Professional Responsibility and Ethics (LAW 747)
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Course Overview & MaterialsSyllabus - LAW 7475 Topics
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Topics1. Introduction & Background10 Topics
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1.01. Introduction
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1.02. This course and the Multistate Professional Responsibility Examination (MPRE)
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1.03. Professionalism is more than just understanding the rules
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1.03.01. Formal assistance resources
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1.03.02. Informal well-being resources
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1.04. A short history of the regulation of lawyers
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1.05. Sources of law for regulating professional conduct
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1.06. Readings
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1.06.01. Hints on the Professional Deportment of Lawyers, with Some Counsel to Law Students
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1.06.02. ABA Model Rules of Professional Conduct
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1.01. Introduction
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2. Admission to the Practice of Law8 Topics
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2.01. Introduction
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2.02. Requirements: Legal Education
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2.03. Requirements: Acceptable “Character and Fitness”
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2.04. Requirements: Pass State Bar Examination
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2.05. Requirements: Other Obligations
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2.06. Ethical Obligations in Submitting/Supporting an Application [Rule 8.1]
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2.07. Reading: In re Nathan, 26 So. 3d 146 (La. 2010)
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2.08. Reading: In re Jarrett, 879 N.W.2d 116 (Wis. 2016)
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2.01. Introduction
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3. Introduction to the Standard and Process of Lawyer Discipline17 Topics
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3.01. Introduction
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3.02. Disciplinary Agency: Structure and Process
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3.03. Justification for Attorney Discipline
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3.04. Disciplinary Sanctions
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3.05. Conduct that Subjects a Lawyer to Discipline [Rule 8.4]
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3.05.01. Rule 8.4(a): Violating, attempting to violate Rules of Professional Conduct or violating through another
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3.05.02. Rule 8.4(b): Criminal Act that Reflects adversely on honesty, trustworthiness, or fitness as a lawyer
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3.05.03. Rule 8.4(c): Conduct involving dishonesty, fraud, deceit, or misrepresentation
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3.05.04. Rule 8.4(d): Conduct that is prejudicial to the administration of justice
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3.05.05. Rule 8.4(e): Stating/implying the ability to influence governmental agency/official
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3.05.06. Rule 8.4(f): Assist a judge or judicial office in conduct that violates CJC or other law
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3.05.07. Rule 8.4(g): Engaging in conduct the lawyer knows/reasonably should know is harassment or discrimination
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3.06. Maintaining the Integrity of the Profession [Rule 8.2]
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3.07. Where a lawyer is subject to discipline; Choice of Law [Rule 8.5]
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3.08. Duty to Report Misconduct of another Lawyer [Rule 8.3]
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3.09. Reading: Disciplinary Counsel v. Brockler, 48 N.E. 3d 557 (Ohio 2016)
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3.10. Reading: In Re Riehlmann, 891 So. 2d 1239 (La. 2005)
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3.01. Introduction
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4. Malpractice21 Topics
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4.01. Introduction
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4.02. Malpractice
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4.02.01. Attorney-client relationship
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4.02.02. Duty
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4.02.03. Breach
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4.02.04. Causation
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4.02.05. Damages
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4.03. Defenses
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4.04. Malpractice Standard for Criminal Defendants
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4.05. Malpractice Liability to Non-Clients
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4.05.01. Prospective Clients
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4.05.02. Beneficiary of a Will
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4.05.03. Where Lawyer Assumes Duty on Behalf of Non-Client
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4.05.04. Lawyer Represents Trustee-Like Fiduciary in Breach of an Obligation to the Intended Beneficiary of Fiduciary
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4.06. Prospective Waiver of Malpractice Claim [Rule 1.8(h) (1)]
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4.07. Provision for Arbitration of Malpractice Claims
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4.08. Settling a Malpractice Claim [Rule 1.8(h)(2)]
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4.09. Inherent Power of Court to Sanction
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4.09.01. Civil Contempt
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4.09.02. Criminal Contempt
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4.10. Reading: Lanham v. Fleenor, 429 P.3d 1231 (Idaho 2018)
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4.01. Introduction
