forced to resign. 

 

Law firm moved for sum judgement saying he is at will employee.  

Term
Notes from 14 Jan
Definition

Good chart on pg 139-140 re law governing lawyers

Whistleblower protection is not law but inferred from other cases (Kelly vs Hunton ) - but diff from state to State

 

page xx in supplement - certain states diverge from the model rules - 1.6a, b and 4.1 - note and know differences for Bar exam but not for class exam

 

 

 

  

 

 

Term
Rule 1.2 (d)Scope of Representation & Allocation of Authority Between Client & Lawyer
Definition

(d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, meaning or application of the law.

 

look at notes 9 last sentence and 10 - 

Term
Rule 4.1: Truthfulness in Statements to Others
Definition

In the course of representing a client a lawyer shall not knowingly:

 (a) make a false statement of material fact or law to a third person; or (note difference b/t fact vs opinion & material

 

(b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6 (confidentiality of info).

 

must understand intersection of 1.6, 4.1 8.4c

Term
Rule 4.1: Truthfulness in Statements to Others
Definition

In representation of a client a lawyer shall not knowingly:

 

(a) make a false statement of material fact or law to a third person; or

 

(b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6 (confidentiality of info).

 

must understand intersection of 1.6, 4.1b (com 3) 8.4c, 1.2d (com 9&10)

Term
Difference between confidentiality and attorney client privilege
Definition

Confidentiality is an ethics rule 1.6, ACP is part of common law ethics law - court may overrule confidentiality.  ACP is pretty absolute. 

 

Confidentiality is very broad, ACP is narrow 

 

Enforced differently - ethics reprimand vs court order

Term
Examples when will ACP be claimed
Definition

Client cross examined

Lawyer subpoenaed

Clients documents seized from lawyer

 

or during preemptive proceeding like Belge to defend against penalties for not making disclosures.  

Term
Proposed rule 503 ACP
Definition

a client has a privilege to refuse to disclose confidential communications made for the purpose of facilitating the rendition of professional legal services to the client,

 

(1) between himself or his representative,

(2) between his lawyer and the lawyer’s representative,

(3) by him or his lawyer to a lawyer representing another in a matter of common interest,

(4) between representatives of the client or between the client and a representative of the client, or

(5) between lawyers representing the client

Term
Restatement 68 ACP
Definition

Except as otherwise provided in this Restatement, the ACP may be invoked by client with respect to:

(1) a communication

(2) made between privileged persons (including corps)

(3) in confidence (reasonably believes no one else hears)

(4) for the purpose of obtaining or providing legal assistance for the client (not business advice).

 

Extends even when one is deceased (Swidler)

Extends to common interest arrangements

ACP waived when voluntarily shared with others

Identity of client is not priv

Fraud/crime not priv - even if lawyer does not know criminal intent

Term
Restatement 70 Privileged persons
Definition
Privileged persons within the meaning of § 68 are the client (including a prospective client), the client's lawyer, agents of either who facilitate communications between them, and agents of the lawyer who facilitate the representation.
Term
Restatement 86 - invoking the privilege
Definition

(1) When an attempt is made to introduce in evidence or obtain discovery of a communication privileged:

(a) A client or representative may invoke or waive the privilege, either personally or through counsel 

(b) A lawyer from whom a privileged communication is sought must invoke the privilege when doing so appears reasonably appropriate, unless client waived privilege

(2) A person invoking the privilege must ordinarily object contemporaneously; if the objection is contested, demonstrate each element of the privilege under § 68.

(3) A person invoking a waiver of or exception to the privilege (§§ 78- 85) must assert it and, if the assertion is contested, demonstrate each element

Term
Restatement 87 Lawyer Work Product Immunity
Definition

1) Work product consists of tangible material or its intangible equivalent in unwritten or oral form, other than underlying facts, prepared by a lawyer for litigation 

(2) Opinion work product consists of the opinions or mental impressions of a lawyer

(3) Except for material which by applicable law is not so protected, work product is immune from discovery or other compelled disclosure 

 

 

Term
Exceptions of Work Product Immunity
Definition

Ordinary work product may be discoverable if there is substantial need for the material in order to prepare for the trial or unable to obtain due to under hardship

 

Opinion work product only discoverable in exceptional circumstances - almost never.  

