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214 Cards in this Set

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  • Back
5.5
Multi-Jurisdiction practice only with law licenses in all jurisdictions
8.1
Respond to Disciplinary Matters
8.2
No false statements about judges and legal officers
8.3
Report another's misconduct when fitness is a substantial question
8.4
Misconduct is violating rules, dishonesty, crime, and conduct is prejudicial to the Administration of Justice
8.5
Discipline can be by multiple jurisdictions
RULE 5.5
SUBJECT:

Unauthorized Practice of Law
MJP may also be UPL

SAYS:

No UPL or assisting UPL
- Practice is office, presence, or advertising

EXCEPTIONS:

A PAIR of safe harbors:

- Associate, Pro Hac Vice, ADR, in house, or related
RULE 8.1
SUBJECT: communicating with the bar

SAYS: Must tell truth, disclose facts, and respond
RULE 8.2
SUBJECT: Statements about judges, legal officers and candidates and obligations of candidates

SAYS: no false or reckless statements about integrity or qualifications

- judicial candidates shall follow canons.
RULE 8.3
SUBJECT: reporting

SAYS: report ethics violators when substantial question of fitness

EXCEPTIONS: lawyer assistance program (LAP)
RULE 8.4
SUBJECT: Catch-all

SAYS: Misconduct Is:

1. Rule Breaking
2. Assisting Rule Breaking
3. Inducing Rule Breaking
4. Dishonesty, fraud, crime
5. Prejudicial to the administration of justice
6. Influence claim
RULE 8.5
SUBJECT: Who can sanction you?

SAYS: Both states.
1.18
Decline representation if a conflict exists unless there is consent.
1.1
provide competent representation
1.3
act with diligence and promptness
3.1
make meritorious claims only
6.1
Do pro bono service
6.2
Accept appointments.
1.16
Withdraw if discharged, crime or fraud, if repugnant or not paid
RULE 1.18
SUBJECT: disqualifying information

SAYS:

- don't misuse prospective client information (don't use or reveal)

- don't take another with materially adverse interests

- all lawyers in firm are disqualified (imputed disq)

EXCEPTIONS:

- chinese wall
- everyone consents in writing
RULE 1.1
SUBJECT: competence

SAYS: be competent

- choose cases carefully
- prepare for novel fields
- avoid highly specialized practice areas

- refer
- co-counsel
- qualify- through continuing legal education, advance degrees, and conferences and seminars
RULE 1.3
SUBJECT: diligence

SAYS: be diligent (timely, prompt, persevering)

- control work load (comment 2)
- don't procrastinate (comment 3)
RULE 6.1
SUBJECT: pro bono service

SAYS: aspire to atleast 50 hours per year at no fee
- aspire to help others at reduced fee

EXCEPTIONS

might also serve charitable organizations

might also serve to improve the profession
RULE 6.2
SUBJECT: appointments

SAYS: accept them

EXCEPTIONS:

will violate a rule

will unreasonably burden finances

will be so repugnant as to impair
RULE 3.1
SUBJECT: frivolous claims

SAYS: make meritorious claims only

EXCEPTIONS: can make prosecution prove case
RULE 1.16
SUBJECT: withdrawal

SAYS:

- must withdraw if discharged, impaired, rule violation (crime, fraud)

- may withdraw if repugnant, non- cooperation, not paid

EXCEPTION:

- court will not permit withdrawal
7.1
No false or misleading advertising, don't make unsubstantiated comparisons, or create unjustified expectations, don't pay others for referrals, don't solicit in person
7.2
don't pay others for referrals
7.3
don't solicit in person
7.4
don't claim to be certified unless disclosing approving body
7.5
no misleading trade names
7.6
don't pay to play
RULE 7.1
SUBJECT: misleading advertising

SAYS:

- No false or misleading advertising

(ex. "Member of U.S. Supreme Court bar).

