Back to Course
Professional Responsibility and Ethics (LAW 747)
0% Complete
0/361 Steps
-
Course Overview & MaterialsSyllabus - LAW 7475 Topics
-
Topics1. Introduction & Background10 Topics
-
1.01. Introduction
-
1.02. This course and the Multistate Professional Responsibility Examination (MPRE)
-
1.03. Professionalism is more than just understanding the rules
-
1.03.01. Formal assistance resources
-
1.03.02. Informal well-being resources
-
1.04. A short history of the regulation of lawyers
-
1.05. Sources of law for regulating professional conduct
-
1.06. Readings
-
1.06.01. Hints on the Professional Deportment of Lawyers, with Some Counsel to Law Students
-
1.06.02. ABA Model Rules of Professional Conduct
-
1.01. Introduction
-
2. Admission to the Practice of Law8 Topics
-
2.01. Introduction
-
2.02. Requirements: Legal Education
-
2.03. Requirements: Acceptable “Character and Fitness”
-
2.04. Requirements: Pass State Bar Examination
-
2.05. Requirements: Other Obligations
-
2.06. Ethical Obligations in Submitting/Supporting an Application [Rule 8.1]
-
2.07. Reading: In re Nathan, 26 So. 3d 146 (La. 2010)
-
2.08. Reading: In re Jarrett, 879 N.W.2d 116 (Wis. 2016)
-
2.01. Introduction
-
3. Introduction to the Standard and Process of Lawyer Discipline17 Topics
-
3.01. Introduction
-
3.02. Disciplinary Agency: Structure and Process
-
3.03. Justification for Attorney Discipline
-
3.04. Disciplinary Sanctions
-
3.05. Conduct that Subjects a Lawyer to Discipline [Rule 8.4]
-
3.05.01. Rule 8.4(a): Violating, attempting to violate Rules of Professional Conduct or violating through another
-
3.05.02. Rule 8.4(b): Criminal Act that Reflects adversely on honesty, trustworthiness, or fitness as a lawyer
-
3.05.03. Rule 8.4(c): Conduct involving dishonesty, fraud, deceit, or misrepresentation
-
3.05.04. Rule 8.4(d): Conduct that is prejudicial to the administration of justice
-
3.05.05. Rule 8.4(e): Stating/implying the ability to influence governmental agency/official
-
3.05.06. Rule 8.4(f): Assist a judge or judicial office in conduct that violates CJC or other law
-
3.05.07. Rule 8.4(g): Engaging in conduct the lawyer knows/reasonably should know is harassment or discrimination
-
3.06. Maintaining the Integrity of the Profession [Rule 8.2]
-
3.07. Where a lawyer is subject to discipline; Choice of Law [Rule 8.5]
-
3.08. Duty to Report Misconduct of another Lawyer [Rule 8.3]
-
3.09. Reading: Disciplinary Counsel v. Brockler, 48 N.E. 3d 557 (Ohio 2016)
-
3.10. Reading: In Re Riehlmann, 891 So. 2d 1239 (La. 2005)
-
3.01. Introduction
-
4. Malpractice21 Topics
-
4.01. Introduction
-
4.02. Malpractice
-
4.02.01. Attorney-client relationship
-
4.02.02. Duty
-
4.02.03. Breach
-
4.02.04. Causation
-
4.02.05. Damages
-
4.03. Defenses
-
4.04. Malpractice Standard for Criminal Defendants
-
4.05. Malpractice Liability to Non-Clients
-
4.05.01. Prospective Clients
-
4.05.02. Beneficiary of a Will
-
4.05.03. Where Lawyer Assumes Duty on Behalf of Non-Client
-
4.05.04. Lawyer Represents Trustee-Like Fiduciary in Breach of an Obligation to the Intended Beneficiary of Fiduciary
-
4.06. Prospective Waiver of Malpractice Claim [Rule 1.8(h) (1)]
-
4.07. Provision for Arbitration of Malpractice Claims
-
4.08. Settling a Malpractice Claim [Rule 1.8(h)(2)]
-
4.09. Inherent Power of Court to Sanction
-
4.09.01. Civil Contempt
-
4.09.02. Criminal Contempt
-