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5. Unauthorized Practice of Law16 Topics
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5.01. Introduction
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5.02. History of Unauthorized Practice of Law
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5.03. Justification for Unauthorized Practice of Law
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5.04. Criminal Restriction on Unauthorized Practice of Law
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5.05. Ethical Restriction on Unauthorized Practice of Law [Rule 5.5]
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5.05.01. Defining the Practice of Law and Prohibition on Continuous Presence [Rule 5.5(a) & (b)]
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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)]
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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)]
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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)]
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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)]
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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)]
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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)]
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5.06. Judicial Definitions of Unauthorized Practice of Law
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5.07. Pro se Representation: Individuals and Corporations
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5.08. Reading: Darby v. MS State Bd. of Bar Admissions, 185 So. 2d 684 (Miss. 1966)
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5.09. Reading: Fifteenth Judicial District Unified Bar Ass'n v. Glasgow, 1999 WL 1128847 (Tenn. Ct. App. 1999)
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5.01. Introduction
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6. Duty to Work for No Compensation (Pro Bono)13 Topics
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6.01. Introduction
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6.02. Unmet Legal Needs
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6.03. Ethical Obligation to Provide Pro Bono
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6.03.01. Mandatory Pro Bono
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6.03.02. Voluntary Pro Bono [Rule 6.1]
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6.04. The Florida Case Study
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6.05. Representation Through Appointments [Rule 6.2]
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6.06. Limiting Scope of Representation [Rule 1.2(c)]
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6.06.01. Limited Scope Representation and Unbundled Legal Services
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6.06.02. Ghostwriting
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6.07. Reading: Jonathan R. Macey, "Mandatory Pro Bono: Comfort for the power or welfare for the rich?", 77 Cornell L. Rev. 1115 (1992)
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6.08. Reading: Mississippi Ethics Opinion 261
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6.09. Reading: In Re Fengling Liu, 664 F.3d 367 (2nd Cir. 2011)
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6.01. Introduction
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7. Decision to Undertake, Decline, and Withdraw from Representation; The Prospective Client15 Topics
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7.01. Introduction
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7.02. Duties Owed to A Prospective Client: Restatement (Third) of Law Governing Lawyers § 15(1)
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7.03. Ethical Obligations to Prospective Client [Rule 1.18]
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7.04. Participation in Pro Bono Legal Services [Rule 6.5]
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7.05. Accepting Representation
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7.06. Formation of an Attorney-Client Relationship
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7.06.01. Mutual Assent to Representation [Restatement § 14(1) (a)]
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7.06.02. Implied Attorney Client Relationship [Restatement § 14(1) (b)]
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7.07. Non-Engagement and Termination of Representation Letters
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7.08. Withdrawal From Representation [Rule 1.16]
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7.08.01. Mandatory Withdrawal
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7.08.02. Permissive Withdrawal
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7.09. Duty to Protect Client’s Interests Upon Termination [Rule 1.16(d)]
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7.10. Reading: TCV VI, L.P. V. Tradinscreen Inc., 2018 WL 1907212 (2018)
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7.11. Reading: Togstad v. Vesley, Otto, Miller & Keefe, 291 N.W.2d 686 (Minn. 1980)
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7.01. Introduction
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8. Division of Decisional Authority Between Lawyer and Client7 Topics
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8.01. Introduction
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8.02. “Objectives” v. “means” [Rule 1.2(a)]
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8.03. Areas of Absolute Client Autonomy
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8.04. The Diminished Client [Rule 1.14]
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8.05. Reading: Linsk v. Linsk, 70 Cal. Rptr. 544 (Cal. 1969)
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8.06. Reading: Borena v. Yellow Cab Metro, Inc., 342 S.W.3d 506 (TN COA, 2010)
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8.07. Reading: Ethics Committee Advisory Opinion No. 2014/15/5
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8.01. Introduction
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9. Competence, Diligence, and Communication8 Topics
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9.01. Introduction
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9.02. Competence [Rule 1.1]
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9.02.01. Duty to Maintain Competence in Technology [Rule 1.1, Comment 8]