- no creating unjustified expectations

- no making unsubstantiated comparisons
RULE 7.4
SUBJECT: advertising fields and specialties

SAYS:

- may advertise fields and "specializes"
- may not advertise "certified" specialist"

EXCEPTIONS:

- Patent/trademark and admiralty specialties

- ABA- or state certified & organization disclosed
RULE 7.5
SUBJECT: firm name and letterhead

SAYS:

- no implying government or charitable connection

- show jurisdictional limits

- no public officeholder names

- no falsely implying partnership
RULE 7.3
SUBJECT; solicitation

SAYS: do not solicit by live contact

- in person
- by telephone
- through real time electronic chat

EXCEPTIONS:

- lawyers
- family members
- pro bono service
- pre paid or group legal service plans
RULE 7.2
SUBJECT: referrals and recommendations

SAYS: no paying for them

EXEPTIONS:

- can pay to advertise (need name and address on ad).
- can pay a qualified referral service or legal service plan
- can pay for a law practice
- can non-exclusively reciprocally refer, inform client
RULE 7.6
SUBJECT: political contributions for business from judges

SAYS: No paying to play
ADVERTISING VIOLATIONS
Charitable Names- 7.5, 7.1

Unjustified Expectations- 7.1

Unsubstantiated comparisons- 7.1

Certified Specialization- 7.4

No lawyer name and address- 7.2
1.5
charge a reasonable fee, establish fees promptly, preferably in writing.
1.8(e)
No loans to clients, only advances of litigation expenses
1.15
Maintain a trust account/ no commingling, safe-keep client property.
ABA Formal Opinion 93-379
- No double billing, no surcharges on disbursements
RULE 1.5
SUBJECT: Fees

SAYS:

- be reasonable

(time, labor, skill, risk, reputation, market, demand).

- communicate early, best in writing

- contingency fees where allowed, explain in writing

- Divide fees only by work or when responsible.
RULE 1.8(e)
SUBJECT: financial assistance to client

SAYS: Cannot provide in connection with litigation

EXCEPTION: court costs and litigation expenses
Rule 1.6(b)(3)
permits you to reveal client confidences and secrets necessary to establish or collect a fee

(an exception to the duty of confidentiality).
RULE 1.15
SUBJECT: client property

SAYS: safekeep, separate, notify, turnover, and account (SANTA).
- know "IOLTA"

Exceptions:

- bank charges
- advanced fees, earned on receipt
- disputes
1.1
Represent clients competently
1.2
May reasonably limit scope of representation, client has authority, may not assist client crime or fraud
1.3
be diligent and prompt
1.4
communicate with client
1.8(h)
no limiting liability for malpractice
5.3
supervise nonlawyer assistants.
5.4
remain independent of nonlawyers
5.5
don't share fees with nonlawyers except in a retirement plan
PREAMBLE NOTE 7
SUBJECT: Sources of Professional responsibilities

SAYS: SOURCES INCLUDE:

- substantive and procedural law
- Personal conscience
- Approbation of peers

Strive to exemplify ideals of service and attain highest skills
RULE 1.1
SUBJECT; competence

SAYS: be competent

- choose cases carefully
- prepare for novel fields
- avoid highly specialized practice areas

- refer
- co counsel
- qualify through continuing legal eduation, advanced degrees, and conferences and seminars
RULE 1.2
SUBJECT: scope and authority

SAYS:

- may limit scope, must not counsel crime or fraud

- client decides objectives and settleemtn

- in criminal cases, jury, testimony, and plea

EXCEPTIONS:

Scope Limitations must be reasonable

Lawyer has implied authority on strategy

- but consult with client
RULE 1.3
SUBJECT: diligence

SAYS: be diligent, (timely, prompt, persevering).

- control work load (see comment 2)

- dont' procrastinate (see comment 3)
RULE 1.4
SUBJECT: communicating with clients

SAYS:
- Inform promptly of settlement or plea offers, client decides.

- Consult about means (tactics and strategies).