 

WPI must be invoked in a timely manner.  

Term
Rules for lower level employee corporate ACP
Definition

The lower level employees are covered if:

1) Communication was made for the purpose of securing legal advice;

2) The employee making the communication did so at the direction of his corporate superior;

3) The superior made the request so that the corporation could secure legal advice;

4) The subject matter of the communication is within the scope of the employee's corporate duties; and

5) The communication is not disseminated further beyond those persons who, because of the corporate structure, need to know of its contents.

Term
Worldwide Bribery
Definition

It’s category II info, so so you shouldn’t just hand it over. Three things you can do:

  1. waive privilege and turn over records
  2. not waive the privilege (probably best answer: you shouldn’t give over conf info every time you have the slightest threat of prosecution.)
  3. middle ground: give some information, not all (this is the worst choice)

The pro is that if you turn it over you may be able to negotiate with the prosecutor. So, you may instruct the president to waive the privilege and turn over records. However, you may instruct him that he can give a little and hold some back. That way you are in a better bargaining position

The con is that if you turn them over, there is no limit to what the government can investigate or prosecute. Try to get something formal from the government first. Then turn them over.You can also choose a middle ground. Just turn over cover and facts but not release any liability information or legal stuff

Term
Togstad vs Vesely
Definition

An attorney speaking with a potential client regarding a medical malpractice case must, at minimum, request medical authorizations from the client to review hospital records and consult with an expert in the field.

 

Initial lawyer said there was no claim but did not request med records or review or consult with experts though said he would speak - DID NOT NOTIFY OF SOL

 

Must have, 1) Atty-client relationship (BIG QUESTION), defendant lawyer acted neg or breach of contract, 3) prox cause, 4) but for defendant atty conduct, client would be successful.  

Term
Strickland vs Washington
Definition

Two prong test for ineffective counsel;

  1. lawyer errors must be very serious and 
  2. but for serious errors, the result of the proceeding would have been different (more favorable). 

Although lawyer committed serious error (did not get psych reports to mitigate death penalty),the outcome would not have been different.  

Term
ABA standards/guidelines for criminal defense lawyers
Definition
  1. seek to determine all relevant facts
  2. keep client informed and promptly reply to RFI
  3. tell accused rights that they have
  4. conduct prompt investigation of the circumstance

only 30-40% of attys comply

Term
Rule 1.1 Competence
Definition

A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation.

 

Should be able to IRAC for a client even when not in your area of specialty and understand if you need a specialist or not.  

 

If you dont have time to prepare, you are still responsible

 

 

Term
Rule 1.3 Diligence
Definition

A lawyer shall act with reasonable diligence and promptness in representing a client.

 

Cannot miss deadlines - SOL or FCRP timeines for 21 day harbor, days to respond to motions

 

Comment 1 - 

Term
Rule 1.4 Communications - a lawyer shall....
Definition

(1) promptly inform the client of any decision or circumstance affecting the client's informed consent

(2) reasonably consult re how client's objectives are to be accomplished;

(3) keep the client reasonably informed of status 

(4) promptly comply with reasonable requests for info;  

(5) inform/consult about any relevant limitation on the lawyer's conduct when the lawyer cannot perform request

(b) A lawyer must provide client ability to make informed decisions regarding the representation.

Term
Rule 6.2 Accepting Appointments
Definition

A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for good cause, such as:

 (a) representing the client is likely to result in violation of the Rules of Professional Conduct or other law;

 (b) representing the client is likely to result in an unreasonable financial burden on the lawyer; or

(c) the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer's ability to represent the client.

Term
Fraud definition
Definition
Fraud" or "fraudulent" denotes conduct that is fraudulent under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive.
Term
Rule 1.2
Definition

Client-Lawyer Relationship

(a) Subject to paragraphs (c) and (d), a lawyer shall abide by a client's decisions concerning the objectives of representation and, as required by Rule 1.4, shall consult with the client as to the means by which they are to be pursued. A lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation. A lawyer shall abide by a client's decision whether to settle a matter, plea or jury by trial.

 

(c) A lawyer may limit the scope of the representation if reasonable under the circumstances and the client gives informed consent.

