Professional Responsibility and Ethics (LAW 747)

Syllabus - LAW 747 5 Topics

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Course Introduction

Course Objectives

Examination: Open Book

Contacting the Professor

Accommodation Policy

1. Introduction & Background 10 Topics

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1.01. Introduction

1.02. This course and the Multistate Professional Responsibility Examination (MPRE)

1.03. Professionalism is more than just understanding the rules

1.03.01. Formal assistance resources

1.03.02. Informal well-being resources

1.04. A short history of the regulation of lawyers

1.05. Sources of law for regulating professional conduct

1.06. Readings

1.06.01. Hints on the Professional Deportment of Lawyers, with Some Counsel to Law Students

1.06.02. ABA Model Rules of Professional Conduct

2. Admission to the Practice of Law 8 Topics | 1 Quiz

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2.01. Introduction

2.02. Requirements: Legal Education

2.03. Requirements: Acceptable “Character and Fitness”

2.04. Requirements: Pass State Bar Examination

2.05. Requirements: Other Obligations

2.06. Ethical Obligations in Submitting/Supporting an Application [Rule 8.1]

2.07. Reading: In re Nathan, 26 So. 3d 146 (La. 2010)

2.08. Reading: In re Jarrett, 879 N.W.2d 116 (Wis. 2016)

LAW747 - Topic 2 Quiz

3. Introduction to the Standard and Process of Lawyer Discipline 17 Topics

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3.01. Introduction

3.02. Disciplinary Agency: Structure and Process

3.03. Justification for Attorney Discipline

3.04. Disciplinary Sanctions

3.05. Conduct that Subjects a Lawyer to Discipline [Rule 8.4]

3.05.01. Rule 8.4(a): Violating, attempting to violate Rules of Professional Conduct or violating through another

3.05.02. Rule 8.4(b): Criminal Act that Reflects adversely on honesty, trustworthiness, or fitness as a lawyer

3.05.03. Rule 8.4(c): Conduct involving dishonesty, fraud, deceit, or misrepresentation

3.05.04. Rule 8.4(d): Conduct that is prejudicial to the administration of justice

3.05.05. Rule 8.4(e): Stating/implying the ability to influence governmental agency/official

3.05.06. Rule 8.4(f): Assist a judge or judicial office in conduct that violates CJC or other law

3.05.07. Rule 8.4(g): Engaging in conduct the lawyer knows/reasonably should know is harassment or discrimination

3.06. Maintaining the Integrity of the Profession [Rule 8.2]

3.07. Where a lawyer is subject to discipline; Choice of Law [Rule 8.5]

3.08. Duty to Report Misconduct of another Lawyer [Rule 8.3]

3.09. Reading: Disciplinary Counsel v. Brockler, 48 N.E. 3d 557 (Ohio 2016)

3.10. Reading: In Re Riehlmann, 891 So. 2d 1239 (La. 2005)

4. Malpractice 21 Topics

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4.01. Introduction

4.02. Malpractice

4.02.01. Attorney-client relationship

4.04. Malpractice Standard for Criminal Defendants

4.05. Malpractice Liability to Non-Clients

4.05.01. Prospective Clients

4.05.02. Beneficiary of a Will

4.05.03. Where Lawyer Assumes Duty on Behalf of Non-Client

4.05.04. Lawyer Represents Trustee-Like Fiduciary in Breach of an Obligation to the Intended Beneficiary of Fiduciary

4.06. Prospective Waiver of Malpractice Claim [Rule 1.8(h) (1)]

4.07. Provision for Arbitration of Malpractice Claims

4.08. Settling a Malpractice Claim [Rule 1.8(h)(2)]

4.09. Inherent Power of Court to Sanction

4.09.01. Civil Contempt

4.09.02. Criminal Contempt

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5. Unauthorized Practice of Law 16 Topics

