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?
14.06. Sexual Relations Between Lawyer and Client [Rule 1.8(j)]
It is unethical for a lawyer to commence a sexual relationship with a client after the attorney-client relationship is formed. There are two main reasons this is unethical. First, the client may be in a vunerable position and reliant on the lawyer – and the lawyer could use the position of trust to induce a sexual relationship. Second, after the relationship is formed, the lawyer’s independent judgment may be compromised by the sexual relationship (the lawyer may do what it takes to maintain the relationship even if it is not in the client’s best interests). The concern of overreaching is so great, a client cannot consent to the lawyer continuing to represent her: “Because of the significant danger of harm to client interests and because the client’s own emotional involvement renders it unlikely that the client could give adequate informed consent….”[1]
If the client is an organization the lawyer represents the organization and not the employees of the organization. Since a lawyer cannot have a sexual relationship with an organization, does this rule apply at all when a lawyer represents an organization? Yes. The lawyer is prohibited from commencing “a sexual relationship with a constituent of the organization who supervises, directs or regularly consults with that lawyer concerning the organization’s legal matters.”[2]
You may notice that the rule only prohibits a lawyer from continuing representation when the sexual relationship begins after representation is commenced. In the situation where a sexual relationship began before the representation, a lawyer should look to Rule 1.7(a)(2) to determine whether the lawyer should represent the person. Recall that Rule 1.7(a)(2) provides that a lawyer has a conflict of interest if the lawyer’s representation would be “materially limited” by the lawyer’s personal interests. Here, a lawyer would have to determine whether the lawyer could truly provide independent representation or whether decisions would be influenced by the lawyer’s relationship with the sexual partner.[3]
Lowell Lawyer works at a small firm that specializes in family law issues. One day Christine Client comes in seeking a divorce. Client is a stay at home mom and is completely dependent upon her husband. A month after Client retained Lawyer they begin a consensual sexual affair. After the divorce proceedings became extremely contentious, Lawyer told Client that he had a conflict of interest and that she would have to choose between him as a lover and him as a lawyer. Because Client could not afford to hire a new lawyer, she agreed to cut off the sexual relationship – but they remained close. As the divorce proceedings continued, Client became financially destitute and Lawyer loaned Client $60,000 – to be paid back out of the proceeds from selling the marital home. There was no documentation about the loans. After Client received the money from the sale of the marital home, she refused to give any money to Lawyer. Lawyer became so upset that he sent a text message threatening to reveal confidential information about her to her husband. Client told the managing partner of Lawyer’s firm everything. Has Lawyer acted unethically? [Law Society of Upper Canada v. Macri, 2017 ONLSTH 19 (Oct. 21, 2016)]
Yes. First, once the sexual relationship commenced, Lawyer should have withdrawn from representing Client. Note, however, that Lawyer could have turned the file over to another lawyer in his firm. The conflict of interest because of a sexual relationship is not imputed to all other lawyers in the firm – it is considered personal to the lawyer.[4] Here, however, Lawyer continued to represent Client which is an ethical violation. Notice also that Lawyer entered into a business transaction with Client (the loan) and did not follow the requirements set out in Rule 1.8(a). Finally, Lawyer also violated Rule 1.8(b) – by threatening to use harmful confidential information of the client in an attempt to force Client to pay her bill. In this case the lawyer was suspended for 2 ½ months.
It is important to note that even if a jurisdiction has not adopted the Rule 1.8(j) prohibition, the conduct could still be unethical. In those jurisdictions the situation is analyzed under Rule 1.7(a)(2). That rule prohibits a lawyer from representing someone where the lawyer would be materially limited in representing a client because of (among other things) “a personal interest of the lawyer.” A sexual relationship could compromise the lawyer’s representation of the client – causing the lawyer to make decisions to maintain the relationship even if not in the best interest of the client.
Joshua Reeves received a telephone from a potential client – C.S. C.S. wanted a divorce from her husband. A meeting was set up and C.S. revealed that she did not have the money to pay a fee. She left the meeting saying that she would try to find money for the fee. C.S. called back and said that she was ready to file for divorce, and when Reeves asked about payment she said that her financial condition had deteriorated. In response, Reeves sent a Snapchat message which stated: “I think I have a solution…”; “A free one…”; “And we can start the proceedings asap.” Subsequently in Snapchap messages, Reeves proposed that C.S. have sex with Reeves and send nude pics: “once or twice a week you just… take care of me I suppose while trying to get the divorce done. Maybe some snaps. That’s about it.” C.S. reported Reeves to the disciplinary authority. Illinois has not adopted Rule 1.8(j) prohibiting sex with clients. Has Reeves acted unethically? [In re Reeves, 2018 WL 6132442 (Nov. 8, 2018)]
Yes. Even though Illinois has not adopted Rule 1.8(j), a lawyer still cannot continue representation when the representation would be limited by the lawyer’s own interest. Here, the lawyer’s interest in obtaining sexual favors would limit the lawyer’s ability to represent the client. How? The relationship could cause the attorney to lose objectivity in representing the client – and recommend actions not in the best interest of the client to maintain the relationship. The attorney also risks becoming a witness in the underlying divorce action on issues of adultery.[5] In addition, it is a crime in Illinois to offer anything of value to perform a sexual act. Therefore, the lawyer also violated Rule 8.4(b) which provides that it is misconduct for lawyer to “commit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects.” Note that this was misconduct even though the lawyer was not prosecuted for the crime.
[1] ABA Rule 1.8, Comment [17].
[2] ABA Rule 1.8, Comment [19].
[3] ABA Rule 1.8, Comment [18].
[4] ABA Rule 1.8(k).
[5] See Va. State Bar Standing Committee on Legal Ethics, Op. 1853 (Dec. 29, 2009).