4.10. Reading: Lanham v. Fleenor, 429 P.3d 1231 (Idaho 2018)
-
4.01. Introduction
-
5. Unauthorized Practice of Law16 Topics
-
5.01. Introduction
-
5.02. History of Unauthorized Practice of Law
-
5.03. Justification for Unauthorized Practice of Law
-
5.04. Criminal Restriction on Unauthorized Practice of Law
-
5.05. Ethical Restriction on Unauthorized Practice of Law [Rule 5.5]
-
5.05.01. Defining the Practice of Law and Prohibition on Continuous Presence [Rule 5.5(a) & (b)]
-
5.05.02. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Associating a Local Lawyer [Rule 5.5(c)(1)]
-
5.05.03. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Related to Pending or Contemplated Proceedings [Rule 5.5(c)(2)]
-
5.05.04. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Related to Pending or Potential Arbitration/Mediation [Rule 5.5(c)(3)]
-
5.05.05. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis in a Transactional matter [Rule 5.5(c)(4)]
-
5.05.06. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Regular Basis: In-house counsel [Rule 5.5(d)(1)]
-
5.05.07. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Regular Basis: When Authorized by Law [Rule 5.5(d)(2)]
-
5.06. Judicial Definitions of Unauthorized Practice of Law
-
5.07. Pro se Representation: Individuals and Corporations
-
5.08. Reading: Darby v. MS State Bd. of Bar Admissions, 185 So. 2d 684 (Miss. 1966)
-
5.09. Reading: Fifteenth Judicial District Unified Bar Ass'n v. Glasgow, 1999 WL 1128847 (Tenn. Ct. App. 1999)
-
5.01. Introduction
-
6. Duty to Work for No Compensation (Pro Bono)13 Topics
-
6.01. Introduction
-
6.02. Unmet Legal Needs
-
6.03. Ethical Obligation to Provide Pro Bono
-
6.03.01. Mandatory Pro Bono
-
6.03.02. Voluntary Pro Bono [Rule 6.1]
-
6.04. The Florida Case Study
-
6.05. Representation Through Appointments [Rule 6.2]
-
6.06. Limiting Scope of Representation [Rule 1.2(c)]
-
6.06.01. Limited Scope Representation and Unbundled Legal Services
-
6.06.02. Ghostwriting
-
6.07. Reading: Jonathan R. Macey, "Mandatory Pro Bono: Comfort for the power or welfare for the rich?", 77 Cornell L. Rev. 1115 (1992)
-
6.08. Reading: Mississippi Ethics Opinion 261
-
6.09. Reading: In Re Fengling Liu, 664 F.3d 367 (2nd Cir. 2011)
-
6.01. Introduction
-
7. Decision to Undertake, Decline, and Withdraw from Representation; The Prospective Client15 Topics
-
7.01. Introduction
-
7.02. Duties Owed to A Prospective Client: Restatement (Third) of Law Governing Lawyers § 15(1)
-
7.03. Ethical Obligations to Prospective Client [Rule 1.18]
-
7.04. Participation in Pro Bono Legal Services [Rule 6.5]
-
7.05. Accepting Representation
-
7.06. Formation of an Attorney-Client Relationship
-
7.06.01. Mutual Assent to Representation [Restatement § 14(1) (a)]
-
7.06.02. Implied Attorney Client Relationship [Restatement § 14(1) (b)]
-
7.07. Non-Engagement and Termination of Representation Letters
-
7.08. Withdrawal From Representation [Rule 1.16]
-
7.08.01. Mandatory Withdrawal
-
7.08.02. Permissive Withdrawal
-
7.09. Duty to Protect Client’s Interests Upon Termination [Rule 1.16(d)]
-
7.10. Reading: TCV VI, L.P. V. Tradinscreen Inc., 2018 WL 1907212 (2018)
-
7.11. Reading: Togstad v. Vesley, Otto, Miller & Keefe, 291 N.W.2d 686 (Minn. 1980)
-
7.01. Introduction
-
8. Division of Decisional Authority Between Lawyer and Client7 Topics
-
8.01. Introduction
-
8.02. “Objectives” v. “means” [Rule 1.2(a)]
-