- Inform about status (copy on communications

- Answer information requests (return calls)

- Tell clients when you cannot help

- let the rules be your ally
RULE 5.3
SUBJECT: non-lawyer assistants

SAYS: supervise them and systematize

- you are responsible for their conduct if you:

1. order it (tell them to do it)

2. Ratify it (let them do it and then approve it).

3. know about it and then fail to take remedial action
RULE 5.4
SUBJECT: independence

SAYS: remain independent (avoid influence).

- don't share fees with nonlawyers

- don't partner with nonlawyers for legal services

- don't let third party fees influence your advice

- don't have nonlawyer owners, officers, or managers

EXCEPTIONS:

May pay estate of deceased lawyer

May have a profit sharing or retirement plan

May share with referring non-profits
RULE 5.5
SUBJECT: UPL

SAYS: practice law only with a license

- don't practice law, have a law office, or advertise legal services, or help another to do so, without a law license

EXCEPTIONS: APAIR (associate, pro hac vice, ADR, in house, reasonably related).
1.8(b)
No using client information against client.
1.9(b)
No representing adversary of former firm's client using client's information.
1.9(c)
no using former client's information against former client
1.18(b)
no using information against former prospective client
1.6
Keep client confidences except with consent or with exceptions
1.2(d)
may not assist client crime or fraud
3.3
no false evidence or arguments to tribunal
3.4(a)
do not obstruct or conceal evidence
4.1
no false statements or misleading omissions to third persons
RULE 1.8(b)
SUBJECT: using client information

SAYS: do not use it against the client

EXCEPTIONS:

- prove fees
- defend malpractice
- comply with court order
RULE 1.9(b)
SUBJECT: conflicts

SAYS: do not represent someone whose interests are adverse to your former firm's client about whom you have confidential material information

EXCEPTION:

informed consent in writing
RULE 1.9(c)
SUBJECT: former client's information

SAYS:

- no using former client's or former firm's client's information against that former client

EXCEPTIONS: Can use if generally known or as permitted/required by rules

- can reveal as permitted or required by rules
RULE 1.18(B)
SUBJECT: prospective clients' information

SAYS:

- no using prospective client's information against that prospective client

EXCEPTIONS:

- can use if generally known or as permitted/ required by rules

- can reveal as permitted or required by Rules
RULE 1.6
SUBJECT: confidentiality

SAYS: don't reveal client information

EXCEPTIONS

- expressly or impliedly authorized

- prevent substantial harm or death

- prevent client crime or fraud using lawyer services

- rectify client crime or fraud using lawyer services

- hotline, malpractice defense, court order
RULE 1.2(d)
SUBJECT: advice to client about criminal conduct

SAYS: do not counsel or assist client in criminal/fraudulent conduct

EXCEPTIONS: may discuss legal consequences and interpret law in good faith
RULE 3.3
SUBJECT: Candor toward court (more than truthful)

SAYS: be frank with courts- do not:

1. make or fail to correct false statements

2. fail to disclose adverse authority

3. offer false evidence

4. fail to take remedial measures re false evidence AND fraudulent conduct

5. fail to disclose all facts when ex parte

EXCEPTION:

You learn of it after conclusion
RULE 3.4(a)
SUBJECT: access to evidence

SAYS: don't obstruct, alter, conceal or counsel or assist to do same
RULE 4.1
SUBJECT: what you tell non party non-clients

SAYS: tell them the truth

EXCEPTION: no affirmative duty to volunteer information (only a "negative" duty to correct misinformation) except to avoid assisting fraud or crime and except when appearing ex parte
1.6
don't reveal client information
3.3
no false evidence or arguments to tribunal
ABA Formal Opinion 93-376-
fraud in discovery is fraud on the court
4.1
No false statements or misleading omissions to third persons.
8.4(c)
No dishonesty, fraud, deceit or misrepresentation
RULE 1.6
SUBJECT: confidentiality

SAYS: don't reveal client information

EXCEPTIONS:

expressly or impliedly authorized

prevent substantial harm or death

prevent client crime or fraud using lawyer servises

rectify client crime or fraud using lawyer services

hotline, malpractice defense, court order
RULE 3.3
SUBJECT; candor (truth telling, forthrightness)

