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135 Cards in this Set
- Front
- Back
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Pro Hac Vice Admission |
Upon association with a qualified attorney and order by the affected court, an attorney who is not a member of the Bar or a resident may be permitted to appear in a case. |
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Client-Lawyer Relationship |
1. Confidentiality 2. Privilege |
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Confidentiality |
- everything the client tells you is confidential
- a "privilege" is an evidentiary issue |
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Rule 1.6 |
Shall not reveal expressions of client unless informed consent (impliedly authorized for representation) or disclosure to prevent 1) reasonably certain death or substantial bodily harm; 2) to prevent the client from committing a crime or fraud (reasonably certain to result in substantial injury to financial interests or property of another in furtherance of which the client has used or is using the lawyer's services; 3) to 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 in furtherance of which the client has used the lawyer's services; 4) to secure legal advice about the lawyer's compliance with these Rules; 5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client; (6) to comply with other law or a court order; or (7) to detect and resolve conflicts of interest arising from the lawyer’s change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client. May reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary Shall make reasonable efforts to prevent inadvertent or unauthorized disclosure or access to information. |
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RULE 1.6 CONFUSION WITH RULE 4.1
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Conflicts with the “may reveal” in Rule 1.6 and the “shall not knowingly” in Rule 4.1 |
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RULE 4.1: Truthfulness in Statements to Others |
In the course of representing a client A lawyer shall not: (i) make a false statement of material fact or law to a third person; or (ii) fail to disclose a material fact when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by RULE 1.6. |
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RULE 1.9
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Duties to Former Clients.
(1) A lawyer who formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter: (a) use information relating to the disadvantage of the former client except as these Rules would permit or require with respect to a client, or when the information has become generally known; not all matters of public record are “generally known.” – just because its public does not mean its generally known (b) Reveal information relating to the representation except as these Rules would permit or require with respect to a client. |
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RULE 1.8 |
Specific Rules regarding Current Client Conflicts of Interest: A lawyer shall not accept compensation for representing a client from one other than the client unless: (a) the client gives informed consent; (b) there is no interference with the lawyer's independence ofprofessional judgment or with the client-lawyer relationship; and (c) information relating to representation of a client is protected as required by Rule 1.6. |
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Privilege |
Third-party confidential information is not privileged; such as investigators. Be sure when mediating that you clearly establish when you are playing LAWYER and when you are playing MEDIATOR Its always the client’s privilege—they can choose to waive it or enforce it |
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Rule 1.18 |
Duties to Prospective Clients: divorce/big firms A Prospective client is a person who consults with a lawyer about forming a client-lawyer relationship with respect to a matter. A lawyer shall not use or reveal information learned from a prospective client even when no client-lawyer relationship ensues, except as Rule 1.9 would permit with respect to information of a former client. A lawyer facing Firm Conflicts shall not represent a client with interests materially adverse to those of a prospective client in the same or asubstantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except with consent. If one lawyer is disqualified, no lawyer in their firm may knowingly undertake representation in such a matter, except through consent and "screening.". If one lawyer isdisqualified, all lawyers in the firm are. |
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When the lawyer has received disqualifying information as defined in paragraph (c), representation is permissible if: |
Both the affected client and the prospective client have given Informed consent, confirmed in writing, or: The lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client (doesn’t have to be signed), and; (a) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom, and; (b) written notice is promptly given to the prospective client. |
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Fees |
Rule 1.5:
A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable amount for expenses. |
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Contingency Fees |
A contingent fee agreement shall be in a writing signed by the client and shall state the method by which the fee is to be determined, including the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal; litigation and other expenses to be deducted from the recovery; and whether such expenses are to be deducted before or after the contingent fee is calculated. The agreement must clearly notify the client of any expenses for which the client will be liable whether or not the client is the prevailing party. Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination. |
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Rule 1.14 |
Client with Diminished Capacity:
When a client's capacity to make adequately considered decisions is diminished, because of minority, mental impairment ,or for some other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client. When the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial or other harm unless action is taken and cannot adequately act in the client's own interest, the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, inappropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian. Information relating to the representation of a client with diminished capacity is protected by Rule 1.6. When taking protective action pursuant to paragraph (b), the lawyer is implicitly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client's interests. |
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Rule 1.3 |
Diligence: A lawyer shall act with reasonable diligence and promptness in representing a client "Reasonable”: depends on the client and the attorney’s case load. |
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RULE 1.4 |
Communication: A lawyer shall: promptly inform where client's informed consent is required. [If its possible the client will say ask “why didn’t you tell me that?” Then you should tell them] Reasonablyconsult with the client about the means by which the client's objectives are to be accomplished; “reasonably consult”: things that are pertinent - the status of the matter. Promptly comply with reasonable requests for information; and Consult with the client about relevant limitations on the lawyer's conduct when the lawyer knows that the client expects assistance that is not permitted (a) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation. [a sliding scale on what is reasonable—Judge Oths v. an 18-year-old junior in high school] |
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Rule 1.2: Scope of Representation and Allocation of Authority |
A lawyer shall abide by a client's decisions concerning the objectives of representation and shall consult with the client as to the means by which they are to be pursued. A lawyer may take such action on behalf ofthe client as is impliedly authorized to carry out the representation. A lawyer shall abide by a client's decision whether to settle a matter. In a criminal case, after consultation, the lawyer shall abide by the client's decision, as to a plea to be entered, whether to waive jury trial and whether the client will testify. A lawyer's representation of a client, including by appointment, does not constitute an endorsement. A lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent. i.e. "Bundled" legal services A lawyer shall not counsel or assist a client, in conduct the lawyer knows is criminal or fraudulent, but; A lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, meaning or application of the law. |
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Rule 1.7 |
Conflicts of Interest: Current Clients
Except as provided, a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent-conflict of interest exists if: representation of one client will be directly adverse [representing both parties to a transaction] or there is a significant risk that the representation of one or more clients will be materially limited by the lawyer's responsibilities to another client, a former client or a third person or by a personal interest of the lawyer. |
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Rule 1.7 Exceptions |
Notwithstanding the existence of a concurrent conflict of interest a lawyer may represent a client if:
(a) the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client; (b) the representation is not prohibited by law; (c) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and (d) each affected client gives informed consent, confirmed in writing. |
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Rule 1.13 "Reasonably necessary" |
Organization as Client: If an organization lawyer knows that an officer, employee or other person is engaged in action, intends to act or refuses to act in a matter related to the representation that is a violation of that firms legal obligation, or a violation that might reasonably be imputed to the organization, likely to result insubstantial injury to the organization, the lawyer shall proceed as "reasonably necessary" in the best interest of the organization. The lawyer shall refer the matter to a higher authority in the organization, including, if warranted, the highest authority, unless the lawyer reasonably believes that it is not necessary in the best interest of the organization to do so. |
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Rule 1.13 Organization as Client
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(Who do I answer to?)