8.03. Areas of Absolute Client Autonomy
-
8.04. The Diminished Client [Rule 1.14]
-
8.05. Reading: Linsk v. Linsk, 70 Cal. Rptr. 544 (Cal. 1969)
-
8.06. Reading: Borena v. Yellow Cab Metro, Inc., 342 S.W.3d 506 (TN COA, 2010)
-
8.07. Reading: Ethics Committee Advisory Opinion No. 2014/15/5
-
8.01. Introduction
-
9. Competence, Diligence, and Communication8 Topics
-
9.01. Introduction
-
9.02. Competence [Rule 1.1]
-
9.02.01. Duty to Maintain Competence in Technology [Rule 1.1, Comment 8]
-
9.03. Competence in the Criminal Context: Ineffective Assistance of Counsel
-
9.04. Diligence [Rule 1.3]
-
9.05. Communication [Rule 1.4]
-
9.06. Reading: A Lawyer's View of Being a Litigant, Robert S. Caine, Letter, New York Law Journal (May 16, 1994), at 2
-
9.07. Reading: Strickland v. Washington, 466 U.S. 668 (1980)
-
9.01. Introduction
-
10. Duty of Confidentiality: Attorney-Client Privilege and Work Product Doctrine18 Topics
-
10.01. Introduction
-
10.02. Attorney-Client Privilege
-
10.02.01. Communication
-
10.02.02. Made to a Privileged Person [Restatement § 70]
-
10.02.02.01. Communication in the Organizational Context
-
10.02.02.02. Communication Between Government Attorney and Public Official
-
10.02.03. In Confidence [Restatement § 71]
-
10.02.04. For the Purpose of Obtaining or Receiving Legal Assistance [Restatement § 72]
-
10.03. Attorney-Client Privilege with Joint Clients [Restatement § 75]
-
10.04. Attorney-Client Privilege and Common Interest Arrangement [Restatement § 76]
-
10.05. Invoking the Attorney-Client Privilege
-
10.06. Termination of the attorney-client privilege [Restatement §§ 78, 79, & 80]
-
10.07. Exceptions to the Attorney-Client Privilege
-
10.07.01. Crime-Fraud Exception [Restatement § 82]
-
10.07.02. Dispute Concerning Deceased Client’s Disposition of Property
-
10.08. Work Product Doctrine
-
10.09. Reading: Purcell v. District Attorney for Suffolk District, 676 N.E.2d 436 (Mass. 1997)
-
10.10. Reading: Upjohn Company v. United States, 449 U.S. 383 (1981)
-
10.01. Introduction
-
11. Duty of Confidentiality: Rule 1.6 and its exceptions22 Topics
-
11.01. Introduction
-
11.02. Defining the ethical obligation of confidentiality [Rule 1.6]
-
11.03. Confidentiality and Technology
-
11.03.01. Cybersecurity
-
11.03.02. Social Media
-
11.03.03. Metadata
-
11.03.04. Cloud Computing
-
11.03.05. Hard Drives/Copiers/Fax Machines
-
11.04. Inadvertent Disclosure of Confidential Information
-
11.05. Authorized Disclosures: Client Consent and Impliedly Authorized Disclosure
-
11.06. Exceptions to the Duty of Confidentiality [Rule 1.6(b)]
-
11.06.01. Prevent Reasonably Certain Death or Substantial Bodily Harm
-
11.06.02. Prevent Client from Committing a Crime/Fraud That is Reasonably Certain to Result in Substantial Injury to the Financial Interests or Property of Another
-
11.06.03. Prevent, Mitigate, or Rectify Substantial Injury to the Financial Interests or Property of Another that is Reasonably Certain to Result or has Resulted from the Client’s Commission of a Crime or Fraud
-
11.06.04. To Secure Legal Advice About the Lawyer’s Compliance with Ethical Rules
-
11.06.05. To Establish a Claim or Defense on Behalf of the Lawyer
-
11.06.06. To Comply with Other Law or a Court Order
-
11.06.07. To Detect and Resolve Conflicts of Interest Arising from the Lawyer’s Change of Employment
-
11.07. Duration of the obligation of confidentiality
-