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5.01. Introduction

5.02. History of Unauthorized Practice of Law

5.03. Justification for Unauthorized Practice of Law

5.04. Criminal Restriction on Unauthorized Practice of Law

5.05. Ethical Restriction on Unauthorized Practice of Law [Rule 5.5]

5.05.01. Defining the Practice of Law and Prohibition on Continuous Presence [Rule 5.5(a) & (b)]

5.05.02. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Associating a Local Lawyer [Rule 5.5(c)(1)]

5.05.03. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Related to Pending or Contemplated Proceedings [Rule 5.5(c)(2)]

5.05.04. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Related to Pending or Potential Arbitration/Mediation [Rule 5.5(c)(3)]

5.05.05. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis in a Transactional matter [Rule 5.5(c)(4)]

5.05.06. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Regular Basis: In-house counsel [Rule 5.5(d)(1)]

5.05.07. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Regular Basis: When Authorized by Law [Rule 5.5(d)(2)]

5.06. Judicial Definitions of Unauthorized Practice of Law

5.07. Pro se Representation: Individuals and Corporations

5.08. Reading: Darby v. MS State Bd. of Bar Admissions, 185 So. 2d 684 (Miss. 1966)

5.09. Reading: Fifteenth Judicial District Unified Bar Ass'n v. Glasgow, 1999 WL 1128847 (Tenn. Ct. App. 1999)

6. Duty to Work for No Compensation (Pro Bono) 13 Topics

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6.01. Introduction

6.02. Unmet Legal Needs

6.03. Ethical Obligation to Provide Pro Bono

6.03.01. Mandatory Pro Bono

6.03.02. Voluntary Pro Bono [Rule 6.1]

6.04. The Florida Case Study

6.05. Representation Through Appointments [Rule 6.2]

6.06. Limiting Scope of Representation [Rule 1.2(c)]

6.06.01. Limited Scope Representation and Unbundled Legal Services

6.06.02. Ghostwriting

6.07. Reading: Jonathan R. Macey, "Mandatory Pro Bono: Comfort for the power or welfare for the rich?", 77 Cornell L. Rev. 1115 (1992)

6.08. Reading: Mississippi Ethics Opinion 261

6.09. Reading: In Re Fengling Liu, 664 F.3d 367 (2nd Cir. 2011)

7. Decision to Undertake, Decline, and Withdraw from Representation; The Prospective Client 15 Topics

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7.01. Introduction

7.02. Duties Owed to A Prospective Client: Restatement (Third) of Law Governing Lawyers § 15(1)

7.03. Ethical Obligations to Prospective Client [Rule 1.18]

7.04. Participation in Pro Bono Legal Services [Rule 6.5]

7.05. Accepting Representation

7.06. Formation of an Attorney-Client Relationship

7.06.01. Mutual Assent to Representation [Restatement § 14(1) (a)]

7.06.02. Implied Attorney Client Relationship [Restatement § 14(1) (b)]

7.07. Non-Engagement and Termination of Representation Letters

7.08. Withdrawal From Representation [Rule 1.16]

7.08.01. Mandatory Withdrawal

7.08.02. Permissive Withdrawal

7.09. Duty to Protect Client’s Interests Upon Termination [Rule 1.16(d)]

7.10. Reading: TCV VI, L.P. V. Tradinscreen Inc., 2018 WL 1907212 (2018)

7.11. Reading: Togstad v. Vesley, Otto, Miller & Keefe, 291 N.W.2d 686 (Minn. 1980)

8. Division of Decisional Authority Between Lawyer and Client 7 Topics

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8.01. Introduction

8.02. “Objectives” v. “means” [Rule 1.2(a)]