A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents. |
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If the Organizational Client reuses to act and it is reasonably certain to result in significant harm. |
A lawyer, representing an organization, is not permitted to reveal information relating to a lawyer's representation of an organization to investigate an alleged violation of law, or to defend the organization or an officer, employee or other constituent associated with the organization against a claim arising out of an alleged violation of law. |
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Rule 1.13 Lawyer Discharge |
A lawyer who reasonably believes that he or she has been discharged because of the lawyer's actions taken pursuant towhat they feel is in the Business's best interest or that will result in significant bodily harm, or who withdraws under circumstances that require or permit the lawyer to take action under either of those paragraphs, shall proceed as the lawyer reasonably believes necessary to assure that the organization's highest authority is informed of the lawyer's discharge or withdrawal. |
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Special Rules pertaining to Organizational Representation. |
Dealing with directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identity of theclient when the lawyer knows or reasonably should know that the organization's interests are adverse to those of the constituents with whom the lawyer is dealing. (who you actually work for) A lawyer representing an organization may also represent any of its directors, officers, employees, members, shareholders or other constituents, subject to the provisions of Rule 1.7. If the organization's consent to the dualrepresentation is required by Rule 1.7, the consent shall be given by an appropriate official of theorganization other than the individual who is to be represented, or by theshareholders. |
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Rule 1.8 Specific Rules regarding conflicts with Current Clients |
1. Prohibition of business transactions 2. Use of information 3. Client Gifts 4. Information relating to the representation 5. Financial Assistance 6. Compensation 7. Aggregate Settlements |
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Rule 1.8: Business Transactions |
A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless: The transaction and terms of the acquisition are fair and reasonable to the client and fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client; The client is advised in writing of the desirability of seeking the advice of independent legal counsel; and the client gives informed consent, in a signed writing, agreeing to the essential terms of the transaction and the lawyer's role in the transaction, including whether the lawyer is representing the client in the transaction. |
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Rule 1.8: Client Information |
A lawyer Shall not use information relating to the representation to the disadvantage of the client,unless the client gives informed consent, except as permitted by these rules |
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Rule 1.8: Client Gifts |
A lawyer shall not solicit any substantial gift from a client, including a testamentary gift (When a will says that certain property goes to aspecific person), or prepare on behalf of the client an instrument giving the lawyer or someone related to the lawyer any substantial gift unless the lawyer or the recipient of the gift is related to the client. |
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Rule 1.8: Information relating to the representation |
Prior to the conclusion of representation, a lawyer shall not make or negotiate an agreement giving the lawyer literary or media rights to a portrayal or account based in substantial part on information relating to the representation |
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Rule 1.8: Financial Assistance |
A lawyer shall not provide financial assistance to a client in connection with a pending or completed litigation except; 1. a lawyer may advance costs and expenses of litigation, the payment of which is contingent on the outcome of the matter, and 2. a lawyer representing an indigent client may pay court cost and expenses on that client's behalf. |
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Rule 1.8: Compensation |
A lawyer shall not accept compensation for representing a client from one other than that client unless; a) the client gives informed consent b) there is no interference with the attorney's independence of professional judgement or the client-lawyer relationship, and c) information relating to the representation of the client is protected as required by Rule 1.6. |
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Rule 1.8: Aggregate Settlements |
Unless each client gives informed consent, a lawyer representing more than one client shall not participate in an aggregate settlement of the claims of or against the clients, or in a criminal case an aggregated settlement as to a nolo contendre or guilty plea, signed and confirmed in writing. |
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Rule 1.9; Duties to former clients |
A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing. * Substantial relation is a matter of interpretation; generally common legal issues but the better analysis is "fact-based." |
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Rule 1.9: Duties to former clients |
A lawyer shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client; a) whose interests are materially adverse to that person; and b) about whom the lawyer had acquired information protected by rules 1.6 and 1.9(c) that is material to the matter, unless the former client gives informed consent, confirmed in writing. If this is the case, the attorney shall not use the information to the disadvantage of the former client except as permitted or required. |
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Rule 1.10
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Imputation of Conflicts of Interest: Lawyers who are associated in a firm shall not knowingly represent a client when any individual lawyer would be prohibited, unless; a) The prohibition is based on a personal interest of the disqualified lawyer and does not present a significant risk of materially limiting the representation of the client by the remaining lawyers b) The prohibition is based on rule 1.9 (a) or (b) and arises out of the disqualified lawyer's association with a prior firm, and i) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee, and ii) Written notice is promptly given to any affected former client to enable the former client to ascertain compliance with the rule, iii) certification of compliance with these rules and the methods of "screening" are provided to the former client by the screened lawyer and a partner of the firm at reasonable intervals upon the former client's written request and upon termination of the screening procedures.
