LEGAL ETHICS 1/12/05 9-24 Each state has its own rules of conduct. The rules are patterned after the model code. Model code is broken up in to Disciplinary rules – mandatory, and Ethical considerations – keep in mind. The MPRE tests off the model rules. We will supplement model rules with the model code and with California rules. 1/14/05 24-30 Midterm: March 11th Preamble – Lawyers can be disciplined for conduct even if it was done outside of the profession. Lawyer gets convicted of drunk driving, can be disciplined. This is because lawyers are responsible for administering justice. Lawyers should engage in pro bono work, not required but should. Rule 8.5 – If you practice in this jurisdiction, you are subject to discipline in this jurisdiction (does not matter if you are a member of the bar there). No double jeopardy (can be disbarred in multiple jurisdictions) The admission to practice is controlled by the California Supreme Court, the SC vests authority in bar association. Rule 8.1 – Must not lie on the bar application California Rule 1-200 – Must not lie on the bar application A number of states have reciprocity provisions (if you are a member of the bar in one state you can just get in to the other state), but California does not. The rules are less stringent once you are admitted into the bar. Rule 8.4 – If you are a racist, or a homophobe and those views are acted out and affect the administration of justice, then you are not fit to practice. 1/19/05 30-43 The question is: Is this person fit to practice law?
Pro hac vice – for this turn only. Required usually to have local counsel and required to be admitted pro hac vice. File a petition with the court asking to practice in the court for this one time. You also have to disclose how many times you have been admitted pro hac vice. Federal court – When you get admitted to the California bar, then you are sworn in. Also sworn in by a Federal Judge so you can practice in California Federal Court. Reciprocity – waive in to another state bar. California doesn’t have it. If you engage in unauthorized practice of law you are subject to discipline in the jurisdiction you are admitted and subject to criminal sanctions in the place where you practiced without authority. HOW THE DISCIPLINARY PROCESS WORKS Someone files a complaint with the state bar. Typically a lawyer will investigate. They essentially play the role of the prosecutor, if they want to take action the state bar will file a complaint. You have a right to counsel, but the rules of evidence do not apply. Generally the judges are lawyers, but some jurisdictions have private citizens on the panel as well. You have a right to confront witnesses against you. The standard of proof is clear and convincing evidence. Does confidentiality with client apply? Look at rule 1.6. Look at comment 10. If found guilty of violating ethical rules, the appeal is usually to the state supreme court. Punishment: 1. Non-pubic reprimand 2. Public reprimand 3. Suspension 4. Disbar Factors to look at: The extent to which the lawyer’s misconduct caused injury to others The blameworthiness of the lawyer General character Disciplinary history Lawyer’s demeanor Likelihood that it will happen in the future What have we done in prior cases Justice If disbarred you can apply for reinstatement after a certain amount of time. Some jurisdictions say the proceedings are all public. But other jurisdictions differ. There are other bodies that can punish a lawyer for misconduct. The standard of review is De Novo. Rule 8.2 – Can not defame a judge or a candidate for judge.
Rule 8.3 – (a)If you as a lawyer are aware of another lawyer’s misconduct, you must report it. (b) – Same if you know something about a judge (c) – If the info that you gained was privileged then you would not be required to disclose You should try and talk your client into getting you to waive that. IN CALIFORNIA YOU DO NOT HAVE THIS OBLIGATION TO TURN IN OTHER LAWYERS 1/21/05 43-60 Malpractice Rule 1.1 – Must provide competent representation Violation of one of these model rules does not create a presumption of breach of duty (malpractice/negligence) to a client. It may be used as evidence of a breach but not itself dispositive. CAN A LAWYER REFUSE TO REPRESENT SOMEONE Rule 6.2 – A lawyer shall not seek to avoid appointment to represent a person except for good cause, such as: a. Representing the client is likely to result in a violation of the Rules of Prof. Conduct b. Representing the client is likely to result in financial burden 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 1.7 – Conflict of Interests (a) if don’t want to represent the client then may be a conflict of interest Rule 1.2 – Lawyer’s representation of a client is not an endorsement of the client’s views or activities 1/26/05 61-72 1.1 – Lawyer must provide competent representation to a client. Who is a client? Woman comes to an attorney and asks if she has a case. She brought a friend so there was no privileged communication, there was no contract, there was no agreement to take the case. He says he doesn’t think she has a case, and he is found to have committed malpractice.