8.03. Areas of Absolute Client Autonomy

8.04. The Diminished Client [Rule 1.14]

8.05. Reading: Linsk v. Linsk, 70 Cal. Rptr. 544 (Cal. 1969)

8.06. Reading: Borena v. Yellow Cab Metro, Inc., 342 S.W.3d 506 (TN COA, 2010)

8.07. Reading: Ethics Committee Advisory Opinion No. 2014/15/5

9. Competence, Diligence, and Communication 8 Topics

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9.01. Introduction

9.02. Competence [Rule 1.1]

9.02.01. Duty to Maintain Competence in Technology [Rule 1.1, Comment 8]

9.03. Competence in the Criminal Context: Ineffective Assistance of Counsel

9.04. Diligence [Rule 1.3]

9.05. Communication [Rule 1.4]

9.06. Reading: A Lawyer's View of Being a Litigant, Robert S. Caine, Letter, New York Law Journal (May 16, 1994), at 2

9.07. Reading: Strickland v. Washington, 466 U.S. 668 (1980)

10. Duty of Confidentiality: Attorney-Client Privilege and Work Product Doctrine 18 Topics

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10.01. Introduction

10.02. Attorney-Client Privilege

10.02.01. Communication

10.02.02. Made to a Privileged Person [Restatement § 70]

10.02.02.01. Communication in the Organizational Context

10.02.02.02. Communication Between Government Attorney and Public Official

10.02.03. In Confidence [Restatement § 71]

10.02.04. For the Purpose of Obtaining or Receiving Legal Assistance [Restatement § 72]

10.03. Attorney-Client Privilege with Joint Clients [Restatement § 75]

10.04. Attorney-Client Privilege and Common Interest Arrangement [Restatement § 76]

10.05. Invoking the Attorney-Client Privilege

10.06. Termination of the attorney-client privilege [Restatement §§ 78, 79, & 80]

10.07. Exceptions to the Attorney-Client Privilege

10.07.01. Crime-Fraud Exception [Restatement § 82]

10.07.02. Dispute Concerning Deceased Client’s Disposition of Property

10.08. Work Product Doctrine

10.09. Reading: Purcell v. District Attorney for Suffolk District, 676 N.E.2d 436 (Mass. 1997)

10.10. Reading: Upjohn Company v. United States, 449 U.S. 383 (1981)

11. Duty of Confidentiality: Rule 1.6 and its exceptions 22 Topics

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11.01. Introduction

11.02. Defining the ethical obligation of confidentiality [Rule 1.6]

11.03. Confidentiality and Technology

11.03.01. Cybersecurity

11.03.02. Social Media

11.03.03. Metadata

11.03.04. Cloud Computing

11.03.05. Hard Drives/Copiers/Fax Machines

11.04. Inadvertent Disclosure of Confidential Information

11.05. Authorized Disclosures: Client Consent and Impliedly Authorized Disclosure

11.06. Exceptions to the Duty of Confidentiality [Rule 1.6(b)]

11.06.01. Prevent Reasonably Certain Death or Substantial Bodily Harm

11.06.02. Prevent Client from Committing a Crime/Fraud That is Reasonably Certain to Result in Substantial Injury to the Financial Interests or Property of Another

11.06.03. Prevent, Mitigate, or Rectify Substantial 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

11.06.04. To Secure Legal Advice About the Lawyer’s Compliance with Ethical Rules

11.06.05. To Establish a Claim or Defense on Behalf of the Lawyer

11.06.06. To Comply with Other Law or a Court Order

11.06.07. To Detect and Resolve Conflicts of Interest Arising from the Lawyer’s Change of Employment

11.07. Duration of the obligation of confidentiality

11.08. Reading: In Re Skinner, 758 S.E.2d 788 (GA 2014)

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12. Advising Clients – Both Individual and Corporate 12 Topics