SAYS: shall be forthright with tribunals

- facts (statements and omissions)

- Law (statements and omissions)

- Take remedial measures over false evidence

EXCEPTIONS:

- learn of falsity after proceeding

- Option where uncertain, but reasonably believe, evidence is false.
ABA FORMAL Opinion 93-376
SUBJECT: discovery responses

SAYS: fraud in discovery is fraud on the court; correct erroneous (fraudulent) discovery responses

- counsel client to correct them

- Consider withdrawal and disavowal

- Notify opposing counsel and court
RULE 4.1
SUBJECT: what you tell non-clients

SAYS: tell them the truth

Exception: no affirmative duty to volunteer information (only a "negative" duty to correct misinformation) except to avoid assisting fraud or crime and except when appearing ex parte

Rationale: reliane on adversary system to find truth (rule 3.4 Comment 1).
RULE 8.4(c)
SUBJECT: fraud and deceit

SAYS: do not get involved in it

- it's professional misconduct for you to do so.
3.1
make meritorious claims only
3.2
expedite litigation
3.3
disclose authority which is controlling and directly adverse
3.3
correct false statements to tribunal until conclusion of proceeding
3.3
in ex parte proceedings disclose all material facts
3.4
1. be fair to opposing counsel
2. no coaching witnesses to testify falsely
3. no obstructing access to evidence or telling witnesses not to speak
4. no making frivolous discovery requests or responses
5. no personal opinions or improper appeals at trial
3.5
no influencing/ ex parte contact with judge/ juror during proceeding
3.6
no publicity prejudicing trial. Except: status, apprehend, mitigate.
3.7
no testifying while advocating.
3.8
prosecute only with cause, and disclose exculpatory evidence
3.9
advocate in non-adjudicatory proceedings fairly
4.1(a)
no false statements of material fact in negotiation.
4.2
no communication with represented person unless lawyer consents
4.3
no misleading unrepresented persons about role as counsel
4.4
no embarrassing or violating rights of third persons

notify sender of an inadvertently sent document
Canon 3(b)(5)
no ex parte communications
Canon 3(b)(9)
No public comment
Canon 4(D)(5)
Don't accept gifts
RULE 3.1
SUBJECT: claims

SAYS: make only good claims

EXCEPTIONS:

- arguable extension or reversal of law
- can make prosecutor prove all elements
RULE 3.2
SUBJECT: delay

SAYS: don't delay
RULE 3.3
SUBJECT: candor toward tribunal

SAYS: don't lie, hide the law, or falsify evidence

ALSO SAYS: remediate client frauds

ALSO SAYS: disclose all facts when ex parte

EXCEPTIONS: proceeding has concluded
RULE 3.4
SUBJECT: fairness to the other side

SAYS: fight fair

- no obstructing
- no frivolous discovery
- no tainting the jury
- no obstructing investigations

EXCEPTIONS:

relatives and employees- may refrain from speaking to the other side.
RULE 3.7
SUBJECT: lawyer witnesses
SAYS: can't be lawyer and witness at the same time

EXCEPTIONS:

- uncontested issues
- proving fees
- disqualification would work substantial hardship
- rule of iimputed disqualification is suspended except per 1.7 and 1.9
RULE 3.9
SUBJECT: lawyer in the legislature or agency

SAYS: disclose advocate role and be fair
RULE 4.2
SUBJECT: communication with represented persons

SAYS: Don't

EXCEPTIONS: after represented person's lawyer consents

- or a law or court order authorizes it.
RULE 4.3
SUBJECT: unrepresented persons

SAYS: don't imply disinterest to unreprsented persons when representing client;

- correct misunderstandings

- Don't give legal advice to unrepresented person if conflict with current client
RULE 4.4
SUBJECT: third persons (unrepresented)