 (d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, meaning or application of the law.

Term
Rule 1.16 Declining or Terminating Representation (d)
Definition
(d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payment of fee or expense that has not been earned or incurred. The lawyer may retain papers relating to the client to the extent permitted by other law.
Term
Rule 2.1 Advisor
Definition

In representing a client, a lawyer shall exercise independent professional judgment and render candid advice- and may provide legal, moral, economical, social, etc.   

 

Independent of your interests - cannot be independent of your clients interest

 

Comment 1 - unpleasant facts may be presented more pleasantly - if your expert indicates info against your case, you need to tell client.  

Term
Rule 8.4 misconduct
Definition

It is professional misconduct for a lawyer to:

 

(a) violate (or attempt) Rules of Professional Conduct,  

(b) commit a crime that reflects adversely  

(c) engage in dishonesty, fraud, deceit or misrep;

(d) be prejudicial to the administration of justice;

(e) improper influence a government agency or official 

 

(g) engage in harassment or discrimination 

Term
Retatement section 20 - A Lawyer's Duty to Inform and Consult with a Client
Definition

(1) A lawyer must keep a client reasonably informed about the matter and must consult with a client to a reasonable extent concerning decisions to be made by the lawyer under §§ 21- 23.

(2) A lawyer must promptly comply with a client's reasonable requests for information.

(3) A lawyer must provide informed consent re decisions to be made by the client under §§ 21- 23 

Term
§ 21 Allocating the Authority to Decide Between a Client and a Lawyer
Definition

As between client and lawyer:

(1) A client and lawyer may agree which of them will make specified decisions, subject to the requirements stated in §§ 18, 19, 22, 23, and other provisions. 

 

(2) A client may instruct a lawyer during the representation, subject to the requirements stated in §§ 22, 23, and other provisions Subject to Subsections (1) and

 

(2) a lawyer may take any lawful measure reasonably expected to advance a client's objectives

 

Term
§ 22 Authority Reserved to a Client
Definition

(1) As between client and lawyer, subject to Subsection (2) and § 23, the following and comparable decisions are reserved to the client except when the client has validly authorized the lawyer to make the particular decision: whether and on what terms to settle a claim or appeal civil proceeding; how a criminal defendant should plead; whether a criminal defendant should waive jury trial; whether a criminal defendant should testify; and whether to appeal in a civil proceeding or criminal prosecution.

 

Term
§ 23 Authority Reserved to a Lawyer
Definition

A client cannot tell a lawyer to do something unlawful

 

A client cannot tell a lawyer not do do something the lawyer reasonably believes to be required by law 

Term
§ 24 A Client with Diminished Capacity
Definition

diminished capacity clients get normal client-lawyer relationships that are in best interest of client 

 

 lawyer must pursue reasonable objectives or interests for the client with no guardian

 

A lawyer must abide by guardian instructions unless the instructions clearly violate the person's legal duties

 

 A lawyer may seek the appointment of a guardian when that action will advance interests of the diminished client

 

authorized under 1.6b to reveal info re diminished capacity but only to extent necessary

Term
Jones vs Barnes
Definition

An attorney assigned to represent a criminal defendant on appeal is under no duty to raise every non-frivolous or 'colorable" issue.

 

P convicted of robbery - asked his court appointed lawyer to raise mutliple issues, he raised only 3.  COnvict claimed sixth amendment right to effedtive counsel.  

 

Should tell client that you are only going to raise some issues - communciation still needed. 

 

dissent said dignity of defendant calls for all arguments

Term
Restatement Section 77 - when can ACP have exceptions
Definition

ACP may be invoked before or after - 

 

COmment - supporting exception may be shown when deceased and have a pivotal interest of probative value to another.  

 

See more in the Restatment - comment in class. 

Term
Swidler v Berlin
Definition

ACP survives death of Vince Foster

 

an heir or executor can waive ACP of decedant if there is value in intent of the decedant 

Term
Categories of ACP information
Definition

Category I - facts, chronologies, witness statements, factual summaries.  Able to get when balance test indicates it is proper to get from opposing counsel

 

Category II - ACP privilege communications, legal advice, only in very rare instances will it be handed over

Term
0Restatement 27
Definition
Expressed vs apparent authority - can reasonbly rely on the apparent .... get more - reasonable reliance of a third party re the third party - comment c and d of Section 27.
Term
Intersection of 1.6 4.1 8.4c
Definition

1.6 - ACP - Cannot disclose any confidential facts unless to avoid death, crime, fraud, etc. 