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12.01. Introduction

12.02. Prohibition on Advising a Client on How to Engage in Criminal or Fraudulent Conduct [Rule 1.2(d)]

12.03. Lawyer as an Advisor [Rule 2.1]

12.04. Lawyer as an Evaluator [Rule 2.3]

12.05. Limitation on Advice: Obligation to Respect the Rights of Third Persons [Rule 4.4(a)]

12.06. The Client in the Organizational Context [Rule 1.13]

12.07. Misconduct by an Organizational Constituents -- Reporting Up and Out

12.08. Reading: Advising A Civil Litigation Client About Social Media, Opinion 2014-5, July 17, 2015

12.09. Reading: People v. Chappell, 927 P.2d 829 (CO. 1996)

12.10. Reading: State Bar of Arizona Ethics Opinion 11-01, Scope of Representation (February 2011)

12.11. Reading: In Re Neary, 84 N.E.3d 1194 (IN. 2017)

12.12. Reading: Perez v. Kirk & Carrigan, 822 S.W.2d 261 (TX. COA 1991)

13. Conflict of Interest: Concurrent Client Conflict 19 Topics

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13.01. Introduction

13.02. “Directly Adverse” Conflicts [Rule 1.7(a)]

13.03. “Materially Limiting” Conflicts [Rule 1.7(b)]

13.04. When Client Can Consent to Conflict

13.04.01. Client Right to Revoke Consent

13.05. Multiple Client Representation: Criminal Defendants

13.06. Multiple Client Representation: Confidential Information

13.07. Identifying a Current Versus Former Client

13.08. Identifying the Client in the Organizational Context

13.09. Identifying the Client in the Governmental Context

13.10. “Hot Potato” Rule

13.11. Advance Waiver of Future Conflicts

13.12. Positional Conflicts

13.13. Representing economic competitors

13.14. Conflict When Lawyer Serves on Legal Services Organization [Rule 6.3] or as a Member of a Law Reform Organization [Rule 6.4]

13.15. Reading: Grievance Committee of the Bar of Hartford County v. Rottner Supreme Court of Errors of Connecticut, 1964 203 A.2d 821

13.16. Reading: Philadelphia Bar Association Professional Guidance Committee Opinion 2009-7 (July 2009)

13.17. Reading: Florida Ethics Opinion 02-3 (JUNE 21, 2002)

13.18. Reading: Banning Ranch Conservancy v. Superior Court, 193 Cal.App.4th 903 (2011)

14. Conflict of Interest: Conflicts Between A Client and the Lawyer’s Personal Interest 9 Topics

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14.01. Introduction

14.02. Business Transactions With A Client [Rule 1.8(a)]

14.03. Using Client Confidential Information [Rule 1.8(b)]

14.04. Gifts From Clients [Rule 1.8(c)]

14.05. Publication Rights [Rule 1.8(d)]

14.06. Sexual Relations Between Lawyer and Client [Rule 1.8(j)]

14.07. Reading: In Re Fisher, 202 P.3d 1186 (Colo. 2009)

14.08. Reading: Passante v. McWilliams, 62 Cal. Rptr. 2d 298 (4th Cir. 1997)

14.09. Reading: In Re Devaneey, 870 A.2d 53 (D.C. CoA 2005)

15. Conflict of Interest: Former Clients 13 Topics

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15.01. Introduction

15.02. Identifying a Current and Former Client

15.03. Explaining the Difference Between Current and Former Client Conflicts

15.04. “Same” Matters [Rule 1.9(a)]

15.05. “Substantially related” matters [Rule 1.9(a)]