SAYS: no harassing or denying rights

- notify sender if you receive document by mistake
CANON 4(d)(5)
SUBJECT: gifts

SAYS: don't accept them

EXCEPTIONS:

- public testimonials, books, and bar functions

- gifts to spouses

- social hospitality

- modest relative or friend gift on special occassion

- gifts from the disqualified
RULE 3.5
SUBJECT: impartial court

SAYS: don't bribe or influence

- no ex parte contact

- no talking to jurors before discharge

EXCEPTION: can talk to jury after discharge unless judge orders or juror refuses, or purpose is to harass
CANON 3(b)(7)
SUBJECT; ex parte communications

SAYS: don't make them

EXCEPTIONS: scheduling & disinterested experts
RULE 3.6
SUBJECT: Trial Publicity

SAYS: if you are involved, don't seek it

- defined as substantial likelihood of material prejudice

EXCEPTIONS: can tell basic claim, charge, defense, schedule

- can counteract substantial undue prejudicial effect
CANON 3(B)(9)
SUBJECT: public comments

SAYS: don't make them

EXCEPTIONS: explaining court procedures
RULE 3.8
SUBJECT: Prosecutors

SAYS: have a duty to the public and accused

- file only credible charges- probable cause

- tell accused to get a lawyer

- no taking unrepresented defendant's rights

- disclose exonerating and mitigating evidence regarding charge and sentence

- do not subpoena defense lawyers
- do not stir up the public against the accused
1.8(j)
No sexual relations with a client
3.4
No personal opinions or improper appeals at trial
3.5
No harassing jurors
4.4
No embarrassing or violating rights of third persons
8.4(d)
No conduct prejudicial to the administration of justice.
8.4(b)
no crime reflecting on honesty or fitness
6.5(a)
treat people with respect
8.4(c)
no conduct prejudicial to the administration of justice
CANON 2C
judges can't belong to organizations that discriminate
CANON 3(B)(5)
judges must perform duties without bias or prejudice
CANON 3(B)(6)
Judges must no allow bias or prejudice by lawyers or staff
CANON 2C
SUBJECT: memberships

SAYS: Can't be a member of a discriminatory organization
CANON 3(b)(5)
Subject: bias and prejudice

SAYS: no bias or prejudice by jduges in performance of duties

- duty to prevent bias by those under judicial control
CANON 3(b)(6)
SUBJECT: laywer bias and prejudice

SAYS: No bias or prejudice by lawyers allowed in court

EXCEPTION: legitimate advocacy when "factors" are issues.
1.2
client decides objectives and makes key decisions
1.7
no representing clients with concurrent conflicts of interest
1.8(a)
no business transactions with client w/o counsel and consent
1.8(b)
no using client information against client
1.8(c)
no substantial gifts from clients.
1.8(d)
no interest in media rights during representation
1.8(e)
no loans to clients, only advances of litigation expenses
1.8(f)
no third party compensation without client consent
1.8(g)
no aggregate settlements without consent
1.8(h)
no limiting liability for malpractice
1.8(i)
no proprietary interests in subject matter of the litigation
1.8(j)
no sexual relations with a client
1.8(k)
imputation for rule 1.8 (a-i)
1.10
imputation for conflicts in rules 1.7 and 19. If one lawyer is disqualified, others in the firm are also. Also see chapter 12 for in depth treatment.
1.13
lawyer represents the organization that hires the lawyer
1.14
protect a client whose diminished capacity causes substantial harm.
1.18
must avoid using prospective client info to their disadvantage; and imputation rule where there is disqualifying information and "affected client"
2.1
give independent and candid advice
3.7
no testifying while advocating
5.4(c)
remain independent of nonlawyers, don't share fees with nonlawyers, except in a retirement plan, don't let fee payer interfere
RULE 1.2
SUBJECT: Who decided

Says:

Client decides objectives

whether to settle, and

In criminal case, whether to plead guilty, waive jury trial, and testify
RULE 1.14
SUBJECT: mentally disturbed clients

SAYS: try to maintain normal relationship

EXCEPTION: if risk of substantial client harm, then may consult others and seek guardian, but keep confidences as able.
RULE 2.1
SUBJECT: independence from influence

SAYS: use independent professional judgment
RULE 3.7
SUBJECT: lawyer witnesses

SAYS: can't be a lawyer and witness at the same time

EXCEPTIONS:

- uncontested issues

- proving fees

- disqualification would work substantial hardship
RULE 1.8
SUBJECT: specific lawyer/client coflicts

SAYS:

- no business transaction /w client without WIC.