11.08. Reading: In Re Skinner, 758 S.E.2d 788 (GA 2014)
-
11.09. Reading: North Dakota Ethics Op. No. 95-11 (1995)
-
11.10. Reading: McClure v. Thompson, 323 F.3d 1233 (9th Cir. 2003)
-
11.01. Introduction
-
12. Advising Clients – Both Individual and Corporate12 Topics
-
12.01. Introduction
-
12.02. Prohibition on Advising a Client on How to Engage in Criminal or Fraudulent Conduct [Rule 1.2(d)]
-
12.03. Lawyer as an Advisor [Rule 2.1]
-
12.04. Lawyer as an Evaluator [Rule 2.3]
-
12.05. Limitation on Advice: Obligation to Respect the Rights of Third Persons [Rule 4.4(a)]
-
12.06. The Client in the Organizational Context [Rule 1.13]
-
12.07. Misconduct by an Organizational Constituents -- Reporting Up and Out
-
12.08. Reading: Advising A Civil Litigation Client About Social Media, Opinion 2014-5, July 17, 2015
-
12.09. Reading: People v. Chappell, 927 P.2d 829 (CO. 1996)
-
12.10. Reading: State Bar of Arizona Ethics Opinion 11-01, Scope of Representation (February 2011)
-
12.11. Reading: In Re Neary, 84 N.E.3d 1194 (IN. 2017)
-
12.12. Reading: Perez v. Kirk & Carrigan, 822 S.W.2d 261 (TX. COA 1991)
-
12.01. Introduction
-
13. Conflict of Interest: Concurrent Client Conflict19 Topics
-
13.01. Introduction
-
13.02. “Directly Adverse” Conflicts [Rule 1.7(a)]
-
13.03. “Materially Limiting” Conflicts [Rule 1.7(b)]
-
13.04. When Client Can Consent to Conflict
-
13.04.01. Client Right to Revoke Consent
-
13.05. Multiple Client Representation: Criminal Defendants
-
13.06. Multiple Client Representation: Confidential Information
-
13.07. Identifying a Current Versus Former Client
-
13.08. Identifying the Client in the Organizational Context
-
13.09. Identifying the Client in the Governmental Context
-
13.10. “Hot Potato” Rule
-
13.11. Advance Waiver of Future Conflicts
-
13.12. Positional Conflicts
-
13.13. Representing economic competitors
-
13.14. Conflict When Lawyer Serves on Legal Services Organization [Rule 6.3] or as a Member of a Law Reform Organization [Rule 6.4]
-
13.15. Reading: Grievance Committee of the Bar of Hartford County v. Rottner Supreme Court of Errors of Connecticut, 1964 203 A.2d 821
-
13.16. Reading: Philadelphia Bar Association Professional Guidance Committee Opinion 2009-7 (July 2009)
-
13.17. Reading: Florida Ethics Opinion 02-3 (JUNE 21, 2002)
-
13.18. Reading: Banning Ranch Conservancy v. Superior Court, 193 Cal.App.4th 903 (2011)
-
13.01. Introduction
-
14. Conflict of Interest: Conflicts Between A Client and the Lawyer’s Personal Interest9 Topics
-
14.01. Introduction
-
14.02. Business Transactions With A Client [Rule 1.8(a)]
-
14.03. Using Client Confidential Information [Rule 1.8(b)]
-
14.04. Gifts From Clients [Rule 1.8(c)]
-
14.05. Publication Rights [Rule 1.8(d)]
-
14.06. Sexual Relations Between Lawyer and Client [Rule 1.8(j)]
-
14.07. Reading: In Re Fisher, 202 P.3d 1186 (Colo. 2009)
-
14.08. Reading: Passante v. McWilliams, 62 Cal. Rptr. 2d 298 (4th Cir. 1997)
-
14.09. Reading: In Re Devaneey, 870 A.2d 53 (D.C. CoA 2005)
-
14.01. Introduction
-
15. Conflict of Interest: Former Clients13 Topics
-
15.01. Introduction
-
15.02. Identifying a Current and Former Client
-
15.03. Explaining the Difference Between Current and Former Client Conflicts
-
15.04. “Same” Matters [Rule 1.9(a)]
-
15.05. “Substantially related” matters [Rule 1.9(a)]
-
15.06. Issues with lawyers changing firms [Rule 1.9(b); 1.10(a)(2); and 1.10(b)]
-