15.06. Issues with lawyers changing firms [Rule 1.9(b); 1.10(a)(2); and 1.10(b)]

15.06.01. Lawyer going adverse to client of former firm [Rule 1.9(b)]

15.06.02. Removing conflict from lawyers changing firms: the screen [Rule 1.10(a)]

15.06.03. When lawyer leaves firm: the conflicts the lawyer leaves behind: 1.10(b)

15.07. Using or Revealing Former Client Confidences [Rule 1.9(c)]

15.08. Non-Lawyers Changing Firms: Secretaries/Paralegals/Law Students

15.09. Reading: Bowers v. The Opthalmology Group, 733 F.3d 647 (6th Cir. 2013)

15.10. Reading: Watkins v. Trans Union, LLC, 869 F.3d 514 (7th Cir. 2017)

16. Communication Between Lawyers and Represented/ Unrepresented Persons 7 Topics

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16.01. Introduction

16.02. Contact with Represented Persons: “No Contact Rule” [Rule 4.2]

16.03.01. Client-to-Client Contact

16.03.02. Identifying who is “Represented” in the Organizational Context

16.04. Contacting Unrepresented Persons [Rule 4.3]

16.05. Reading: In Re Malofiy, 653 Fed. Appx. 148 (3d Cir. 2016)

16.06. Reading: Wisconsin Professional Committee Ethics Opinion E-07-01 (July 1, 2007)

17. Billing for Legal Services: Fees, Handling Client Property (Settlement Proceeds and Physical Evidence) 19 Topics

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17.01. Introduction

17.02. “Reasonableness” Standard [Rule 1.5]