The person can lie and say that you said I don’t have a case period. When is an attny/client contractual relationship created. Put everything in writing. Any phone call that has any potential to be significant at all should be confirmed in writing. Treat all people with the respect you would treat a client. When people ask for advice you can use email to keep a record and keep it less formal. Make sure you tell people you are not completely sure but your thoughts are this, and to check it out with another attny. Rule 5.5 – Practicing in another jurisdiction. Rule 1.18 (Duty to prospective client) – Becomes a prospective client if the client has a reasonable expectation that the lawyer is willing to discuss forming a client-lawyer relationship. If you first gain info from someone, and then the other side (it turns out is a regular client of yours) contacts you to represent them, you can not represent your regular client. Comment 1 and 9. Same duty of competence to a prospective client as to a regular client.
Decision making in the attny/client relationship? What can lawyers do without client approval? If something involves substantial rights then the client needs to approve it. Procedural stuff the lawyer can do on his own. Rule 1.2 – Client makes decision on the objective of the representation, lawyer shall consult with client as to the means. Client decides if he wants to settle, client decides if he wants a jury trial and if he will testify in criminal case. Note 2 – If there is a disagreement that is too great then lawyer may withdraw from case. Rule 1.4 – What to talk to the client about? Reasonably consult with the client about the means of your representation. 1/28/05 72-86 Rule 1.2 – Authority between client and lawyer Rule 1.4 (comment 2) – Rule 4.1 (read comments) –
What about if the client wants to die, so you don’t oppose the death penalty? The rule says that the ultimate decision is made by the client. Split in authority, some courts say that in death cases, there is an overriding factor and you must oppose the death penalty. Possible resolution is that the rules can incorporate death as being a different situation. 2/2/05 72-86 Rule 2.1 – In giving advice a lawyer may refer to moral considerations. The comments encourage you to bring in moral advice. Rule 1.3 – Comment 3 Rule 1.4 – Comment 4 – promptly return to a client’s telephone calls Practical approach: Have one of your staff members develop a relationship with your clients. Have this staff member call and give them the info. Or wait until they get off work, and then leave them a voicemail at work. Rule 1.2 – (d) You can not advise a client to engage in an illegal act. But if they ask what the consequences of doing the illegal act are, you can tell them. ATTY/CLIENT PRIVILEGE The privilege is a matter of the rules of evidence. Confidentiality is not related to evidence, it is a matter of ethics. Rule 1.6 – Don’t reveal info about your client. Do you have an obligation to get the defense medical? Gash leans towards yes. Do you have an obligation to tell about the heart condition? When dealing with a minor and settlements, all parties become officers of the court and act in the best interest of the minor. Rule 1.6 – Client can waive the confidentiality as long as it is an informed waiver. You have implied consent to disclose some info (you can list the name of your client and their injuries on the complaint). Part (b) is where the client may reveal info. To prevent reasonably certain death or serious bodily injury. (In CA, must be to prevent a criminal act that will reasonably certainly result in death or serious bodily injury).
2/9/05 Rule 1.6 – (b)(1) has many different iterations (see CA rules). (b)(3) also has many iterations. For (b)(3) they have to have used the lawyer in the commission of the fraud. Comment 6 discusses imminence. Comment 7 makes clear that it is permissive rather than required. Comment 12 talks about (b)(6). Belge case. Client tells lawyer about other bodies of other murders. The Lawyer finds the other bodies but just leaves them there and does not say anything until the trial (for insanity defense). Public health laws require disclosure. Under rule 1.6 he could tell. But what should he do? The trial court says he should have kept quiet about the bodies. Comment 18 – The duty of confidentiality continues even after the client dies. Rule 1.2(d) – Lawyer can not help client engage in actions that the lawyer knows is criminal or fraudulent. Rule 1.6, Comment 12 – It is not necessary for the other law to supersede in order to reveal. Comment 13 – This relates to the court order aspect. Comment 14 – The model rules says the lawyer should try to dissuade the client, in CA the lawyer shall try to dissuade the client. Comment 15 – you are not violating the rules by not disclosing, it is permissive. Comment 17 – Lawyer must take reasonable steps to keep confidential info secret. Rule 1.16 – Declining or Terminating Representation Comment 2 Comment 7 Outside of (b)(1) you can withdraw even when it would materially effect the interest of your client if you meet the requirements of (b)(2),(3), etc. 2/11/05 97-111 Attorney Client Privilege – Must relate to legal services, must be intended to be kept confidential, the client is the holder of the privilege. If the privilege relates to future crime or fraud then there is no privilege. Upjohn Rule – Control Group Test – Those members of the entity that can exercise control over the subject matter being discussed (can make decisions on behalf of the entity), are in the control group.