15.06.01. Lawyer going adverse to client of former firm [Rule 1.9(b)]
-
15.06.02. Removing conflict from lawyers changing firms: the screen [Rule 1.10(a)]
-
15.06.03. When lawyer leaves firm: the conflicts the lawyer leaves behind: 1.10(b)
-
15.07. Using or Revealing Former Client Confidences [Rule 1.9(c)]
-
15.08. Non-Lawyers Changing Firms: Secretaries/Paralegals/Law Students
-
15.09. Reading: Bowers v. The Opthalmology Group, 733 F.3d 647 (6th Cir. 2013)
-
15.10. Reading: Watkins v. Trans Union, LLC, 869 F.3d 514 (7th Cir. 2017)
-
15.01. Introduction
-
16. Communication Between Lawyers and Represented/ Unrepresented Persons7 Topics
-
16.01. Introduction
-
16.02. Contact with Represented Persons: “No Contact Rule” [Rule 4.2]
-
16.03.01. Client-to-Client Contact
-
16.03.02. Identifying who is “Represented” in the Organizational Context
-
16.04. Contacting Unrepresented Persons [Rule 4.3]
-
16.05. Reading: In Re Malofiy, 653 Fed. Appx. 148 (3d Cir. 2016)
-
16.06. Reading: Wisconsin Professional Committee Ethics Opinion E-07-01 (July 1, 2007)
-
16.01. Introduction
-
17. Billing for Legal Services: Fees, Handling Client Property (Settlement Proceeds and Physical Evidence)19 Topics
-
17.01. Introduction
-
17.02. “Reasonableness” Standard [Rule 1.5]
-
17.03. Prohibition on Sharing Fees with Non-Lawyers [Rule 5.4]
-
17.04. Billing for Expenses
-
17.05. Contingency Fee Agreements
-
17.05.01. General Requirements
-
17.05.02. Cases in which contingent fee are inappropriate
-
17.06. Hourly Fee Agreements
-
17.07. Nonrefundable Fees & Retainers
-
17.08. Changing a Fee During the Course of Representation
-
17.09. Safekeeping Client Property [Rule 1.15]
-
17.10. Collecting a Fee
-
17.10.01. Retaining Lien
-
17.10.02. Charging Lien
-
17.11. Sharing Attorney Fees with a Lawyer Outside the Firm [Rule 1.5(e)]
-
17.12. Reading: In Re Fordham, 668 N.E.2d 816 (Mass. 1996)
-
17.13. Reading: Mississippi Bar v. Coleman, 849 So. 2d 867 (Miss. 2002)
-
17.14. Reading: Brady v. Starke, 2017 WL 487012 (Mo. Ct. App. 2017)
-
17.15. Reading: Matter of Taylor, 807 S.E.2d 699 (S.C. 2017)
-
17.01. Introduction
-
18. The Decision to File/Prosecute a Claim; Litigation & Negotiation Tactics14 Topics
-
18.01. Introduction
-
18.02. Duty to file Non-Frivolous Claims/Defenses [Rule 3.1]
-
18.03. Frivolousness in the Criminal Context
-
18.04. Duty to Expedite Litigation [Rule 3.2]
-
18.05. ADR—Lawyers as Mediators/Arbitrators [Rule 2.4]
-
18.06. Lawyer as Third Party Neutral: In Future Litigation [Rule 1.12]
-
18.07. Lawyer as Witness [Rule 3.7]
-
18.08. Litigation Tactics [Rule 3.4(e)]
-
18.09. Actions that Compromise the Impartiality of Tribunal [Rule 3.5]
-
18.10. Dealing with Inadvertently Disclosed Information [Rule 4.4(b)]
-
18.11. Dealing with Intentionally Disclosed Information
-
18.12. Dealing with third-parties; Candor in Negotiations [Rule 4.1]
-
18.13. Ethics of Settlement Agreements
-
18.14. Reading: Gilster v. Primebank, 747 F.3d 1007 (8th Cir. CoA 2014)
-
18.01. Introduction
-
19. Lawyer’s Duties to the Tribunal10 Topics
-
19.01. Introduction
-
19.02. Duty to Disclose Adverse Facts [Rule 3.3(a)]
-
19.03. Duty to Disclose Adverse Law [Rule 3.3(a)]
-
19.04. Duty When Client or Witness Intends to Commit/has Committed Perjury [Rule 3.3(a) (3) & (c)]
-
19.05. Duty in Ex Parte Proceedings [Rule 3.3(d)]
-
19.06. Duty in Discovery [Rule 3.3(d)]
-
19.07. Duty in Nonadjudicative Proceeding [Rule 3.9]