 

3.3 Cannot make false material statement to tribunal or fail to correct a false statement - must disclose adverse precedent not disclosed to tribunal

 

4.1 - Cannot make a false material statement of fact,  to a 3rd person or fail to disclose a material fact to avoid fraud or crime by client

 

8.4c -it is professional misconduct to engage in dishonesty, fraud, deceit or misrep;

Term
Rule 1.14 Diminished capacity and Juveniles
Definition

Same rule for juveniles, shall maintain as normal as relationship as reasonably possible.  Kids as young as 6 - and certainly 12 can determine which parent they want.  

 

SImilar with older kids and criminal or delinquent charges.  

 

In abuse and neglect cases, attny must advocate the child's position rather than what the attny beliefs is best for kid.  should elicit the preferences in an age appropriate manner and should follow child's wishes.  

 

 

Term
Payment when terminating attny
Definition

must return all documents except those for internal purposes not intented for the client.  if terminated before end of services, may need to provide interrnal docs a

 

re payment, lawyer may keep documents not yet paid for unless retention would unduly harm client.  

 

if drafted a document that he believes has false info - need substantial grounds for refusing to make delivery - such as fraud, or commit another crime.  

 

cannot terminate if causes undue delay to case. 

Term
Payment when terminating
Definition

Example was attny got $100K settlement after extensive work, client refused, attny quit saying cannot get better settlement,  another atty gott $200K

 

Attny wanted to get some of the 40% of 200K fee from other lawyr.  court rejected, saying client can always terminate and client always makes decision in settlement.  

 

If stop because fees not being paid, must warn that lack of payment will lead to withdrawal.  

Term
Client lawyer relationship
Definition

Objective and means are two different things. 

 

Objective is directed by the client, what he wants as the outcome. 

 

Means regarding how to get the objective resolved are more up to the attny based on his reasonable judgement and circumstances. 

 

Attny should try to work with the client to agree to the means, but do not need to accommodate every request by client

Term

STOPPED HERE Rule 1.7 Conflict of Interest, Current Clients

 

Q1 - is there a concurrent conflict?  Check who are the clients - is there a concurrent conflict?  if No, then your done, if yes, then ask, 1a) is it consentable (can provide competent represent, not prohbited), if yes, then try to get IC.  

Definition

a lawyer shall not have a client w/ concurrent conflict of interest where representation of one client directly adverse (even if unrelated) OR a significant risk representation will be materially limited by hindered judgement (current or past client, personal interest)

 

A lawyer may represent a client with a conflict of interest if: (1) the lawyer reasonably believes that he can provide competent representation to both

(2) the representation is not prohibited by law;

(3) cannot represent both sides of a litigation AND

(4) each affected client gives IC in writing.

mostly both, but may only need 1 IC

Term
Rule 1.10 - Imputation of Conflicts of Interest: General Rule
Definition

Lawyers at the same firm are limited by rule 1.7 and 1.9 - cannot knowingly have conflict of interest, unless

 

(1) the prohibition is based on a personal interest of rule 1.7 OR prohibition is based upon Rule 1.9(a) or (b) and arises out of the disqualified lawyer’s association with a prior firm, AND

 

(i) there is firewall between lawyers;

 

(ii) written INFORMED notice WITH CERTIFICASTION of complaince is promptly given to any affected former client AND

 

 

(b) When a lawyer has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm, unless:

 

(1) the matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and

 

(2) any lawyer remaining in the firm has information protected by Rules 1.6 and 1.9(c) that is material to the matter.

 

(c) A disqualification prescribed by this rule may be waived by the affected client under the conditions stated in Rule 1.7.

 

(d) The disqualification of lawyers associated in a firm with former or current government lawyers is governed by Rule 1.11.

Term
Rule 1.9 Duties to former clients
Definition

(a) A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related MATTER in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing.