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9.03. Competence in the Criminal Context: Ineffective Assistance of Counsel
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9.04. Diligence [Rule 1.3]
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9.05. Communication [Rule 1.4]
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9.06. Reading: A Lawyer's View of Being a Litigant, Robert S. Caine, Letter, New York Law Journal (May 16, 1994), at 2
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9.07. Reading: Strickland v. Washington, 466 U.S. 668 (1980)
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9.01. Introduction
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10. Duty of Confidentiality: Attorney-Client Privilege and Work Product Doctrine18 Topics
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10.01. Introduction
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10.02. Attorney-Client Privilege
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10.02.01. Communication
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10.02.02. Made to a Privileged Person [Restatement § 70]
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10.02.02.01. Communication in the Organizational Context
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10.02.02.02. Communication Between Government Attorney and Public Official
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10.02.03. In Confidence [Restatement § 71]
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10.02.04. For the Purpose of Obtaining or Receiving Legal Assistance [Restatement § 72]
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10.03. Attorney-Client Privilege with Joint Clients [Restatement § 75]
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10.04. Attorney-Client Privilege and Common Interest Arrangement [Restatement § 76]
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10.05. Invoking the Attorney-Client Privilege
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10.06. Termination of the attorney-client privilege [Restatement §§ 78, 79, & 80]
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10.07. Exceptions to the Attorney-Client Privilege
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10.07.01. Crime-Fraud Exception [Restatement § 82]
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10.07.02. Dispute Concerning Deceased Client’s Disposition of Property
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10.08. Work Product Doctrine
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10.09. Reading: Purcell v. District Attorney for Suffolk District, 676 N.E.2d 436 (Mass. 1997)
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10.10. Reading: Upjohn Company v. United States, 449 U.S. 383 (1981)
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10.01. Introduction
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11. Duty of Confidentiality: Rule 1.6 and its exceptions22 Topics
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11.01. Introduction
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11.02. Defining the ethical obligation of confidentiality [Rule 1.6]
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11.03. Confidentiality and Technology
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11.03.01. Cybersecurity
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11.03.02. Social Media
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11.03.03. Metadata
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11.03.04. Cloud Computing
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11.03.05. Hard Drives/Copiers/Fax Machines
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11.04. Inadvertent Disclosure of Confidential Information
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11.05. Authorized Disclosures: Client Consent and Impliedly Authorized Disclosure
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11.06. Exceptions to the Duty of Confidentiality [Rule 1.6(b)]
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11.06.01. Prevent Reasonably Certain Death or Substantial Bodily Harm
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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
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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
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11.06.04. To Secure Legal Advice About the Lawyer’s Compliance with Ethical Rules
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11.06.05. To Establish a Claim or Defense on Behalf of the Lawyer
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11.06.06. To Comply with Other Law or a Court Order
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11.06.07. To Detect and Resolve Conflicts of Interest Arising from the Lawyer’s Change of Employment
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11.07. Duration of the obligation of confidentiality
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11.08. Reading: In Re Skinner, 758 S.E.2d 788 (GA 2014)
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11.09. Reading: North Dakota Ethics Op. No. 95-11 (1995)
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11.10. Reading: McClure v. Thompson, 323 F.3d 1233 (9th Cir. 2003)
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11.01. Introduction
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12. Advising Clients – Both Individual and Corporate12 Topics
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12.01. Introduction
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12.02. Prohibition on Advising a Client on How to Engage in Criminal or Fraudulent Conduct [Rule 1.2(d)]
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12.03. Lawyer as an Advisor [Rule 2.1]
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12.04. Lawyer as an Evaluator [Rule 2.3]
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12.05. Limitation on Advice: Obligation to Respect the Rights of Third Persons [Rule 4.4(a)]
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12.06. The Client in the Organizational Context [Rule 1.13]
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12.07. Misconduct by an Organizational Constituents -- Reporting Up and Out
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12.08. Reading: Advising A Civil Litigation Client About Social Media, Opinion 2014-5, July 17, 2015
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12.09. Reading: People v. Chappell, 927 P.2d 829 (CO. 1996)
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12.10. Reading: State Bar of Arizona Ethics Opinion 11-01, Scope of Representation (February 2011)
