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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?
Lesson 18, Topic 15
In Progress
17.11. Sharing Attorney Fees with a Lawyer Outside the Firm [Rule 1.5(e)]
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The story goes that Huey P. Long (Louisiana politician) was sitting for his bar exam – which was an oral exam in 1915 and was asked what he knew about admiralty law. Long responded: “nothing at all.” Then the questioner asked: “Well, what would you do if you had an admiralty case?” and Long replied: “I’d associate Mr. Terriberry [the questioner and a well-known admiralty lawyer] with me and divide the fee with him.”[1] Sometimes cases come into a lawyer’s office that the lawyer either is not competent to handle or that they may not have the time to handle. This most often arises with contingency fees when a lawyer accepts a case and wants to bring in another lawyer to assist with trial. If the lawyer refers the case to another lawyer not in the same firm, can the referring lawyer receive a fee for the referral?[2]
The question is answered in Rule 1.5(e). The Rule provides that the referring lawyer may share in the fee in two situations: (1) where the lawyer is receiving a percentage of the fee that is in proportion to the work performed by the referring lawyer; or (2) where the referring lawyer assumes “joint responsibility” for the representation. The client must also agree to the arrangement, know the share each lawyer will receive, and the agreement must be confirmed in writing. The total fee must be reasonable.
Joint responsibility. A lawyer assumes joint responsibility when they assume “financial and ethical responsibility for the representation as if the lawyers were associated in a partnership.”[3] A lawyer assuming joint responsibility is acting as a lawyer representing the client. This is important because it means that a lawyer cannot refer a case to another lawyer because the lawyer has a conflict of interest and cannot represent the client – and also collect a fee.
For many years Lawyer has represented The Flower Shoppe, Inc. – a company jointly owned by Daisy and Rose. One day Rose was in a car accident while on a personal errand driving the company car (she had permission to use the car). Rose was injured. Who was at fault for the accident is in dispute. Rose asked Lawyer to refer her to a personal injury trial lawyer. Lawyer will not assist the trial lawyer in the representation. Rose would like Lawyer to receive a referral fee and Lawyer wants to accept “joint responsibility” in the matter. The other driver has filed a claim against Rose and The Flower Shoppe, Inc. and the Lawyer has determined that Rose’s interests are adverse to The Flower Shoppe’s interests and that the Flower Shoppe would likely have a claim against Rose. Lawyer will not represent The Flower Shoppe, Inc. in the lawsuit, but the company will remain a client of Lawyer. Can Lawyer receive a referral fee? [ABA Formal Op. 474 (April 21, 2016)] No. In this situation the Lawyer would have a conflict of interest – and could not represent both Rose and The Flower Shoppe. Because the lawyer would be conflicted out from representing Rose because Lawyer could not represent represent Rose against the Flower Shoppe, and could not obtain consent because The Flower Shoppe has a claim against Rose. Because Lawyer could not ethically represent Rose, he cannot obtain a referral fee as part of the representation.
[1] Told in David L. Hudson, Jr., “Sharing Fees with a Lawyer Outside the Firm is OK as Long as Certain Ethics Rules are Followed” ABA Journal http://www.abajournal.com/magazine/article/sharing_fees_with_a_lawyer_outside_the_firm_is_ok_as_long_as_certain_ethics (July 1, 2016) (last visited October 25, 2019).
[2] Rule 1.5(e) does not apply to: (a) division of fees between lawyers in the same firm; or (b) division of fees where the fee is being divided between lawyers who were associated in the same firm but part ways. [Rule 1.5, Comment [8]].
[3] ABA Rule 1.5, Comment [7].