17.03. Prohibition on Sharing Fees with Non-Lawyers [Rule 5.4]

17.04. Billing for Expenses

17.05. Contingency Fee Agreements

17.05.01. General Requirements

17.05.02. Cases in which contingent fee are inappropriate

17.06. Hourly Fee Agreements

17.07. Nonrefundable Fees & Retainers

17.08. Changing a Fee During the Course of Representation

17.09. Safekeeping Client Property [Rule 1.15]

17.10. Collecting a Fee

17.10.01. Retaining Lien

17.10.02. Charging Lien

17.11. Sharing Attorney Fees with a Lawyer Outside the Firm [Rule 1.5(e)]

17.12. Reading: In Re Fordham, 668 N.E.2d 816 (Mass. 1996)

17.13. Reading: Mississippi Bar v. Coleman, 849 So. 2d 867 (Miss. 2002)

17.14. Reading: Brady v. Starke, 2017 WL 487012 (Mo. Ct. App. 2017)

17.15. Reading: Matter of Taylor, 807 S.E.2d 699 (S.C. 2017)

18. The Decision to File/Prosecute a Claim; Litigation & Negotiation Tactics 14 Topics

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18.01. Introduction

18.02. Duty to file Non-Frivolous Claims/Defenses [Rule 3.1]

18.03. Frivolousness in the Criminal Context

18.04. Duty to Expedite Litigation [Rule 3.2]

18.05. ADR—Lawyers as Mediators/Arbitrators [Rule 2.4]

18.06. Lawyer as Third Party Neutral: In Future Litigation [Rule 1.12]

18.07. Lawyer as Witness [Rule 3.7]

18.08. Litigation Tactics [Rule 3.4(e)]

18.09. Actions that Compromise the Impartiality of Tribunal [Rule 3.5]

18.10. Dealing with Inadvertently Disclosed Information [Rule 4.4(b)]

18.11. Dealing with Intentionally Disclosed Information

18.12. Dealing with third-parties; Candor in Negotiations [Rule 4.1]

18.13. Ethics of Settlement Agreements

18.14. Reading: Gilster v. Primebank, 747 F.3d 1007 (8th Cir. CoA 2014)

19. Lawyer’s Duties to the Tribunal 10 Topics

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19.01. Introduction

19.02. Duty to Disclose Adverse Facts [Rule 3.3(a)]

19.03. Duty to Disclose Adverse Law [Rule 3.3(a)]

19.04. Duty When Client or Witness Intends to Commit/has Committed Perjury [Rule 3.3(a) (3) & (c)]

19.05. Duty in Ex Parte Proceedings [Rule 3.3(d)]

19.06. Duty in Discovery [Rule 3.3(d)]

19.07. Duty in Nonadjudicative Proceeding [Rule 3.9]

19.08. False Statements Regarding Judges/Judicial Candidates [Rule 8.2]

19.09. Reading: In The Matter of Filosa, 976 F. Supp. 2d 460 (S.D. NY 2013)

19.10. Reading: State v. McDowell, 669 N.W.2d 204, aff’d 681 N.W.2d 500 (Wis. CoA 2003)

20. Duties of a Prosecutor; Limits on Trial Publicity 12 Topics

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20.01. Introduction

20.02. Limits on charging behavior [Rule 3.8(a)]

20.03. Obligation to Mirandize/give opportunity to procure counsel [Rule 3.8(b)]

20.04. Duty not to seek waiver of important rights from unrepresented accused [Rule 3.8(c)]

20.05. Duty to disclose exculpatory information [Rule 3.8(d)]

20.06. Limitation on subpoenas to defense counsel [Rule 3.8(e)]

20.07. Limitations on extrajudicial statements

20.07.01. Constitutional concerns

20.07.02. Limits on prosecutors [Rule 3.8(f)]

20.07.03. General limitations [Rule 3.6]

20.08. Obligations when prosecutor learns of innocence of convicted defendant [Rule 3.8(g) & (h)]

20.09. Reading: Attorney Grievance Commission of Maryland v. Gansler, 835 A.2d 548 (Md. 2003)

21. Solicitation & Marketing: Constitutional & Ethical Issues 18 Topics

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21.01. Introduction

21.02. Constitutional Aspects of Advertising

21.03. In-Person Solicitation [Rule 7.3]

21.04. Direct Mail Solicitation [Rule 7.3]

21.05. “Forced Speech”: Requiring Disclaimers

21.06. False & Deceptive Prohibition [Rule 7.1]

21.07. Use of Trade Names

21.08. Regulation of Internet Activity

21.09. Testimonials

21.10. Advertisements: General Requirements [Rule 7.2]

21.11. Prohibition on giving anything of value for recommending services [Rule 7.2(b)]

21.12. Reciprocal Referral Agreements [Rule 7.2(b)(4)]

21.12. The Challenge of New forms of Marketing/Advertising

21.13.01. “Deal of the Day” or Groupon

21.13.02. LinkedIn Profiles

21.14. Social Media Issues

21.15. Reading: Bates v. State Bar of Arizona, 433 U.S. 350 (1977)

21.16. Reading: Ohralik v. Ohio State Bar Ass'n, 436 U.S. 447 (1978)

22. Law Firm Administration Issues 8 Topics

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22.01. Introduction

22.02. Supervisory Responsibilities of Partners [Rule 5.1]

22.03. Responsibilities of Subordinate Lawyers [Rule 5.2]

22.04. Responsibilities Regarding Nonlawyer Assistants [Rule 5.3]

22.05. Sale of a Law Practice [Rule 1.17]

22.06. Ensuring Professional Independence of Lawyers [Rule 5.4]

22.07. Responsibilities Regarding Law-Related Services [Rule 5.7]

22.08. Reading: Mississippi Ethics Opinion No. 258 (December 01, 2011)

23. Judicial Ethics 35 Topics

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23.01. Introduction

23.02. Maintain the independence, integrity and impartiality of the judiciary in all situations

23.03. Perform the duties of the judicial office impartially

23.04. Avoid bias, prejudice and harassment in performing judicial duties

23.05. Avoid improper external influences on judicial conduct

23.06. Perform judicial functions competently and diligently

23.07. Ensure that all parties have a right to be heard

23.08. Maintain decorum and proper demeanor; communication with jurors

23.09. Political activities of sitting judges

23.10. Political Activities of Judicial Candidates for Elective Office

23.11. Political Activity of Judges for Appointive Office

23.12. Role of campaign committees in judicial campaign

23.13. Judges who become candidates for non-judicial office

23.14. Ex parte communications

23.15. Disqualification

23.15.01. General standard of disqualification (“impartiality might reasonably be questioned”)

23.15.02. Situations where judge must disqualify

23.16. Remittal of disqualification

23.17. The “rule of necessity”

23.18. Restrictions on “extrajudicial activities”

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What Did We Learn? 1 Quiz

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Donald Campbell

Donald Campbell

Professional Responsibility and Ethics (LAW 747)

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About Instructor

Donald Campbell

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