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12.11. Reading: In Re Neary, 84 N.E.3d 1194 (IN. 2017)
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12.12. Reading: Perez v. Kirk & Carrigan, 822 S.W.2d 261 (TX. COA 1991)
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12.01. Introduction
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13. Conflict of Interest: Concurrent Client Conflict19 Topics
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13.01. Introduction
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13.02. “Directly Adverse” Conflicts [Rule 1.7(a)]
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13.03. “Materially Limiting” Conflicts [Rule 1.7(b)]
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13.04. When Client Can Consent to Conflict
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13.04.01. Client Right to Revoke Consent
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13.05. Multiple Client Representation: Criminal Defendants
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13.06. Multiple Client Representation: Confidential Information
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13.07. Identifying a Current Versus Former Client
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13.08. Identifying the Client in the Organizational Context
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13.09. Identifying the Client in the Governmental Context
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13.10. “Hot Potato” Rule
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13.11. Advance Waiver of Future Conflicts
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13.12. Positional Conflicts
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13.13. Representing economic competitors
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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]
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13.15. Reading: Grievance Committee of the Bar of Hartford County v. Rottner Supreme Court of Errors of Connecticut, 1964 203 A.2d 821
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13.16. Reading: Philadelphia Bar Association Professional Guidance Committee Opinion 2009-7 (July 2009)
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13.17. Reading: Florida Ethics Opinion 02-3 (JUNE 21, 2002)
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13.18. Reading: Banning Ranch Conservancy v. Superior Court, 193 Cal.App.4th 903 (2011)
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13.01. Introduction
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14. Conflict of Interest: Conflicts Between A Client and the Lawyer’s Personal Interest9 Topics
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14.01. Introduction
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14.02. Business Transactions With A Client [Rule 1.8(a)]
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14.03. Using Client Confidential Information [Rule 1.8(b)]
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14.04. Gifts From Clients [Rule 1.8(c)]
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14.05. Publication Rights [Rule 1.8(d)]
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14.06. Sexual Relations Between Lawyer and Client [Rule 1.8(j)]
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14.07. Reading: In Re Fisher, 202 P.3d 1186 (Colo. 2009)
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14.08. Reading: Passante v. McWilliams, 62 Cal. Rptr. 2d 298 (4th Cir. 1997)
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14.09. Reading: In Re Devaneey, 870 A.2d 53 (D.C. CoA 2005)
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14.01. Introduction
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15. Conflict of Interest: Former Clients13 Topics
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15.01. Introduction
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15.02. Identifying a Current and Former Client
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15.03. Explaining the Difference Between Current and Former Client Conflicts
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15.04. “Same” Matters [Rule 1.9(a)]
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15.05. “Substantially related” matters [Rule 1.9(a)]
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15.06. Issues with lawyers changing firms [Rule 1.9(b); 1.10(a)(2); and 1.10(b)]
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15.06.01. Lawyer going adverse to client of former firm [Rule 1.9(b)]
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15.06.02. Removing conflict from lawyers changing firms: the screen [Rule 1.10(a)]
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15.06.03. When lawyer leaves firm: the conflicts the lawyer leaves behind: 1.10(b)
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15.07. Using or Revealing Former Client Confidences [Rule 1.9(c)]
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15.08. Non-Lawyers Changing Firms: Secretaries/Paralegals/Law Students
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15.09. Reading: Bowers v. The Opthalmology Group, 733 F.3d 647 (6th Cir. 2013)
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15.10. Reading: Watkins v. Trans Union, LLC, 869 F.3d 514 (7th Cir. 2017)
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15.01. Introduction
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16. Communication Between Lawyers and Represented/ Unrepresented Persons7 Topics
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16.01. Introduction
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16.02. Contact with Represented Persons: “No Contact Rule” [Rule 4.2]
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16.03.01. Client-to-Client Contact
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16.03.02. Identifying who is “Represented” in the Organizational Context
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16.04. Contacting Unrepresented Persons [Rule 4.3]
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16.05. Reading: In Re Malofiy, 653 Fed. Appx. 148 (3d Cir. 2016)
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16.06. Reading: Wisconsin Professional Committee Ethics Opinion E-07-01 (July 1, 2007)
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16.01. Introduction
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17. Billing for Legal Services: Fees, Handling Client Property (Settlement Proceeds and Physical Evidence)19 Topics
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17.01. Introduction
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17.02. “Reasonableness” Standard [Rule 1.5]