Many states go by control group test, others go by Upjohn rule. Upjohn says that people outside the control group may have info that will help in the representation of the entity. Subject matter must be part of the legal representation being sought. 2/16/05 111-19 Divided Loyalty Rule 1.7 – Can not represent a client if that will create a conflict of interest, unless: 1. the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation; and 2. the representation is not prohibited by law (comment 16); and 3. the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and 4. each affected client gives informed consent in writing (see 1.0 (b)&(e)). Comment 3 – You must take reasonable steps to determine if there is a conflict. Comment 4 – If conflict arises after you are already representing a client, then you must withdraw Comment 6 – You don’t have to get the consent to represent a competitor (McDonalds then Burger King) Comment 27 – Best course of action according to Gash is to get informed consent. Comment 31 – Comment 30 – Let them know that the attny/client privilege attaches to these conversations, but as soon as you turn against each other, the privilege does not exist in the suit against eachother. 2/18/05 120-36 Comment 16 Guidelines – If there is a conflict that develops, then you need to disclose that conflict and get informed consent to continue representation. Rule 1.8(f) – Can not accept payment from someone other than the client unless there is informed consent. Comment 11
Page 110, Note 3 – clients have diverging interests regarding settlement. Lawyer gets sued for malpractice, he has insurance. If there is a settlement that the lawyer wants to take, but the insurance company denies the claim, if the trial judgment is greater than the settlement offer, then the insurance company pays the difference. Rule 1.9 You have a duty to protect the confidences of a former client You do not have a duty to protect the reputation of a former client 3/2/05 147-65 Conflicts of interest Literary rights. Rule 1.8(d) – Prior to the conclusion of representation, a lawyer can not make or negotiate an agreement giving the lawyer literary or media rights to a portrayal or account based in substantial part on information relating to the representation. CA does not have this rule. The client has a right to choose his own lawyer, balanced against the right to effective counsel. You can not contract out of the rules of ethics. CA favors the client getting to have the counsel of his choice. But if there a conflict during trial and the lawyer makes moves that are not in the client’s best interest just to make his movie deal more lucrative, then there will be a problem. Comment 9 – You can represent a person in the context of a transaction regarding literary or media rights and get a piece of the pie as compensation. Rule 1.5 – Fee needs to be reasonable Rule 1.8(a) – Entering into business agreement with client Rule 1.8(i) – You can not buy into a case except that you can get a lien, or you can get a contingency fee in civil cases. Note 5 – you can’t sleep with your clients, unless you were before you became her lawyer. Former Clients – Rule 1.9 – 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 consent in writing.
Why do we not want lawyer switching sides in the middle of a matter? 1. Interests of the former client, they don’t want to betrayed 2. Interests of the subsequent clients, they should be able to get the best attorney they want 3. Interests of the lawyer, he wants jobs We draw the line at matters that are substantially related. Test is: 1. Scope of the legal representation 2. What naturally and reasonably would have been disclosed in the first representation? 3. Is that information relevant to the current lawsuit? There is not requirement that the moving party actually disclose the information that is in question. There just needs to be a possibility. Rule 1.9(b) – Lawyer can not knowingly represent a person in a matter in which the lawyer’s former firm previously represented if: 1. Interests are now materially adverse 2. You acquired confidential info, unless the former client gives consent Note 6: Party trying NOT to get disqualified has the burden of proof 1.9(c) – Once your representation is over, your duty of confidentiality lives on. You can’t use that confidential info. Comment 1 – You are representing 3 people trying to get a patent, later on they sue each other, you can not represent one of them against another absent informed consent. Comment 3 – If you know info as a result of prior representation, then that info becomes public, that will not disqualify you Comment 5 – Emphasizing the point that if a lawyer has actual knowledge, only then does he fit under 1.9(b). Imputed conflicts – Rule 1.10 – (a) If a member of a firm is prohibited from representing a client, then the whole firm is prohibited, unless the member is prohibited because of personal interest and other lawyers would not be materially limited in representing the client. Rule 1.10(b) – If a lawyer leaves a firm and takes the client with them, then the firm can represent someone against the old client as long as the matter in question is not the same or substantially related to the old case and none of the lawyers left behind have confidential info that relates to this new case. Rule 1.10(c) – All the conflicts in rule 1.10 can be waived by the client.