-
19.08. False Statements Regarding Judges/Judicial Candidates [Rule 8.2]
-
19.09. Reading: In The Matter of Filosa, 976 F. Supp. 2d 460 (S.D. NY 2013)
-
19.10. Reading: State v. McDowell, 669 N.W.2d 204, aff’d 681 N.W.2d 500 (Wis. CoA 2003)
-
19.01. Introduction
-
20. Duties of a Prosecutor; Limits on Trial Publicity12 Topics
-
20.01. Introduction
-
20.02. Limits on charging behavior [Rule 3.8(a)]
-
20.03. Obligation to Mirandize/give opportunity to procure counsel [Rule 3.8(b)]
-
20.04. Duty not to seek waiver of important rights from unrepresented accused [Rule 3.8(c)]
-
20.05. Duty to disclose exculpatory information [Rule 3.8(d)]
-
20.06. Limitation on subpoenas to defense counsel [Rule 3.8(e)]
-
20.07. Limitations on extrajudicial statements
-
20.07.01. Constitutional concerns
-
20.07.02. Limits on prosecutors [Rule 3.8(f)]
-
20.07.03. General limitations [Rule 3.6]
-
20.08. Obligations when prosecutor learns of innocence of convicted defendant [Rule 3.8(g) & (h)]
-
20.09. Reading: Attorney Grievance Commission of Maryland v. Gansler, 835 A.2d 548 (Md. 2003)
-
20.01. Introduction
-
21. Solicitation & Marketing: Constitutional & Ethical Issues18 Topics
-
21.01. Introduction
-
21.02. Constitutional Aspects of Advertising
-
21.03. In-Person Solicitation [Rule 7.3]
-
21.04. Direct Mail Solicitation [Rule 7.3]
-
21.05. “Forced Speech”: Requiring Disclaimers
-
21.06. False & Deceptive Prohibition [Rule 7.1]
-
21.07. Use of Trade Names
-
21.08. Regulation of Internet Activity
-
21.09. Testimonials
-
21.10. Advertisements: General Requirements [Rule 7.2]
-
21.11. Prohibition on giving anything of value for recommending services [Rule 7.2(b)]
-
21.12. Reciprocal Referral Agreements [Rule 7.2(b)(4)]
-
21.12. The Challenge of New forms of Marketing/Advertising
-
21.13.01. “Deal of the Day” or Groupon
-
21.13.02. LinkedIn Profiles
-
21.14. Social Media Issues
-
21.15. Reading: Bates v. State Bar of Arizona, 433 U.S. 350 (1977)
-
21.16. Reading: Ohralik v. Ohio State Bar Ass'n, 436 U.S. 447 (1978)
-
21.01. Introduction
-
22. Law Firm Administration Issues8 Topics
-
22.01. Introduction
-
22.02. Supervisory Responsibilities of Partners [Rule 5.1]
-
22.03. Responsibilities of Subordinate Lawyers [Rule 5.2]
-
22.04. Responsibilities Regarding Nonlawyer Assistants [Rule 5.3]
-
22.05. Sale of a Law Practice [Rule 1.17]
-
22.06. Ensuring Professional Independence of Lawyers [Rule 5.4]
-
22.07. Responsibilities Regarding Law-Related Services [Rule 5.7]
-
22.08. Reading: Mississippi Ethics Opinion No. 258 (December 01, 2011)
-
22.01. Introduction
-
23. Judicial Ethics35 Topics
-
23.01. Introduction
-
23.02. Maintain the independence, integrity and impartiality of the judiciary in all situations
-
23.03. Perform the duties of the judicial office impartially
-
23.04. Avoid bias, prejudice and harassment in performing judicial duties
-
23.05. Avoid improper external influences on judicial conduct
-
23.06. Perform judicial functions competently and diligently
-
23.07. Ensure that all parties have a right to be heard
-
23.08. Maintain decorum and proper demeanor; communication with jurors
-
23.09. Political activities of sitting judges
-
23.10. Political Activities of Judicial Candidates for Elective Office
-
23.11. Political Activity of Judges for Appointive Office
-
23.12. Role of campaign committees in judicial campaign
-
23.13. Judges who become candidates for non-judicial office