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Rule 1.10
B |
A firm that has terminated association with an imputed attorney is only prevented from representing persons whose interests are materially adverse to a client represented by the formerly associated lawyer, if; a) the matter is the same or substantially related to the formerly associated lawyer's representation; and b) any lawyer remaining in the firm has information protected by rules 1.6 and 1.9(c) that is material to the matter. * disqualification is waivable by the client. * disqualification of former government lawyers is governed by Rule 1.11 |
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"Reasonable Fees" Factors |
The "reasonableness factors" of a fee: 1. The time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly 2. The likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer 3. The fee customarily charged in the locality for similar legal services 4. The amount involved and the results obtained 5. The time limitations imposed by the client or by the circumstances 6. The nature and length of the professional relationship with the client 7. the experience, reputation, and ability of the lawyer or lawyers performing the services, and 8. Whether the fee is fixed or contingent. |
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Rule 1.5 Communication to the client |
The scope of the representation and the basis or expenses for which the client will be responsible shall communicate to the client, preferably in writing before or within a reasonable time after commencing the representation, except when the lawyer regularly represents the client on the same basis or rate But there, any changes in the basis or rate of the fee or expenses shall be communicated to the client. |
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Rule 1.5: Contingency Fees |
A fee may be contingent on the outcome of the matter except as prohibited by these rules or other law. A contingency fee shall be in writing signed by the client and shall state the method by which the fee is to be determined, including the percentage that shall accrue to the lawyer in the event of settlement, trial, or appeal; litigation and other expenses to be deduced from the recovery; and whether such expenses are to be deducted before or after the contingency fee is deducted. |
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Conclusion of Contingency Fee Matters |
Upon the conclusion of a contingent matter, the lawyer must provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination. |
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Rule 1.5; Lawyer Prohibitions |
A lawyer shall not enter into an arrangement for, charge, or collect: a) any fee in a domestic relations matter, the payment or amount of which is contingent upon the securing of a divorce or upon the amount of alimony or support, or property settlement in lieu thereof; or b) a contingent fee for representing a defendant in a criminal case. |
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Rule 1.5; Division of Fees |
Division of fees with lawyers who are not in the same firm is possible only if; a) the division is in proportion to the services performed by each lawyer or each lawyer assumes joint responsibility for the representation; b) the client agrees to the arrangement, including the share each lawyer will receive, and the agreement is confirmed in writing; and c) the total fee is reasonable |
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Rule 1.8; Specific Rules in regards to Current Clients |
A lawyer shall not a) make an agreement prospectively limiting the lawyer's liability to a client for malpractice unless the client is independently represented in making the agreement; or b) settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith. |
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Rule 1.15 Safekeeping Property |
A lawyer shall hold property of clients or third persons that is in a lawyer's possession in connection with a representation separate from the lawyer's own property. Funds shall be kept in a separate account maintained in the state where the lawyer's office is situated, or elsewhere with the consent of the client. Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period of (5 years) after termination of the representation. |
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Safekeeping a client's property (Trust accounts) |
A lawyer may deposit the lawyer's own funds in a client trust account for the sole purpose of paying bank service charges on that account, but only in an amount necessary for that purpose. |
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Safekeeping a client's property (earning pay) |
A lawyer shall deposit into a client trust account legal fees and expenses that have been paid in advance, to be withdrawn by the lawyer only as fees are earned or expenses incurred. |
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Safekeeping a client's property; Notification |
Upon receiving funds or other property in which a client or third person has an interest, a lawyer shall promptly notify that party. Except as stated in this rule, permitted by law, or by agreement with the client, a lawyer shall promptly deliver any funds or other property that the party is entitled to receive and, upon request by the client or third party, shall promptly render a full accounting regarding such property. |
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Rule 1.15: Contested property
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When in the course of representation a lawyer is in possession of property in which more than one person claims an interest, even the attorney, the property shall be kept separate by the lawyer until the dispute is resolved. The lawyer shall promptly distribute all portions of the property as to which their are no disputed interests.