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17.03. Prohibition on Sharing Fees with Non-Lawyers [Rule 5.4]
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17.04. Billing for Expenses
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17.05. Contingency Fee Agreements
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17.05.01. General Requirements
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17.05.02. Cases in which contingent fee are inappropriate
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17.06. Hourly Fee Agreements
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17.07. Nonrefundable Fees & Retainers
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17.08. Changing a Fee During the Course of Representation
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17.09. Safekeeping Client Property [Rule 1.15]
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17.10. Collecting a Fee
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17.10.01. Retaining Lien
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17.10.02. Charging Lien
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17.11. Sharing Attorney Fees with a Lawyer Outside the Firm [Rule 1.5(e)]
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17.12. Reading: In Re Fordham, 668 N.E.2d 816 (Mass. 1996)
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17.13. Reading: Mississippi Bar v. Coleman, 849 So. 2d 867 (Miss. 2002)
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17.14. Reading: Brady v. Starke, 2017 WL 487012 (Mo. Ct. App. 2017)
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17.15. Reading: Matter of Taylor, 807 S.E.2d 699 (S.C. 2017)
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17.01. Introduction
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18. The Decision to File/Prosecute a Claim; Litigation & Negotiation Tactics14 Topics
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18.01. Introduction
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18.02. Duty to file Non-Frivolous Claims/Defenses [Rule 3.1]
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18.03. Frivolousness in the Criminal Context
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18.04. Duty to Expedite Litigation [Rule 3.2]
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18.05. ADR—Lawyers as Mediators/Arbitrators [Rule 2.4]
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18.06. Lawyer as Third Party Neutral: In Future Litigation [Rule 1.12]
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18.07. Lawyer as Witness [Rule 3.7]
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18.08. Litigation Tactics [Rule 3.4(e)]
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18.09. Actions that Compromise the Impartiality of Tribunal [Rule 3.5]
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18.10. Dealing with Inadvertently Disclosed Information [Rule 4.4(b)]
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18.11. Dealing with Intentionally Disclosed Information
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18.12. Dealing with third-parties; Candor in Negotiations [Rule 4.1]
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18.13. Ethics of Settlement Agreements
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18.14. Reading: Gilster v. Primebank, 747 F.3d 1007 (8th Cir. CoA 2014)
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18.01. Introduction
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19. Lawyer’s Duties to the Tribunal10 Topics
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19.01. Introduction
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19.02. Duty to Disclose Adverse Facts [Rule 3.3(a)]
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19.03. Duty to Disclose Adverse Law [Rule 3.3(a)]
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19.04. Duty When Client or Witness Intends to Commit/has Committed Perjury [Rule 3.3(a) (3) & (c)]
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19.05. Duty in Ex Parte Proceedings [Rule 3.3(d)]
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19.06. Duty in Discovery [Rule 3.3(d)]
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19.07. Duty in Nonadjudicative Proceeding [Rule 3.9]
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19.08. False Statements Regarding Judges/Judicial Candidates [Rule 8.2]
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19.09. Reading: In The Matter of Filosa, 976 F. Supp. 2d 460 (S.D. NY 2013)
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19.10. Reading: State v. McDowell, 669 N.W.2d 204, aff’d 681 N.W.2d 500 (Wis. CoA 2003)
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19.01. Introduction
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20. Duties of a Prosecutor; Limits on Trial Publicity12 Topics
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20.01. Introduction
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20.02. Limits on charging behavior [Rule 3.8(a)]
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20.03. Obligation to Mirandize/give opportunity to procure counsel [Rule 3.8(b)]
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20.04. Duty not to seek waiver of important rights from unrepresented accused [Rule 3.8(c)]
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20.05. Duty to disclose exculpatory information [Rule 3.8(d)]
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20.06. Limitation on subpoenas to defense counsel [Rule 3.8(e)]
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20.07. Limitations on extrajudicial statements
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20.07.01. Constitutional concerns
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20.07.02. Limits on prosecutors [Rule 3.8(f)]
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20.07.03. General limitations [Rule 3.6]
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20.08. Obligations when prosecutor learns of innocence of convicted defendant [Rule 3.8(g) & (h)]
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20.09. Reading: Attorney Grievance Commission of Maryland v. Gansler, 835 A.2d 548 (Md. 2003)
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20.01. Introduction
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21. Solicitation & Marketing: Constitutional & Ethical Issues18 Topics
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21.01. Introduction
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21.02. Constitutional Aspects of Advertising
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21.03. In-Person Solicitation [Rule 7.3]