Comment 5 – same as 1.10(b) 3/4/05 147-65 Rule 1.10 What about if firm 1 works for client A against firm 2 working for client B. What if a person moves from firm 1 to firm 2? Some jurisdictions say it is ok as long as you screen the lawyer and the fee is not apportioned to that lawyer. The rules do not allow this, it would disqualify firm 2 from working on the case. The rules do allow the screening when dealing with former govt. lawyers. Rule 1.11 – Can not use the info learned as a govt. lawyer when dealing in the private sector (a) Can not represent a client in the same matter on the private side, if he did so on the public side, absent the informed consent of the govt. (b) If a lawyer is disqualified under section (a) then the firm is also disqualified unless: 1. Timely screened from participation and from fee received; and 2. Notice given Timely screening means screened from the day you walk in to the firm, not after there is a motion to disqualify. 3/11/05 165-79 Rule 1.11 Rule 1.12 Former judge or former 3rd party neutral that substantially worked on a matter, can not then be an advocate for either side. The firm of the former judge or 3rd party neutral is also prohibited unless there is timely screening from case and from fee. 1.12(b) – Lawyer, judge, 3rd party neutral can not negotiate for employment from any party in a matter which the lawyer is participating personally. Law clerks can seek employment as long as he asks the judge first. An arbitrator selected by a party is not prohibited from subsequently representing that party. 3/23/05 Rule 1.13 – Your client is the corporation\
Let’s say you are a lawyer for the corporation, your contact is the CFO. You find conduct that is harmful to the corporation being done by the CFO or anybody. You have to act in the best interest of the corporation. You shall report up the food chain. (c) says that after you report it up the chain and they don’t fix it, if you reasonably believe it is necessary to protect the organization you may report this out (to outside authorities), but only to the extent to prevent injuries. (d) says that reporting out does not apply if you are hired for the specific purpose to conduct an internal investigation of if there has been any violation. When you find out there has been violations, you can not report out (e) if you confront your employer about a potential violation and you were fired or decide to withdraw to avoid sanction, you have an obligation to report that info up. (f) Keep employees informed that you do not represent them, you represent the corp. they should get independent counsel (g) You can represent both an employee and the corp if you meet the requirements of rule 1.7. Comment 2 – Comment 4 – Before reporting up, you are encouraged to talk to the employee involved in the wrongful conduct and getting them to reconsider Comment 5 – Comment 6 – Reporting out only relates to the scope of your representation. Comment 7 – If you are there to investigate wrongdoing, then you do not have an obligation to report out. Comment 10 – Rule 3.1 – Frivolous Claims You can’t file frivolous claims or raise frivolous objections. You can make a good faith argument for reversal of law. You can always assert claims and defenses available and make other side prove their case. Comment 3 – Rule 3.2 – Your job as a lawyer is to move the case along. Comment 1 – Reasonable requests to delay proceedings are ok Rule 3.4 – Lawyer shall not destroy evidence (c) If the court says you are to do something, you are to comply, unless you believe in good faith that there is no obligation and you openly appeal the ruling. (d) you can not make frivolous document requests, or you can’t withhold documents and wait for a motion to compel.
(f) you can counsel a client and their agents and relatives to not volunteer info if that will be in their best interest. Comment 2 – Comment 3 – Can not pay a witness other than incidentals for testifying. For expert witness you can pay them a reasonable fee, not a contingency fee. 3/25/05 195-210 Confirm everything in writing Rule 3.3 – Truth to tribunal Duty to not lie to a tribunal, and duty to correct any false statement that you have made. Lawyer shall not offer evidence that he knows to be false. Lawyer may refuse to call witness that he reasonably believes will testify falsely, unless that person is the defendant in a criminal mater. Comment 7 Comment 8 Comment 1 – If this happens at a deposition, then you have to correct the record there. Comment 10 – What remedial measures are to be taken? Talk with client and advise them on the proper action. If that fails, then must attempt to withdraw. If that fails, the L must disclose to the court as reasonably necessary to remedy the situation, even if it violates 1.6. (c) This duty applies until the end of the proceeding. All through appeal, but not after. Continues until final judgment on appeal, or time for appeal has passed. Rule 3.5 Can’t talk to the jurors. Can’t talk to the judge ex parte unless the rules specifically allow it. Can talk to the jury after trial is over unless: Prohibited by law our court order Juror has asked not to be contacted The communication involves bribes or harassment Can’t engage in conduct that disrupts a tribunal. 3/30/05 Publicity Balancing the interest in having an untainted trial versus the right to free speech.