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Rule 1.8: Business Transactions with Clients |
A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless; a. the transaction and terms are fair an reasonable to the client and fully disclosed and transmitted in writing in a manner the client can understand b. the client is advised in writing of the desirability of seeking the advice of independent counsel and is given a reasonable opportunity to seek such advice c. the client gives informed consent, in a signed writing by the client to the essential terms and the lawyer's role in the transaction, including whether the lawyer is representing the client. |
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Rule 1.8: Exceptions |
A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of a client, except"; a. may acquire a lien authorized by law to secure the lawyer's fee or expenses, and; b. contract with a client for a reasonable contingent fee in a civil case. |
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Rule 1.8: Coitus |
A lawyer shall not have sexual relations with a client unless a consensual sexual relationship existed between them when the client-lawyer relationship commenced |
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Rule 1.8: Imputation |
While lawyers are associated in a firm, a prohibition that applies to any one shall apply to all of them. |
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Rule 1.17: sale of a law practice "conditions" |
Need to be met to allow the sale or purchase of a practice, to include "good will"; 1. the seller ceases to engage in the private practice of law, or in the area the firm is sold in 2. the entire practice or the entire area of practice is sold to one or more lawyers or law firms 3. the seller gives written notice to each of the seller's clients 4. the fees charged clients shall not be increased by the sale |
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Rule 1.8: Unreasonable Fees |
Paying Fees in sex is inherently unreasonable |
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Rule 1.17: information to be provided to clients by an attorney who wishes to sell their practice |
1. the proposed sale; 2. the client's right to retain other counsel or to take possession of the file, and; 3. the fact that the client's consent to the transfer of the client's files will be presumed if the client does not take any action or does not otherwise object within ninety days of receipt of the notice. If a client cannot be given notice, the representation of that client may be transferred to the purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may disclose to the court "in camera" information relating to the representation only to the extent necessary to obtain the order authoring the transfer of the client's file. |
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Rule 1.11 |
Special conflicts of interest for Former and Current Government officers and employees |
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Rule 1.11: definitions |
Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government: a. is subject to Rule 1.9(c), and; b. shall not otherwise represent a client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate government agency gives its informed consent, confirmed in writing, to the representation. |
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Rule 1.11: Imputation |
When a lawyer is disqualified from representation, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter unless: a. the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom, and; b. written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with this rule. |
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Rule 1.11: Knowledge from former employment |
Except as otherwise expressly permitted, a lawyer having information which the lawyer knows is confidential government information acquired from the lawyer's former employment as a public officer, may not represent a private client whose interests are adverse to the "known" party in a matter the information could be used to the material disadvantage of that person |
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Rule 1.11: Prohibitions |
Except as law may otherwise expressly permit, a lawyer currently serving as a public oficer or employee; a. is subject to Rules 1.7 and 1.9, and; b. shall not; 1. participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment unless the apprpriate government agency gives its informed consent, confirmed in writing, or; 2. negotiate for private employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially, except that a lawyer serving as a law clerk to a judge, other adjucicative officer or arbitrator may negotiate for private employment as permitted by Rule 1.12(b) and subject to the conditions stated in that rule. |
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Rule 1.11:"matter" |
As used in this rule, the term "matter" includes;' a. any judicial or other proceeding, application, request for a ruling or other determination, contract, claim controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties, and b. any matter covered by the conflict of interest rules of the appropriate government agency. |
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Rule 2.1 |
Lawyer as "Counselor" Advisor - in representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice a lawyer may refer not only to law but to other considerations such as moral, economic, social, and political factors that may be relevant to the client's situation |
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Rule 2.3 |
Evaluation for use by third persons: A lawyer may provide an evaluation of a matter affecting a client for the use of someone other than the client if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer's relationship with the client. When the lawyer knows or reasonably should know that the evaluation is likely to afect the client's interests materially and adversely, the lawyer shall not provide the evaluation unless the client gives informed consent. Except as disclosure is authorized in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by Rule 1.6 |
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Rule 2.4 |
Lawyer serving as a third-party neutral: A lawyer serves as a third-party neutral when the lawyer assists two or more persons who are not clients of the lawyer to reach a resolution of a dispute or other matter that has arisen between them. Service as a third-party may include service as an arbitrator, a mediator, or in such other capacity as will enable the lawyer to assist the parties to resolve the matter. A lawyer serving as a third-party neutral shall inform unrepresented parties that the lawyer is not representing them. When the lawyer knows or reasonably should know that a party does not understand the lawyer's role in the matter, the lawyer shall explain the difference between the roles of third-party neutral and a lawyer who is representing a client |
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Rule 3.1 |
Meritorious Claims and Contentions: A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law. A lawyer for a criminal defendant or a respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established. |
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Rule 3.2 |
Expediting Litigation; A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of the clients |
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Rule 3.3: Prohibitions |
Candor towards the tribunal, A lawyer shall not knowingly: a. make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer; b. fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or c. offer evidence that the lawyer knows to be false. If a lawyer, the lawyer's client, or a witness called by the lawyer, has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyer reasonably believes is false. |
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Rule 3.3: Duties |
A lawyer who represents a client in an adjudicative proceeding and who knows that a person intends to engage, is engaging, or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. The duties continue to the conclusion of the proceeding and apply even if compliance requires disclosure of information otherwise protected by Rule 1.6. An an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse. |
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Rule 3.4 |
Fairness to Opposing Party and Counsel A lawyer shall not; 1. unlawfully obstruct another party's access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act; 2. falsify evidence; counsel or assist a witness to testify falsely, nor offer and inducement to a witness that is prohibited by law. 3. knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists; 4. make a frivolous discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request by opposing party, in a pretrial procedure; 5. at trial, allude to any matter that the lawyer does not reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witnesss, the culpability of a civil litigant or the guilt or innocence of an accused, or; 6. request a person other than a client to refrain from voluntarily giving relevant information to another party unless; a) the person is a relative or an employee or other agent of a client, and; b) the lawyer reasonably believes that the person's interests will not be adversely affected by refraining from giving such information |
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Rule 3.5 |
Impartiality and Decorum; A lawyer shall not; 1. seek to influence a judge, juror, prospective juror or other official by means prohibited by law 2. communicate with a juror or prospective juror after discharge of the jury if; a. the communication is prohibited by law or court order; b. the juror has made known to the lawyer a desire not to communicate, or; c. the communication involves misrepresentation, coercion, duress, or harassment, or; d. engage in conduct intended to disrupt a tribunal |
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Rule 3.6; Public communication |
A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter |
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Rule 3.6: Exceptions |