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21.04. Direct Mail Solicitation [Rule 7.3]
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21.05. “Forced Speech”: Requiring Disclaimers
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21.06. False & Deceptive Prohibition [Rule 7.1]
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21.07. Use of Trade Names
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21.08. Regulation of Internet Activity
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21.09. Testimonials
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21.10. Advertisements: General Requirements [Rule 7.2]
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21.11. Prohibition on giving anything of value for recommending services [Rule 7.2(b)]
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21.12. Reciprocal Referral Agreements [Rule 7.2(b)(4)]
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21.12. The Challenge of New forms of Marketing/Advertising
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21.13.01. “Deal of the Day” or Groupon
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21.13.02. LinkedIn Profiles
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21.14. Social Media Issues
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21.15. Reading: Bates v. State Bar of Arizona, 433 U.S. 350 (1977)
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21.16. Reading: Ohralik v. Ohio State Bar Ass'n, 436 U.S. 447 (1978)
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21.01. Introduction
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22. Law Firm Administration Issues8 Topics
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22.01. Introduction
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22.02. Supervisory Responsibilities of Partners [Rule 5.1]
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22.03. Responsibilities of Subordinate Lawyers [Rule 5.2]
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22.04. Responsibilities Regarding Nonlawyer Assistants [Rule 5.3]
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22.05. Sale of a Law Practice [Rule 1.17]
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22.06. Ensuring Professional Independence of Lawyers [Rule 5.4]
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22.07. Responsibilities Regarding Law-Related Services [Rule 5.7]
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22.08. Reading: Mississippi Ethics Opinion No. 258 (December 01, 2011)
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22.01. Introduction
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23. Judicial Ethics35 Topics
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23.01. Introduction
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23.02. Maintain the independence, integrity and impartiality of the judiciary in all situations
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23.03. Perform the duties of the judicial office impartially
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23.04. Avoid bias, prejudice and harassment in performing judicial duties
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23.05. Avoid improper external influences on judicial conduct
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23.06. Perform judicial functions competently and diligently
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23.07. Ensure that all parties have a right to be heard
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23.08. Maintain decorum and proper demeanor; communication with jurors
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23.09. Political activities of sitting judges
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23.10. Political Activities of Judicial Candidates for Elective Office
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23.11. Political Activity of Judges for Appointive Office
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23.12. Role of campaign committees in judicial campaign
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23.13. Judges who become candidates for non-judicial office
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23.14. Ex parte communications
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23.15. Disqualification
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23.15.01. General standard of disqualification (“impartiality might reasonably be questioned”)
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23.15.02. Situations where judge must disqualify
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23.16. Remittal of disqualification
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23.17. The “rule of necessity”
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23.18. Restrictions on “extrajudicial activities”
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23.18.01. General restrictions on extrajudicial activities
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23.18.02. Appearances before governmental bodies and consultation with government officials
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23.18.03. Testifying as a character witness
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23.18.04. Appointment to a governmental positions
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23.18.05. Use of non-public information
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23.18.06. Involvement with discriminatory organizations
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23.18.07. Participation in educational, religious, charitable, fraternal, or civic organizations and activities
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23.18.08. Appointments to fiduciary positions
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23.18.09. Service as an arbitrator or mediator
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23.18.10. Practice of law
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23.18.11. Financial, business and remunerative activities
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23.18.12. Compensation for extrajudicial activities
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23.18.13. Judge accepting gifts, loans, bequests, benefits, or other things of value
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23.18.14. Reimbursement of expenses and waivers of fee or charges
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23.19. Reading: Republican Party v. White, 122 S.Ct. 32528 (2002)
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23.01. Introduction
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Course Wrap-UpWhat Did We Learn?