-
23.14. Ex parte communications
-
23.15. Disqualification
-
23.15.01. General standard of disqualification (“impartiality might reasonably be questioned”)
-
23.15.02. Situations where judge must disqualify
-
23.16. Remittal of disqualification
-
23.17. The “rule of necessity”
-
23.18. Restrictions on “extrajudicial activities”
-
23.18.01. General restrictions on extrajudicial activities
-
23.18.02. Appearances before governmental bodies and consultation with government officials
-
23.18.03. Testifying as a character witness
-
23.18.04. Appointment to a governmental positions
-
23.18.05. Use of non-public information
-
23.18.06. Involvement with discriminatory organizations
-
23.18.07. Participation in educational, religious, charitable, fraternal, or civic organizations and activities
-
23.18.08. Appointments to fiduciary positions
-
23.18.09. Service as an arbitrator or mediator
-
23.18.10. Practice of law
-
23.18.11. Financial, business and remunerative activities
-
23.18.12. Compensation for extrajudicial activities
-
23.18.13. Judge accepting gifts, loans, bequests, benefits, or other things of value
-
23.18.14. Reimbursement of expenses and waivers of fee or charges
-
23.19. Reading: Republican Party v. White, 122 S.Ct. 32528 (2002)
-
23.01. Introduction
-
Course Wrap-UpWhat Did We Learn?
Lesson 18, Topic 3
In Progress
17.03. Prohibition on Sharing Fees with Non-Lawyers [Rule 5.4]
Lesson Progress
0% Complete
Rule 5.4 sets out the general prohibition: a lawyer cannot share legal fees with a non-lawyer. The concern is that a lawyer who shares fees with a non-lawyer will lose their professional independence because a non-lawyer would have a vested interest in directing the litigation.
William Nesbitt is licensed in Georgia. To set up a new firm, he approached a married couple (who were also clients) about “investing” in his new firm. They contributed approximately $15,0000 to get the firm started. One of the clients would be the firm’s chief financial officer. The expectation was that the non-lawyer investors in the firm would be paid back through legal fees that Nesbitt earned. Is this set-up ethical? [In re Nesbitt, 754 S.E.2d 363 (Ga. 2014)]
No. This violates Rule 5.4(a) because it is an agreement to share legal fees with non-lawyers. Does this give you a sense of why non-lawyer investors in a law firm is problematic? The married couple who invested would definitely want a say in how Nesbitt handled the cases he brought into the firm. It is that potential interference with Nesbitt’s independent judgment that justifies the prohibition. Rule 5.4 sets out 4 situations where a lawyer can share legal fees with a non-lawyer. Notice that in each of these situations the concern about interference with the lawyer’s independent judgment is not great: (1) when a lawyer in a firm dies, the firm can share fees with the deceased lawyer’s estate or a specified person; (2) if a lawyer dies, becomes disabled, or disappears, the lawyer who takes over the cases can agree to pay/share part of fees from the cases to the estate/personal representative of the absent lawyer; (3) non-lawyer employees can be included in a compensation or retirement plan of the firm; and (4) a lawyer can share court-awarded attorneys fees with a non-profit organization that employed, retained, or recommended the lawyer in the matter.[1]
[1] ABA Rule 5.4(a)(1)-(4).