A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter.Notwithstanding paragraph (a), a lawyer may state:
1. the claim, offense or defense involved and, except when prohibited by law, the identity of the person involved; 2. information contained in a public record; 3. that an investigation of a matter is in progress; 4. the scheduling or result of any step in litigation; 5. a request for assistance in obtaining evidence and information necessary thereto; 6. a warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest, and; 7. in a criminal case, in addition a. the identity, residence, occupation, and family status of the acussed; b. if the accused has not been apprehended, information necessary to aid in apprehension of that person; c. the fact, time and place of arrest, and; d. the identity of investigating and arresting officers or agencies and the length of the investigation |
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Rule 3.6: mitigation of publicity |
A lawyer may make a statement that a reasonable lawyer would believe is required to protect a client from the substantial undue prejudicial effect of recent publicity not initiated by that lawyer or the lawyer's client. A statement made pursuant to this paragraph shall be limited to such information as is necessary to mitigate the recent adverse publicity. |
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Rule 3.7 |
Lawyer as Witness; i) a lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness unless; 1. the testimony relates to an uncontested issue; 2. the testimony relates to the nature and value of legal services rendered in the case, or; 3. disqualification of the lawyer would work substantial hardship on the client. A lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness unless precluded by Rule 1.7 or Rule 1.9 |
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Rule 3.8 |
Special Responsibilities of a Prosecutor The prosecutor in a criminal case shall: |
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Rule 3.8; prohibition of a criminal prosecutor |
1) refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause
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Rule 3.8; obligations of a criminal prosecutor |
Make reasonable efforts to assure that the accused has been advised of the right to, and the procedure for obtaining, counsel and has been given reasonable opportunity to obtain counsel;
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Rule 3.8; duties to unrepresented parties |
A criminal prosecutor shall not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the right to a preliminary hearing;
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Rule 3.8; Disclosure |
A criminal prosecutor shall make timely disclosure to the defense of all evidence or information known to the prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection with sentencing, disclose to the defense and to the tribunal all unprivileged mitigation information known to the prosecutor. Except when the prosecutor is relieved of this responsibility by a protective order of the tribunal |
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Rule 3.8: Qualification to subpoena a lawyer |
A prosecutor in a criminal case shall not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence about a past or present client unless the prosecutor reasonably believes: a) the information sought is not protected from disclosure by any applicable privilege; b) the evidence sought is essential to the successful completion of an ongoing investigation orprosecution, and; c) there is no other feasible alternative to obtain the information |
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Rule 3.8: Extrajudicial Comments |
Except for statements that are necessary to inform the public of the nature and extent of the prosecutor's action and that serve a legitimate law enforcement purpose, refrain from making extrajudicial comments that have a substantial likelihood of heightening public condemnation of the accused and exercise reasonable care to prevent investigators, law enforcement personnel, employees or other persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial statement that the prosecutor would be prohibited from making under Rule 3.6 or this rule. |
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Rule 3.8: duties upon knowledge of innocence |
When a prosecutor knows of new, credible and material evidence creating a reasonable likelihood that a convicted defendant did not commit an offense of which the defendant was convicted, the prosecutor shall; a) promptly disclose that evidence to an appropriate court or authority, and; b) if the conviction was obtained in the prosecutor's jurisdiction, i) promptly disclose that evidence to the defendant unless a court authorizes delay, and; ii) undertake further investigation, or make reasonable efforts to cause an investigation, to determine whether the defendant was convicted of an offense that the defendant did not commit. |
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Rule 4.1 |
Transactions with Persons Other Than clients Truthfulness in statements to Others; In the course of representing a client a lawyer shall not knowingly: 1) make a false statement of material fact to a third person, or; 2) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6. |
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Rule 4.2 |
Communication with a person represented by counsel In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order |
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Rule 4.3 |
Dealing with Unrepresented Parties In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer's role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding. The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have reasonable possibility of being in conflict with the interests of the client |
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Rule 4.4 |
Respect for the Rights of Third Persons i) In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violates the legal rights of such a person. ii) A lawyer who receives a document or electronically stored information relating to the representation of the lawyer's client and knows or reasonably should know that the document or electronically stored information was inadvertently sent shall promptly notify the sender. |
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Rule 5.1 |
Responsibility of Partners, Managers, and Supervisory Lawyers A Partner in a law firm and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct. |
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Rule 5.1 (Delegation) |
1. Teaching the legal secretaries and paralegals is subject to a higher standard, as opposed to associate attorneys because associates have taken a professional responsibility course. 2. an assigning attorney should ensure that the associate has competence to take on the task before assigning it to the associate. |
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Rule 5.1 (Conformance) |
A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct. |
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Rule 5.1 (supervisor responsibility) |
A lawyer shall be responsible for another lawyer's violation of the Rules of Pro. Cond., if; (1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or (2) the lawyer is a partner or has comparable managerial authority in the firm or has direct supervisory authority over another lawyer and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action. |
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Rule 5.2 |
Responsibilities of a Subordinate Lawyer (1) A lawyer is bound by the rules of Professional Conduct notwithstanding that the lawyer acted at the discretion of another person. (2) A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in accordance with a supervisory lawyer's reasonable resolution of an arguable question of professional duty. |
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Rule 5.3 |
Responsibilities Regarding Nonlawyer Assist. With respect to a nonlawyer employed or retained by or associated with a lawyer: (a) a partner and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person's conduct is compatible with the professional obligations of the lawyer' (b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person's conduct is compatible with the professional obligations of the lawyer, and; (c) a lawyer shall be reponsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engage in by a lawyer if; (i) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved, or; (ii) the lawyer is a partner or has comparable managerial authority in the law firm in which the person is employed or has direct supervisory authority over the person and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action. |
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Rule 6.1 |
Voluntary Pro Bono Publico Service: Every Lawyer has a professional responsibility to provide legal services to those unable to pay. A lawyer should aspire to render at least (50) hours of pro bono publico legal services per year. |
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Rule 6.1: fulfillment |
In fulfilling pro bono publico service , the lawyer should; (1) provide a substantial majority of the (50) hours of legal services without fee to; (a) persons of limited means or; (b) charitable, religious, civic, community, governmental and educational organizations in matters that are designed primarily to address the needs of persons of limited means, and; (2) provide any additional services through: (a) delivery of legal services at no fee or substantially reduced fee to individuals, groups or organizations seeking to secure or protect civil rights, civil liberties or public rights, or charitable, religious, civic, community, governmental and educational organizations in matters in furtherance of their organizational purposes, where payment of standard legal fees would significantly deplete the organization's economic resources or would be otherwise inappropriate; (b) delivery of legal services at a substantially reduced fee to persons of limited means, or; (c) participation in activities for improving the law, the legal system or legal profession.