Rule 3.6 – Comment 1 a. Lawyer who is participating or has participated in a trial shall not make a statement that he knows or reasonably should know will be publicly disseminated and will have a substantial likelihood of materially prejudicing the trial. b. These things can be said 1. the claim, offense or defense involved and, except when prohibited by law, the identity of the persons involved 2. info contained in a public record 3. that an investigation of a matter is in progress 4. the scheduling or result of any step in ligitigation 5. etc. 6. etc. 7. In a criminal case you can say these as well: i. etc. ii. etc. iii. etc iv. etc Comment 5 – these are things that you presumptively can not say: 1, 2, 3, 4, 5, 6 c. If a witness holds a press conference saying here are all the things that happened, you are entitled to respond to protect your client from undue prejudicial effect, you can only respond to the extent it is necessary to mitigate the damage that has been done. Rule 3.7 – Lawyer can not be act as an advocate in a matter which it is likely to be a necessary witness, unless 1. Testimony relates to an uncontroverted issue 2. Testimony relates to the nature and value of legal services rendered in the case, 3. Disqualification of the lawyer would work substantial hardship on the client If someone in your firm is going to be a witness, that does not disqualify you. 4/6/05 I did not have my computer in the last class Rule 4.1: con’t If there is an inadvertent error in the writing of a contract that favors your client, you need to disclose this info. It is tantamount to misrepresentation. This is not required by the rules per say, but it is stated in an ABA ruling. 4.2 – Communications with opposing clients.
Lawyer shall not communicate with person that he knows is represented by a lawyer (in this matter), about the matter, unless there is consent from the other’s lawyer. Comment 2 Comment 3 Can clients talk to each other? Comment 4 – they can. Comment 8 – The prohibition on communication only applies when the lawyer actually knows the other party is represented by a lawyer. Rule 4.3 – Dealing with unrepresented person Lawyer may deal with unrepresented person but can not represent that he is disinterested. If the other party misunderstands the lawyer’s role then the lawyer must set him straight. Lawyer may not give legal advice except to advise them to get counsel. Comment 1-2 – You can settle with the unrepresented person as long as the person knows that you are adverse to them. Rule 4.4 – Respect for 3rd party rights (a) Lawyer shall not do things that only embarrass, delay or burden the third party (b) Lawyer who receives a document that was inadvertently sent to them, shall promptly notify the sender Comment 2 4/8/05 Rule 5.1 – (a) Partners and managers must take reasonable efforts to ensure that all members of the firm conform to the Rules of Pro Conduct. What does this mean? No specific rule that there is an electronic database will all clients to avoid conflicts. But there must be some system in place. (b) (c) Partners must mitigate damages created by subordinate violation of rules. If partner orders or ratifies an ethical violation, then they can be disciplined as well. What if subordinate lawyer shreds docs without the partner knowing, and then tells the partner? Comment 5 – Rule 5.2 – (a) Subordinate lawyer is bound by the Rules of Pro Conduct regardless of what anyone tells them.
(b) If there is a questionable call, and you rely on a reasonable decision of a superior, then the lawyer is in the clear. Rule 8.3 – (a) Shall disclose if lawyer knows another lawyer has violated rules and that raises a question as to the lawyer’s honesty. Rule 5.3 – You have to make sure that those working for you are properly supervised and they are acting in compliance with the rules of ethics. 4/13/05 Lawyer is defending a company against sexual harassment, then she stops defending the company and joins the plaintiff in suing the company. The plaintiff’s lawyer gets disqualified because now conflicted out. FEES and BILLING Double billing is not an ethical violation if it is fully disclosed. 4/15/05 Rule 1.5 (a) Can’t charge an unreasonable fee; look at factors: 1. Time and labor required, skill required, and type of work 2. Opportunity cost (doesn’t allow lawyer to work on other cases) 3. Customary fee for similar services 4. The actual fee and the result obtained 5. Time limitations (need to get things done) 6. Nature and length of the professional relationship with the client 7. The experience, reputation, and ability of the lawyer 8. Whether the fee is fixed or contingent (b) The scope of representation and the fee shall be communicated to the client within a reasonable time of starting representation (c) Contingent fee is allowed except as stated in (d), but the arrangement must be clear (who will pay for costs, etc.) (d) no contingency in (1) a divorce case (2) a criminal case (e) fee splitting between lawyers who are not in the same firm is only allowed if: (1) the division is in proportion to the services performed by each, or each lawyer assumes joint responsibility for the representation (2) the client agrees to the arrangement or the representation and this is confirmed in writing (3) the total fee is reasonable. Premium or Value billing – Billing based on the service, not on the hour.