 

(b) A lawyer shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client:

 

(1) whose interests are materially adverse to that person; and

 

(2) about whom the lawyer had acquired information protected by Rules 1.6 and 1.9(c) that is material to the matter;  unless the former client gives informed consent, confirmed in writing.

 

(c) A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter:

 

(1) use information relating to the representation to the disadvantage of the former client except as these Rules would permit or require with respect to a client, or when the information has become generally known; or

 

(2) reveal information relating to the representation except as these Rules would permit or require with respect to a client.

Term
Rule 1.18 Duties to a prospective client
Definition
  • Prospective client formed when consult on potential case
  • Shall not use or reveal information from prospect except as Rule 1.9 would permit 
  • Shall not represent client adverse to prospect client in substantially related matter for self and entire firm EXCEPT:
  • when there is 1) informed consent OR, 2) lawyer took measures to avoid exposure to more information and gave written notification to adverse prospective client
Term
Rule 1.13 Organization as a client - corporations
Definition

A lawyer represents the organization (not officers, directors, employees) 

 

If an officer, etc. does not act in best interest of the org, lawyer shall proceed in the best interest of the organization and report the person to a higher person. 

 

Lawyer can disclose confidential info when higher authority does not act in accordance with law or best interest of  corp to prevent substantial injury to corp.

 

cannot reveal confidential info when investigating possible illegal conduct by org or person.  

Term
Class after spring break will be class #13 in sylabbus
Definition
Term
Rule 1.8 - Current Clients (f)
Definition

 A lawyer shall not accept 3rd party compensation unless

(1) the client gives informed consent;

 

(2) there is no interference with the client-lawyer relationship, independence or judgement and

 

(3) confidential information is still protected as required by Rule 1.6. (waiver allowed)

Term
Rule 1.8 Current Clients - special rules (g)
Definition
Term
Silver Chrysler vs Chryler Motors
Definition
Court declined to disqualify a lawyer based on his work as an associate at his previous law firm where he helped to defend Chrysler motors against an antitrust actions against a taxi company.  In the new firm, he represented a chrysler dealer suing chrysler motors in a real estate matter.
Term
Ideas to help pdetermining if client is present or former client
Definition

Is the matter transactional and did the lawyer send marketing materials to the client - would still be former

 

In gener cannot drop one client for more lucrative client - unless fired or some other good reason to drop out. 

 

 

Term
How to determine if there is a substantial relationship between one matter and another
Definition
  • STOO
  • If material AND confidential information was obtained to use against
  • Common facts yes are substantial. common legal issues not substantial - can have expert in areas of law
  • Might apply if lawyer knows the playbook and how other/previous firm attacks an issue

 

 

Term
Rule 1.9 condensed
Definition

(a) Should not directly represent another client in a substantially related matter that is materially adverse to first client

 

(b) When in new firm,cannot knowingly represent another client in substantially related matter that is materially averse to first client from former firm AND when the lawyer had access to confidential info.  

 

 

(c) Cannot use OR reveal information from previous representation to disadvantage to former client unless already public info5

Term
1.7 Current Client vs 1.9 Former Clients
Definition

1.7 - Directly averse OR sig risk of material limitations - mostly consentable except for where it is illegal

1.9 - Materially averse AND substantially related matter - always consentable

Term
Rule 1.5  Fees
Definition

(a) no unreasonable fee OR expenses. consider: 1)T&L & skill required, 2) preclusion of other jobs for the lawyer, 3) customary fee, 4) amount involved, 5) urgency, 6) length of relationship, 7) fixed or contingent fee

  

(b) Should be in writing, soon after commencing work

 

(c) A fee may be contingent but shall be in a writing signed by the client explaining expenses vs fees

 

(d)No contingent divorce or contingent criminal case

 

(e) division of fees across two firms only if in proportion to work done, client agrees, and total fee reasonable

 

 

Term
Rule 1.15 Safekeeping Property
Definition

(a) Client property/funds shall be separated from lawyers property, safeguarded, and records kept for 5 years after

 

(b) may deposit funds into client acct to pay bank fees

 

(c) $ transferred into own account only when earned or expenses incurred.  

 

(d) Shall promptly tell client when funds/property received and promptly deliver when entitled to receive

 

(e) Property or fee disputed with lawyer still must be kept separate from lawyer accounts.  