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Rule 6.2 |
Accepting Appointment Exceptions; A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for good cause, such as; (1) representing the client is likely to result in violation of the rules of profession conduct or other law; (2) representing the client is likely to result in an unreasonable financial burden on the lawyer, or; (3) the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer's ability to represent the client. |
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Rule 6.3 Membership in a Legal Services Organization |
A lawyer may serve as a director, officer or member of a legal services organization, apart from his law practice, notwithstanding that the organization serves persons having interest adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the organization: (1) if participating in the decision or action would be incompatible with the lawyer's obligations to the client under Rule 1.7, or; (2) where the decision or action could have a material adverse effect on the representation of a client of the organizations whose interests are adverse to a client of the lawyer. |
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Rule 6.4: Law Reform Activities Affecting Clients |
A lawyer may serve as a director, officer or member of an organization involved in reform of the law or its administration notwithstanding that the reform may affect the interests of a client of the lawyer. When the lawyer knows that the interests of a client may be materially benefited by a decision in which the lawyer participates, the lawyer shall disclose that fact but need not identity the client. |
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Rule 6.5 |
Unauthorized Practice of Law: An attorney cannot aid the unauthorized practice of law |
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Rule 5.5 |
Unauthorized Practice of Law (1) a lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction, or assist another in doing so. (2) a lawyer who is not admitted to practice in this jurisdiction shall not; (a) except as authorized by these Rules or other law, establish an office or other systematic and continuous presence in this jurisdiction for the practice of law, or; (b) hold out to the public or otherwise represent that the lawyer is admitted to practice law in this jurisdiction. |
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Rule 7.1: Communications Concerning a Lawyer's Services |
i) A lawyer shall not make a false or misleading communication about the lawyer or the lawyer's services. A communication is false or misleading if it contains material misrepresentation of fact or law, or omits a fact necessary to make the statement, considered as a whole, not materially misleading. |
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Rule 7.2 Advertising |
i) subject to the requirements of Rules 7.1 and 7.3, a lawyer may advertise services through written, recorded, or electronic communication, including public media. ii) A lawyer shall not give anything of value to a person for recommending the lawyer's services except that a lawyer may; 1) pay reasonable costs of advertisements or communications permitted by this Rule; 2) pay the usual charges of a legal service plan or a not-for-profit or qualified lawyer referral service that has been approved by an appropriate regulatory authority; (3) pay for a law practice in accordance with Rule 1.17, and; (4) refer clients to another lawyer or a non-lawyer professional pursuant to an agreement not otherwise prohibited under these rules that provides for the other person to refer clients or customers to the lawyer, if; (a) the reciprocal referral agreement is not exclusive, and; (b) the client is informed of the existence and nature of the agreement |
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Rule 7.3 Direct Contact with Prospective Clients |
a) A lawyer shall not by in-person, live telephone or real-time electronic contact to solicit professional employment when a significant motive for the lawyer's doing so is the lawyer's pecuniary gain, unless the person contacted: i) is a lawyer, or; ii) is family, or a close personal, or prior professional relationship with the lawyer |
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7.3 Direct Contact with Prospective Clients
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A lawyer shall not solicit professional employment by written, recorded, or electronic communication or by in-person telephone or real-time electronic contact even when not otherwise prohibited if; (i) the target of the solicitation has made known to the lawyer a desire not to be solicited by the lawyer, or; (ii) a solicitation involves coercion, duress or harassment. |
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Rule 7.3 Direct Contact with Prospective Clients |
Every written, recorded or electronic communication from a lawyer soliciting professional employment from anyone known to be in need of legal services in a particular matter shall include the words "Advertising Material" on the the outside envelope, if any, and at the beginning and ending of any recorded or electronic communication, unless the recipient of the communication is a lawyer or is family, or has a close personal, or professional relationship with the lawyer. |
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Rule 7.3 Direct Contact with Prospective Clients |
Notwithstanding the other prohibitions, the lawyer may participate with a prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses in-person or telephone contact to solicit membership or subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan. |
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Rule 7.4 Communication of fields of practice & specialization |
(a) A lawyer may communicate the fact that the lawyer does or does not practice in a particular field of law. (b) A lawyer admitted to engage in a patent practice before the U.S. Patent & Trademark Office may use the designation "patent attorney" or a substantially similar designation (c) A lawyer engaged in Admiralty practice may use the designation "Admiralty" (d) A lawyer shall not state or imply that a lawyer is certified in a specialized field of law, unless; (i) the lawyer has been certified as a specialist by an organization that has been approved by an appropriate state authority or that has been certified by the ABA, and; (ii) the name of the certifying organization is clearly identified in the communication. |
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Rule 7.5 Names and Letterhead |
Firm names and letterhead A lawyer shall not use a firm name, letterhead or other professional designation that violate Rule 7.1. A trade name may be used by a lawyer in private practice if it does not imply a connection with a government agency or with a public or charitable organization and is not in violation of Rule 7.1. |
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Rule 7.5 Multi-Jurisdiction |