- No using client information against the client

- No soliciting or drafting wills for gifts

- no literary rights until after representation

- no loans to litigants
RULE 1.7
SUBJECT: concurrent conflicts

SAYS: do not represent two clients at once, when the representation of one is directly adverse to the interest of the other, or represent a client when you have an adverse interest

EXCEPTIONS: written informed consent and reasonable belief it can be done fairly (but never in the same litigation.).
RULE 1.18
SUBJECT: disqualifying information

SAYS:

- don't misuse prospective client information
- don't use or reveal

don't take another client with materially adverse interests

- all lawyers in firm are disqualified (imputed disqualification).

Exceptions:

- reasonable measures to limit information, Chinese Wall and notice.

- everyone consents in writing
RULE 1.13
SUBJECT: organization clients

SAYS: the lawyer represents the organization, not the employees of the organization, so refer employee misconduct to higher organization authority.

EXCEPTION: dual representation where no conflict exists and organization approves
1.7
conflict between current clients: no representign clients with concurrent conflicts of interest
1.8
conflict between current clients

1.8b no using client information to client's disadvantage

1.8g no aggregate settlements among clients without informed consent

1.8i No acquiring interest in client's cause of action
1.9(a)
no representing former client's adversary in same or similar matter
1.9(b)
no representing adversary of former firm's client using client's information
1.9(c)
no using former client's information against former client
1.10(a)
if one lawyer is disqualified, others in the same firm are also.
1.10(b)
Former firm not disqualified in matters against former lawyer's clients
1.11
Former govt. lawyer may not use govt info against third person
1.12
conflict for adjudicative officers- former judge may not act as lawyer in former judge's case
1.18
Can't use confidential information from prospective clients
1.18
can't represent affected clients using confidential info from prospective clients
6.3
can't participate in decision on legal services board incompatible with own clients
1.7
addresses individual lawyer's personal disqualification involving current and prospective clients
1.9
addresses individual lawyer's personal disqualification involving former clients
1.10
addresses imputed disqualification of affiliated lawyers by virtue of relationsip with personally disqualified lawyer in rules 1.7 and 1.9
1.8(k)
addresses imputed disqualification of affiliated lawyers by virtue of relationship with personally disqualified lawyer in rule 1.8 (a-i)
1.18(c)
addresses individual lawyer's disqualification from representign affected clientsR
1.18(d)
addresses affiliated lawyers' imputed disqualification from representing affected clients
1.9(a)
lawyer in the same firm- can't switch sides in same case or where matter are substantially related (without consent)
1.9(b)
lawyer leaves firm, can't switch sides on old firm's client if he had information protected by rule 1.6 or 1.9(c) (without consent).
1.10(a)
personally disqualified lawyer in teh same firm with affiliated lawyers - imputes conflicts under 1.7 and 1.9
RULE 1.7 as to conflicts between clients
SUBJECT: concurrent conflicts of interest

SAYS: do not represent two clients at once, when representation of one is directly adverse to the interests of the other or materially limited by rsponsibilities to another client

EXCEPTIONS: written informed consent and reasonable belief it can be done fairly (but never in the same litigation).
RULE 1.18
SUBJECT: prospective client information (disqualifying information).