11.08. Reading: In Re Skinner, 758 S.E.2d 788 (GA 2014)
Reading Guide
Preparing for the Reading: Notice that this case is a disciplinary action filed by the state bar in Georgia. The procedural posture of these cases is important because it implicates both the standard for determining responsibility as well as the possible sanctions that can be imposed. Another point to make as you read is that ethics issues rarely come in isolation – almost always when one rule is violated others are violated as well. This case is no exception.
Issues:
– What Rules did the bar allege that Skinner violated?
– What is the argument that she violated each of these rules?
– What was the “confidential” information that the lawyer revealed – why was it “confidential”?
– The court agrees that Skinner did not violate Rules 1.3 and 1.16 – although the court does not go into detail as to why these rules were not violated – what is the argument that they were not violated?
– What sanction was imposed? Do you think it was sufficient in this case?
| Reading Guide Preparing for the Reading: Notice that this case is a disciplinary action filed by the state bar in Georgia. The procedural posture of these cases is important because it implicates both the standard for determining responsibility as well as the possible sanctions that can be imposed. Another point to make as you read is that ethics issues rarely come in isolation – almost always when one rule is violated others are violated as well. This case is no exception. Issues: What Rules did the bar allege that Skinner violated?What is the argument that she violated each of these rules?What was the “confidential” information that the lawyer revealed – why was it “confidential”?The court agrees that Skinner did not violate Rules 1.3 and 1.16 – although the court does not go into detail as to why these rules were not violated – what is the argument that they were not violated?What sanction was imposed? Do you think it was sufficient in this case? |
In re Skinner
Supreme Court of Georgia, 2014
758 S.E.2d 788
Opinion
PER CURIAM.
The State Bar of Georgia made a formal complaint against respondent Margrett A. Skinner (State Bar No. 650748), alleging violations of Rules 1.3, 1.4, 1.6, and 1.16 of the Georgia Rules of Professional Conduct. Prior to an evidentiary hearing on the formal complaint, Skinner filed a petition for voluntary discipline, admitting that she violated Rule 1.6 by improperly disclosing confidential information about a former client, and in which she agreed to accept a Review Panel reprimand for the violation. The special master and the State Bar recommended that we accept the petition for voluntary discipline. …
In his report, the special master found that a client retained Skinner in July 2009 to represent her in an uncontested divorce, and she paid Skinner $900, including $150 for the filing fee. For six weeks, the client did not hear anything from Skinner, and after multiple attempts to contact Skinner, the client finally was able to reach Skinner again in October 2009. At that point, Skinner informed the client that Skinner had lost the paperwork that the client had given to Skinner in July. Skinner and the client then met again, and Skinner finally began to draft pleadings for the divorce. The initial drafts of the pleadings had multiple errors, and Skinner and the client exchanged several drafts and communicated by e-mail about the status of the case in October and early November 2009. Those communications concluded by mid-November, and Skinner and the client had no more communications until March 18, 2010, when the client reported to Skinner that her husband would not sign the divorce papers without changes. In April 2010, both the client and her husband signed the papers.