A law firm with offices in more than one jurisdiction may use the same name or other professional destination in each jurisdiction, but identification of the lawyers in an office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located |
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Rule 7.5 Political Office |
The name of a lawyer holding a public office shall not be used in the name of a law firm, or in communications on its behalf, during any substantial period in which the lawyer is not actively and regularly practicing with the firm. A lawyer may state or imply that they practice in a partnership or other organization only when that is the fact |
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Rule 7.6 Political Contributions to Obtain Legal Engagements or Appointments by Judges |
A lawyer or law firm shall not accept a government legal engagement or an appointment by a judge if the lawyer or law firm makes a political contribution or solicits political contributions for the purpose of obtaining or being considered for that type of legal engagement or appointment. |
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Rule 8 |
Maintaining the Integrity of the Profession (1) Malpractice v. Discipline |
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Malpractice v. Discipline |
(i) Malpractice is when you fail to do your job as an attorney that results in an injury to a client, such as; ignoring a conflict of interest, suing former clients, accepting any client (without vetting them), "doing business" with a client, uncontrolled opening of branches and making lateral hires, leaving partner peer review to other firms, ignoring a potential claim and representing yourself in professional liability, settling a matter without a written authorization, practicing outside your area of expertise, failing to communicate with a client, lying to a client about the status of the case (ii) Discipline is when you have action against you. Results in a disciplinary action but no malpractice. |
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Rule 8.3 |
Reporting Professional Misconduct (1) A lawyer who knows that another lawyer has committed a violation of the Rules that raises a substantial question as to that lawyer's honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate professional authority (2) A lawyer who knows that a judge has committed a violation of applicable rules of judicial conduct that raises a substantial question as to the judge's fitness for office shall inform the appropriate authority (3) This rule does not require disclosure of information otherwise protected by Rule 1.6 or information gained by a lawyer or judge while participating in an approved lawyers assistance program. |
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Rule 8.4 |
It is professional Misconduct to; (1) Violate or attempt to violate the Rules of PR, knowingly assist or induce another to do so, or do so through the acts of another. (2) Commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects (3) Engage in conduct involving dishonesty, fraud, deceit or misrepresentation (4) Engage in conduct that is prejudicial to the administration of justice. (5) State or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of PR or other law, or (6)Knowingly assist a lawyer or judicial officer in conduct that is a violation of the applicable rules or judicial conduct or other law. |
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Rule 8.5 Disciplinary Authority |
A lawyer admitted to practice in the jurisdiction is subject to the disciplinary authority of the jurisdiction, regardless of where the misconduct occurred. Lawyers who have not been admitted in the jurisdiction are also subject to discipline there if the lawyer provides or offers to provide legal services in that jurisdiction. Thus, a lawyer may be subject to discipline in multiple jurisdictions. |
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Rule 1.1 |
Compliance with the Law A judge shall comply with the law, including the Code of Judicial Conduct |
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Rule 1.2 |
Promoting Confidence in the Judiciary: A judge shall act at all times in a manner that promotes public confidence in the independence, integrity, and impartiality of the judiciary, and shall avoid impropriety and the appearance of impropriety. |
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Rule 1.3 |
Avoiding Abuse of Prestige of Judicial Office: A judge shall not abuse the prestige of judicial office to advance the personal or economic interests of the judge or others, or allow others to do so. |
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Rule 2.1 |
Giving Precedence to the Duties of Judicial Office: The duties of judicial office, as prescribed by law, shall take precedence over all of the judge's personal and extrajudicial activities. |
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Rule 2.3 Bias, Prejudice, and Harassment |
i) A judge shall perform the duties of judicial office, including administrative duties, without bias or prejudice. ii) A judge shall not in the performance of judicial duties, by words or conduct, manifest bias or prejudice, or engage in harassment, including but not limited to bias, prejudice, or harassment based upon race, sex, gender, religion, national origin, ethnicity, and shall not permit court staff, court officials, or others subject to judge discretion and control to do so. iii) A judge shall require lawyers in proceedings before the court to refrain from manifesting bias or prejudice, or engaging in harassment based on race, sex, gender, religion, national origin, or ethnicity. |
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Rule 2.4 External Influences on Judicial Conduct |
i) A judge shall not be swayed by public clamor or fear of criticism ii) A judge shall not permit family, social, political, financial or other interests or relationships to influence the judge's judicial conduct or judgment. iii) A judge shall not convey or permit others to convey the impression that any person or organization is in a position to influence the judge. |
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Rule 2.7 |
Responsibility to Decide A judge shall hear and decide matters assigned to the judge, except when disqualification is required by Rule 2.11 or other law. |
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Rule 2.8 |
Decorum, Demeanor, and Communications i) A judge shall require order and decorum in proceedings before the court. ii) A judge shall be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, court staff, court officials, and others with whom the judge deals in an official capacity, and shall require similar conduct of lawyers, court staff, court officials, and others subject to the judge's direction and control. |
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Rule 2.9 Ex Parte Communications |
A judge Shall Not initiate, permit, or consider ex parte communications, or consider other communications made to the judge outside the presence of the parties or their lawyers, concerning a pending or impending matter, except; |