Rule 1.15 – Safekeeping property (a) must keep clients property separate from your own property Funds in a separate account in the same state as the lawyer. (b) (c) (d) (e) Comment 4 4/20/05 www.abanet.org/cpr/mcjc/toc.html Read the preamble and Canons (black letter only) One hour essay, and 2 hours of multiple choice. Maximum of 2 questions on CJC. Rule 6.1 – Pro Bono Comment 4 – If you have a fee paying client and they stiff you, then that does not count as pro bono work. Comment 9 – Comment 10 – Comment 12 – Rule 6.2: Accepting appointments Rules 6.3-6.5 will not be on the exam RESTRICTIONS ON THE PRACTICE OF LAW What does it mean to practice law in CA? The primary inquiry is whether the unlicensed L engaged in sufficient activities in the state, or created a continuing relationship with the CA client that included legal duties and obligations. “The doing and performing services in a court of justice in any matter depending therein throughout its various stages and in conformity with the adopted rules of procedure” 4/22/05 Bottom line is that you need to get local counsel if you are an out of state lawyer. Rule 5.4 (a) Lawyer shall not share legal fees with non-lawyer except (1) (2)
(3) Can have a retirement plan for non-lawyer employees (4) Can share attorneys fees with non-profit organization if . . . (b) Lawyer can not form partnership with non-lawyers in practice of law (in house counsel excepted) (c) Lawyer can not have the person paying the lawyer to regulate what he does (d) Lawyer shall not practice with or in the form a professional corporation or association authorized to practice law for a profit, if: (1) a nonlawyer owns any interest therein (2) a nonlawyer is a corporate director or officer (3) a nonlawyer has the right to direct or control the professional judgment of a lawyer Rule 5.5 (a) Lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction, or assist another in doing so. (b) A lawyer who . . . (c) Can practice law out of jurisdiction on temp basis as long as: (1) team up with lawyer authorized to practice in the jurisdiction (2) if the work is reasonably related (3) if it is an arbitration and the work is reasonably related to stuff that you were working on (4) arise out of work that you were doing in your jurisdiction (d) Lawyer can provide services in another jurisdiction if: (1) the services are provided to lawyer’s employer or affiliates and no pro hac vice admission is allowed (govt. lawyers and in house counsel); or (2) other federal law allows it Comment 16 Rule 5.6 Can’t agree to not engage in a certain type of practice in settlement negotiations Skip 5.7 Rule 7.1 – Lawyer can not make misleading statement about the lawyer’s services. Comment 3 4/27/05 The essay question will be applying the model rules only. Multiple choice will be 50 questions in two hours. Supreme court says you can not flatly prohibit advertising. Rule 7.1 – can not mislead in advertisement Comment 3
Rule 7.2 – (a) L can send out advertising material that is written, recorded or electronic Comment 2 – (b) L can not give anything of value to someone for recommending their services except: (1) pay for advertising (2) pay for legal service plan (3) pay for a law practice (4) refer clients to another lawyer or non-lawyer pursuant to a reciprocal agreement it is: i. Non-exclusive ii. and the client is informed Comment 5 – Comment 6 – Comment 8 – Can not be on indefinite duration What about direct solicitation? Rule 7.3 – Direct solicitation (a) L shall not solicit pecuniary business in person, live telephone, or real-time electronic contact unless the person contacted: (1) is a lawyer (2) has a family, close personal, or prior professional relationship with the lawyer Comment 2 – Comment 4 – (b) L shall not solicit professional employment from a prospective client ever if (1) Comment 5 – (c) Must include the words advertising material (d) Legal service plan can directly contact, but not contact people who need the services 7.4 (a) (b) (c) (d) can say you are certified specialist only if . . . Comment 1 7.5 Firm names and Letterheads (a) Can’t be false and misleading, can not imply connection with govt. Comment 1 (b) (c) (d) CJC – Read the pre-amble
This is not the basis for criminal liability.