Term
Rule 7.1 Communicating Concerning Lawyers Services
Definition
A lawyer shall not make a false or misleading communication about the lawyer or the lawyer's services. A communication is false or misleading if it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading.
Term
Rule 1.8 (h)
Definition

A lawyer shall not:

 

(1) make an agreement prospectively limiting the lawyer's liability to a client for malpractice unless the client is independently represented in making the agreement; or

 

(2) settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith.

Term
Rule 1.11 (a) Former gov employees
Definition

(a) lawyer who has formerly served as a public officer or employee of the government is subject to 1.9 and shall not otherwise represent a client in connection with a matter in which the lawyer participated personally and substantially unless gov gives informed written consent

 

if with a firm, must be screened and written notice (no IC)

 

if has confidential info, cannot represent client with adverse interests

 

 

 

Term
Rule 1.11 current gov employees
Definition

A current gov lawyer is subject to Rules 1.7 and 1.9; and

 

(2) shall not: participate in a matter participated personally and substantially while in private practice unless agency gives written informed consent OR

 

(ii) negotiate for private employment with any person who is involved as a party participating personally and substantially,

 

(e) As used in this Rule, the term "matter" is very broad - any matter covered by the conflict of interest rules of the appropriate government agency.

Term
Rule 1.8 (e) - financial assistance to clients
Definition

Cannot provide financial assistance except for:

  1. Court costs
  2. Med procedures needed for trial
  3. Other expenses for trial

These can be provided as an advance and contingent upon trial outcome

Term
Rule 3.1 Meritorious Claims & Contentions
Definition

A lawyer must have unless there is a basis in law and fact for doing so that is not frivolous.

 

A criminal lawyer may defend and require that every element of the case be established. 

Term
FCRP Rule 11- Signing Pleadings, Motions, and Other Papers; Representations to the Court; Sanctions
Definition

Every court document must have sig. of atty stating:

  • info and belief is reasonable, no delay, no improper harassment, not frivolous, or needlessly up cost of litigation AND
  • the claims, defenses are warranted and factual contentions have/likely have evidentiary support OR
  • the denials of factual contentions are warranted

Court can declare sanctions w/ 21 day safe harbor, can award expenses to opposing counsel and $ penalties and injunctions sufficient to deter further abuse 

NOT APPLICABLE to Discovery rules 26 through 37.

Term

Flight from sudan - scene 1

Civil rights lawyer for Joseph Barragabi, fled Sudan after the underground newspaper, Democracy was raided.  He escaped through ethiopia and eventually got him and his family to the US under a fake passport.  When arriving in NYC, he confessed the fake passport and claimed asylum.  He is terrified that he will be deported back to Sudan because of his work with the newspaper.  

 

Asylum requires a "well founded fear" of political or religious persecution in home country.  Barragabi does not have complete papers, and no real documentation that he worked for Democracy newspaper.  You find the editor of the newspaper in Canada, and he does not know Barragabi - either by name or appearance.  

Definition
Term
Rule 3.4 Fairness to Opposing Party and Counsel sections a-d
Definition

A lawyer shall not:

(a) unlawfully obstruct or advise to obstruct access or alter, destroy or conceal evidence

 

(b) falsify evidence, counsel a witness to testify falsely, or offer an inducement to a witness

 

(c) knowingly disobey an obligation under the rules 

 

(d) make a frivolous discovery request not comply with a legally proper discovery request by an opposing party;

 

 

Term
Rule 3.4 Fairness to Opposing Party and Counsel e&f
Definition

(e) in trial, allude to any matter that the lawyer does not reasonably believe is relevant or true or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or

 

(f) request a person other than a client to refrain from voluntarily giving information to another party unless:

 

(1) the person is a relative or agent of a client; and

 

(2) the lawyer reasonably believes that the person's interests will not be adversely affected by refraining from giving such information.