A disagreement developed about the fees and expenses of the divorce. Skinner asked the client for an additional $185 for certain travel expenses and the filing fee. In April and early May 2010, Skinner and the client exchanged several e-mails about the request for additional money. Then, on May 18, the client informed Skinner that she had hired another lawyer to complete her divorce, and she asked Skinner to deliver her file to new counsel and to refund $750. Skinner replied that she would not release the file unless she were paid. Although Skinner eventually refunded $650 to the client, Skinner never delivered the file to new counsel, contending that it only contained her “work product.” New counsel completed the divorce within three months of her engagement.
Around this time, the client posted negative reviews of Skinner on three consumer Internet pages. When Skinner learned of the negative reviews, she posted a response on the Internet, a response that contained personal and confidential information about her former client that Skinner had obtained in the course of her representation of the client. In particular, Skinner identified the client by name, identified the employer of the client, stated how much the client had paid Skinner, identified the county in which the divorce had been filed, and stated that the client had a boyfriend. The client filed a grievance against Skinner, and in response to the grievance, Skinner said in August 2011 that she would remove her posting from the Internet. It was not removed, however, until February 2012.
The special master found that Skinner violated Rule 1.4 when she failed between July and October 2010 to keep her client reasonably informed of the status of the divorce, and the special master found that Skinner violated Rule 1.6 when she disclosed confidential information about her client on the Internet. The special master found no violation of Rules 1.3 and 1.16.[1] Turning to the appropriate discipline for these violations, the special master noted that Skinner had substantial experience as a practicing lawyer—she was admitted to the Bar in 1987—which is an aggravating circumstance. The special master also found, however, a number of mitigating circumstances, including that Skinner had no prior discipline, the absence of a dishonest or selfish motive for her improper conduct, that she refunded a substantial portion of her fee to the client even after doing work for the client, that she accepted responsibility for her misconduct by filing a petition for voluntary discipline, that she otherwise was cooperative in the disciplinary proceedings, and that she had expressed remorse for her misconduct. In addition, the special master found as mitigation that Skinner experienced a number of personal problems during her representation of the client and the subsequent time that she posted the confidential information about her client on the Internet, including colon surgery in April 2010, the diagnosis of both her mother and father with cancer (she was their primary caregiver), and the death of her father. For both violations, the special master recommended a public reprimand, with the additional condition that Skinner “be instructed to take advantage of the State Bar’s Law Practice Management services and recommendations with respect to internal office procedures, client files, and case tracking procedures.”
We have reviewed carefully the record and the very detailed report of the special master, and we agree with his recommendation of a public reprimand, as well as the additional condition that Skinner be instructed to take advantage of the State Bar’s Law Practice Management services and recommendations with respect to internal office procedures, client files and case tracking procedures. … Although other jurisdictions occasionally have disciplined lawyers more severely for improper disclosures of client confidences, we note that those cases involved numerous clients and violations of other rules, see Office of Lawyer Regulation v. Peshek, 798 N.W.2d 879 (Wis. 2011)(60–day suspension), or the disclosure of especially sensitive information that posed serious harm or potential harm to the client, see In re Quillinan, 20 DB Rptr. 288 (Ore.Disp.Bd.2006)(90–day suspension), available at www.osbar.org/docs/dbreport/dbr20.pdf. In this case, the improper disclosure of confidential information was isolated and limited to a single client, it does not appear that the information worked or threatened substantial harm to the interests of the client, and there are significant mitigating circumstances. Accordingly, we hereby order that Skinner receive a public reprimand …, and we order that she consult with the Law Practice Management Program of the State Bar as set forth above and implement its suggestions in her law practice.
Public reprimand.
[1] [note 2 in the original] About Rule 1.16, the special master reported his belief that Skinner technically violated the rule by failing to deliver the file of her client to successor counsel based on a mistaken belief that signed pleadings in the file belonged to her as “work product.” See Formal Advisory Opinion 87-5; Swift, Currie, McGhee & Heirs v. Henry, 581 S.E. 2d 37 (2003). But the special master did not actually find a violation nor recommend any discipline under Rule 1.16. The special master reported he made no such finding or recommendation because there was no clear and convincing evidence of prejudice, insofar as the client already had the documents contained in the file. As to the retention of the unearned fees, the special master found the issue moot in light of the refund of $650 to the client.