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Rule 2.9 Scheduling exception |
When circumstances require it, ex parte communication for scheduling, administrative, or emergency purposes, which does not address substantive matters is permitted, provided; a) The judge reasonably believes that no party will gain a procedural, substantive, or tactical advantage as a result of the ex parte communication, and; b) The judge makes provision promptly to notify all other parties of the substance of teh ex parte communication and gives the parties a chance to respond. |
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Rule 2.9 Advice exception |
A judge may obtain the written advice of a disinterested expert on the law applicable to a proceeding before the judge, if the judge gives advance notice to the parties of the person to be consulted and the subject matter of the advice to be solicited and affords the parties a reasonable opportunity to object and respond to the notice and advice received. |
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Rule 2.9 Court staff exception |
A judge may consult with court staff and court officials whose functions are to aid the judge in carrying out the judge's adjudicative responsibilities, or with other judges, provided the judge makes reasonable efforts to avoid receiving factual information that is not part of the record, and does not abrogate the responsibility personally to decide the matter. |
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Rule 2.9 Judge initiated communications |
A judge may, with the consent of the parties, confer separately with the parties and their lawyers in an effort to settle matters pending before the judge. |
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Rule 2.9 |
A judge may initiate, permit, or consider an ex parte communication when expressly authorized by law, such as; a) If a judge inadvertently receives an unauthorized ex parte communication bearing upon the substance of a matter, the judge shall make provision promptly to notify the parties of the substance of the communication and provide the parties with an opportunity to respond. b) A judge shall not investigate facts in a matter independently and shall consider only the evidence presented and any facts that may properly be judicially noticed. c) A judge shall make reasonable efforts, including providing appropriate supervision, to ensure that this Rule is not violated by court staff, court officials, and others subject to the judge's direction and control. |
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Rule 3.2 Appearances before Governmental Bodies and Consultation with Government officials |
A judge shall not appear voluntarily at a public hearing before, or otherwise consult with, an executive or a legislative body or official, unless; (1) In connection with matters concerning the law, the legal system, or the administration of justice; (2) In connection withe matters about which the judge acquired knowledge or expertise in the course of the judge's judicial duties, or; (3) When the judge is acting pro se in a matter involving the judge's legal or economic interests, or when the judge is acting in a fiduciary capacity. |
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Rule 3.7 Participation in Educational, Religious, Charitable, Fraternal, or Civic Organizations and Activities |
Subject to the requirements of Rule 3.1, a judge may participate in activities sponsored by organizations or governmental entities concerned with the law, the legal system, or the administration of justice, and those sponsored by or on behalf of educational, religious, charitable, fraternal, or civic organizations not conducted for profit, including but not limited to the activities listed in this rule; |
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Rule 3.7 Judge participation activities |
(1) Assisting such an organization or entity in planning related to fund-raising and participation in the management and investment of the organization's or entity's funds; (2) Soliciting contributions for such an organization or entity but only from members of the judge's family or from judges over whom the judge does not exercise supervisory or appellate authority; (3) Soliciting membership for such an organization or entity, even though the membership dues or fees generated may be used to support the objectives of the organization or entity, but only if the organization or entity is concerned with the law, the legal system, or the administration of justice; (4) Appearing or speaking at, receiving an award or other recognition at, being featured on the program of, and permitting his or her title to be used in connection with an event of such an organization or entity, but if the event serves a fund-raising purpose, the judge may participate only if the event concerns the law, the legal system, or the administration of justice; (5) Making recommendations to such a public or private fund-granting organization or entity in connection with its programs and activities, but only if the organization or entity is concerned with the law, the legal system, or the administration of justice, and; (6) Serving as an officer, director, trustee, or nonlegal advisor of such an organization or entity, unless it is likely that the organization or entity: (a) will be engaged in proceedings that would ordinarily come before the judge, or; (b) will frequently be engaged in adversary proceedings in the court of which the judge is a member, or in any court subject to the appellate jurisdiction o the court of which the judge is a member. |
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Rule 3.7 Encouragement of Pro Bono |
A judge may encourage lawyers to provide pro bono publico legal services |
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Rule 4.1 Political Campaign Activities |
(i) A judicial candidate subject to public election may establish a campaign committee to manage and conduct a campaign for the candidate, subject to the provisions of this code. |
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Rule 4.1 Political Campaign Duties |
A judicial candidate subject to public election shall direct their campaign committee: (1) To solicit and accept only such campaign contributions as are reasonable in any event, not to exceed, in the aggregate (an amount) from any individual or (an amount) from any entity or organization; (2) Not to solicit or accept contributions for a candidate's current campaign more that (an amount) before the applicable primary election, caucus, or general or retention election, nor more than (an amount) of days after the last election in which the candidate participated and; (3) To comply with all applicable statutory requirements for disclosure and divestiture of campaign contributions and to file with the appropriate authority a report stating the name, address, occupation, and employer of each person who has made campaign contributions to the committee in an aggregate value exceeding (an amount). The report must be filed within (number) days following an election, or within such other period as is provided by law. |