Term
Rule 3.5: Impartiality & Decorum of the Tribunal
Definition

A lawyer shall not:

(a) seek to influence a judge, juror, prospective juror or other official by means prohibited by law;

(b) communicate ex parte with such a person during the proceeding unless authorized to do so by law or court order;

(c) communicate with a juror or prospective juror after discharge of the jury if:

(1) the communication is prohibited by law or court order;

(2) the juror has made known to the lawyer a desire not to communicate; or

 

(3) the communication involves misrepresentation, coercion, duress or harassment; or

 

(d) engage in conduct intended to disrupt a tribunal.

Term
Rule 3.6: Trial Publicity
Definition

 A lawyer shall not make an extrajudicial statement that the lawyer reasonably should reasonably knows will be disseminated and will materially prejudice proceeding

 

A lawyer may state basic and public information and in a criminal case residence, occupation of accused, evidence of crime and investiging officers

 

 

Term
Rule 3.7 Lawyer as Witness
Definition

a) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness unless:

 

(1) the testimony relates to an uncontested issue or the nature and value of legal services rendered in the case; or when disqualification of the lawyer would work substantial hardship on the client.

 

(b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness unless precluded from doing so by Rule 1.7 or Rule 1.9.

Term
Rule 3.8: Special Responsibilities of a Prosecutor
Definition

 

The prosecutor in a criminal case shall:

(a) refrain from prosecuting a charge known to not be supported by probable cause;

 

 

(d) make timely disclosure to the defense of all evidence 

(e) not subpoena a lawyer for evidence about past client unless there is reasonable belief that the information sought is not privilege and is essential;

 

(f) refrain from making comments that have a substantial likelihood of heightening public condemnation

(g) Give new evidence that reverses the conviction of a criminal defendant

Term
Rule 4.4: Respect for Rights of Third Persons
Definition

a)  In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person.

 

(b)  A lawyer who receives a document or electronically stored information relating to the representation of the lawyer's client and knows or reasonably should know that the document or electronically stored information was inadvertently sent shall promptly notify the sender.

Term
Varcoe vs Lee
Definition

A court will take judicial notice of a fact if the fact is one of common, everyday knowledge in the local jurisdiction, which every one of average intelligence and knowledge can be presumed to know, and is certain and indisputable.

 

Street was known to be in the business district - everyone knew and was OK for juidge to accept this fact without any other supporting evidence.  Limo driver over 35 mph hits kid in business district has 15 mph limit.  

Term
US vs Bello
Definition

RUle 201 - judicial notice Ok for fact that Puerto Rico is a territory of the US and subject to US law.  

 

Adjudicative facts are facts of evidence, vs legislative facts that are associated with legal facts (who owns the land for example or the elements of law, etc. 

 

 

Term
Rule 4.2Communication with Person Represented by Counsel
Definition
In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order.
Term
Rule 4.3: Dealing with Unrepresented Person
Definition

Cannot:

  1. Imply that the lawyer is disinterested (not biased to his client or to his own duties).
  2.  lawyer shall make reasonable efforts to correct the unrepresented person who misunderstands the lawyer’s role in the matter
  3. The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel.
Term
Rule 5.4: Professional Independence of a Lawyer - Law Firms and Associations
Definition

(a)Cannot  share fees with a nonlawyer, except:

after the lawyer's death/estate, or law firm may include nonlawyer employees in a compensation plan, or a lawyer may share fees with a nonprofit organization 

(b) Cannot form a partnership with a nonlawyer if any of the activities consist of the practice of law.

(c) Cannot allow the payer to direct or regulate the lawyer's professional judgment

(d) A lawyer shall not practice with or in the form of a professional corporation if:a nonlawyer has ownership, or is supervised by a non lawyer (except in corps) or controls the lawyer.  

 

Term
Rule 5.5: Unauthorized Practice of Law; Multijurisdictional Practice of Law
Definition

A lawyer who is not admitted to practice in this jurisdiction shall not establish an office or advertise that he is admitted to practice in that jurisdiction

 

A lawyer may provide temporary legal services in another jurisdiction when associated with another lawyer or reasonably related to his ongoing legal matter:

 

A in-house counsel may provide legal services through an office or other systematic and continuous presence where corporation

 

 

Term
Privledge Waiver - key criteria
Definition
waiver of privileged information or disclosure of otherwise confidential information MUST BE INTENTIONAL AND KNOWINGLY - does not apply to erroneous electronic dissemination of information.
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