SAYS: do not use or reveal prospective client information, or represent adverse parties when the information would be harmful to prospective client

EXCEPTION: others in the firm can represent affected client if the lawyer with the information is screened, reasonable measures were teaken to limit information and everyone consents.
RULE 1.8 (b)(g)(i)
SUBJECT: conflict between lawyer and client

SAYS:

- no using client information against the client

- no aggregate settlements without written consent

- no acquiring a proprietary interest in the subject matter of the litigation
RULE 1.9
SUBJECT: former clients

SAYS:

- no opposing former clients in related matter

- no opposing former firm's clients in rlated matter if acquired confidential information

- no using former clients' or former firm's client's information against that former client

EXCEPTION: written informed consent of former client
RULE 6.3
SUBJECT: legal services organization members

SAYS: lawyer may serve organization which is serving adversary of lawyer's client

EXCEPTION: lawyer helps organization decide adverstly to organization's client
RULE 1.10
SUBJECT: imputed disqualification

SAYS: one lawyer's disqualification disqualifies all in that lawyer's firm

EXCEPTIONS:

- personal interest of the lawyer
- written informed waiver and fairness
- lawyer left firm, left no information, and different matter
RULE 1.18
SUBJECT: prospective client information

SAYS: do not use or reveal prospective client information, or represent adverse parties when the information would be harmful

EXCEPTION: others in the firm can represent adverse parties if the lawyer with the information is screened.
RULE 1.11
SUBJECT: government officers

SAYS: No using information gained from government service against government agency or person

- No representign private client in matter where you served as a government officer, & vice versa.

EXCEPTIONS:

- with informed consent of gov. agency

- screening of lawyer by firm representing client.
RULE 1.12
SUBJECT: former adjudicative officer

SAYS:

- no acting as lawyer in matter where was judge

- no seeking job from party or firm appearing before judge

EXCEPTIONS: with informed consent of client

- screeningn by firm of former judge now lawyer
1.0(c)
Firm or law firm encompasses many groups of lawyers
1.17
may sell law firm if retiring and clients are notified
2.3
Evaluate client matter for third party only with client consent
2.4
serve as third party neutral only when not representing parties
5.1
managing lawyers shall manage prudently
5.2
subordinate lawyer being supervised - subordinate lawyers are judged on their own (not the boss's) ethics
5.3
supervising subbordinate non lawyers- supervise non lawyer assistants
5.4
professional independence, remain independent of nonlawyers

don't share fees with nonlawyers except in a retirment plan
5.6
not restricting practice- no signing lawyer non competes in employment contracts
aba formal opinion 99-414
how to leave a law firm
5.7
law related services: keep law related services compliant with ethics rules
RULE 5.1
SUBJECT: lawyers supervising lawyers

SAYS: lawyer managers must have measurs in effect to ensure subordinate lawyers conform to the rules

- Supervising lawyers are responsible when they order, ratify, or with knowledge fail to avoid, mitigate, and remediate
RULE 5.2
subject: subordinate lawyer's responsibilities

says: subordinate lawyers must follow the rules, not unethical orders

EXCEPTIONS: orders arguably within rules
RULE 5.3
SUBJET: lawyers supervising nonlawyers

SAYS:

- lawyers must have measures in effect to ensure non lawyer assistant conduct is compatible with lawyer professional obligations

- lawyers are responsible for nonlawyer assistants wrongs if ordered, ratified, or with knowledge failed to avoid, mitigate, and remediate
RULE 1.17
SUBJECT: selling a law practice

SAYS: may if:

1. seller stops doing what was sold

2. Entire practice or area is sold

3. Clients are told

4. sale does not increase fees
RULE 5.6
SUBJECT: restricting practice

SAYS: don't

EXCEPTIONS: retirement benefits
RULE 2.3
SUBJECT: evaluations (opinion letters)

SAYS: may evaluate a client's matter for a third person

ALSO SAYS: maintain confidentiality

EXCEPTION:

evaluation is incompatible with lawyer's role

evaluation will hurt client
RULE 2.4
SUBJECT: ADR

SAYS: lawyers may be third party neutrals (mediators, arbitrators, facilitators).

- tell unrepresented parties they are unrepresented

- tell unrepresented parties what it means to be a third party neutral