Professional Responsibility

Front 1

Contingency Fees

Back 1

Under the NY rules of Professional conduct, a contingent fee agreement (where the lawyers fee is dependent on success of the action) MUST be in writing. Wrting signed by client and discloses basis of fee calculation. CONTINGENT FEE AGREEMENTS ARE PROHIBITED IN CRIMINAL CASES AND DOMESTIC RELATIONS CASES. Including cases for past due alimony and child support, unless for recovery of post judgement balances.

Front 2

Attorney taking a mortgage on a marital home to secure legal fees

Back 2

under Ny rules of prof conduct.. Lawyer shall not entter into an arrangment for charge or collect any fee in a domesic relations matter if written retainer includes security interest or lien without prior notice to client. Notice in signed retainer agreement & approved by tribunal. Lawyer shall not foreclose on mortgage placed on marital residence while spoise who consesnts to the mortgage remains titleholder and residence remains spouse primary residence.

Front 3

Retainer Agreements :Special rules Domestic Relations case

Back 3

Under NY law an attorney in DR matters is obligated to

1. Provide statement of clients rights & respons

2. written engagement letter signed by client and attorney that sets forth nature of relationship and details of fee arrangement.

3. Provide client with itemized closing statement when rep end.

NON REFUNDABLE RETAINER AGREEMENTS PROHIBITED!

Front 4

Non Refundable Retainers

Back 4

Under NY rules of Professional conduct, UNLESS attorney is hired on a retainer basis to be ready to represent and assist at all times on instant notice(Availability retainer) , an attorney may not keep fees for work not performed. Clients can advance fees but must be kept by attorney in separate account & withdrawals made only on completion of work. In addition the attorney must provide engagement letter indicating rep and disbursement of fees.

Front 5

Payment of Referral Fee

Back 5

Under NYPC , referral fees are STRICTLY PROHIBITED. an attorney CANNOT enter into referral fee arrangement with a non attorney , even if the non lawyer is an employee in the law firm (paralgeal) HOWEVER attoney may share legal fees with outside attorney IF

1. Division in proportion of services

2. client agrees to employment of other lawyer after full disclosure of fee division - this is confirmed in writing AND

3. Total fee not excessive

A LAWYER CAN HAV A RECIPROCAL REFERRAL AGREEMENT WITH LAWYER OR NON LAWYER AS LONG AS NOT EXLUSIVE & NO FEES SHARED.

Front 6

Excessive Fees

Back 6

a lawyer shall not charge or collect an excessive fee.

reasonable lawyer standard.

discretionary factors eg. will it preclude other employment by lawyer etc.

Front 7

Letter of Engagement

Back 7

Under NYPC, fee over $3000 , agreement MUST be in writing. writing must disclose basis of fee calculation, any expenses client is responsible for, scope of rep, and right of client to settle disputes through arbitration. NO NEED FOR WRITING IF between lawer and current client who performed services for in past.

Front 8

Conlflicts of of interest

Back 8

A lawyer faces COI if a matter is likely to involve issues in which the clients interests will be opposed to the lawyers personal interests, his business interests or the interests of another previous or current client.

Front 9

Conlflicts of of interest cont.

Back 9

If there is a conflict, a lawyer may not represent the client for the matter UNLESS

1. L explains conflict, material facts and potential consequences to client and the client AGREES in WRITING to cont. rep AND a reasonably prudent lawyer would accept the case despite conflict.

MAY NEVER rep 2 client if rep involves assertion of a claim by 1 against the other in SAME litigation or other proceeding before a tribunal.

Front 10

Conflict of Interest :Gift from client

Back 10

Under NYPC, L shall not solicit any gift frin a client(inc testamentary) or prepare will or other instrument on behalf of client giving L(or person related to L) gift UNLESS

1. L or recipient is RELAted to client

2. reasonable L would conclude transaction Fair and reasonable.

Front 11

Lawyer representing Corporation

Back 11

Owes duties to corp itself not shareholders etc. Thus he acts in best interest of CORP

Front 12

Business Transactions with clients

Back 12

Under NYPC, lawyer may NOT enter into a business transaction UNLESS :

1. transaction is Fair and reasonable to client

2. L advises client to seek ind. legal counsel for trans AND

3. client gives informed consent, signed writing to essential terms of transaction.

Front 13

Duty to Inform Client of Plea deal/settlement

Back 13

Under NYPC, attorneys obligated to inform clients of EVERY plea or settlement offer. Decision left with client NOT procedural!

Front 14

Communication with a represented person

Back 14

Under NYPC, where attorney KNOWS person is rep by counsel in a mtter, it is disciplinary violation for attorney to speak to that person regarding the matter UNLESS has permission of others attorney.

Front 15

Conduct before Tribunal

Back 15

Under NYPC, lawyer has duty of candor to tribunal.

SHALL NOT KNOWINGLY

1. Make false statement of fact/law

2. fail to correct false statement of material fact previously made by L

3. offer or use evidence he knows to be false

Front 16

Conduct before Tribunal Cont.

Back 16

If L REASONABLY BELIEVES evidence or testimony is false, L may refuse to offer such evidence. HOWEVER in crim matter, L cannot refuse to offer testimony of a D even if L reasonably believes it to be false. If L, client or witness has offered material evidence and comes to know of falsity, L shall take reasonable remedial measure, including if necessary , discolsure to court.