I.

THE REGULATION OF LAWYERS:

a. Rule 8.1 – Bar Admission and Disciplinary Matters:
i. Applicant for admission to the bar, or a lawyer in connection with an
admission or disciplinary matter, shall not:
1. Knowingly make a false statement of material fact (8.1(a)), or
a. Here and elsewhere, “knowingly” requires actual knowledge, but
b. Actual knowledge may be inferred from circumstances (1.0(f)).
2. Fail to disclose a fact necessary to correct a misapprehension known by the
person to have arisen in the matter (8.1(b)), or
3. Knowingly fail to respond to a lawful demand for information from an
admissions or disciplinary authority (8.1(b)).
4. UNLESS the information is protected by Rule 1.6
ii. Suspension or termination of a license to practice law:
1. An attorney’s license may be terminated or suspended for:
a. Violating substantive rules,
b. Assisting, inducing, or using the acts of another person to violate a rule,
c. Engaging in conduct or committing a crime that shows dishonesty,
untrustworthiness, or unfitness to practice law.
d. All attorneys licensed in a state may be subject to discipline by that state’s
bar, even for acts committed outside the state
b. Preamble (Pmbl. 4):
i. In all professional functions a lawyer should be:
1. Competent, prompt, and diligent.
c. Rule 5.5 – Unauthorized Practice Of Law; Multijurisdictional Practice Of
Law
i. (a) 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.
d. Rule 8.4 – Professional Misconduct:
i. It is professional misconduct for a lawyer to:
1. (a) violate or attempt to violate the Rules, knowingly assist or induce
another to do so, or do so through the acts of another;
2. (b) commit a criminal act that reflects adversely on the lawyer's honesty,
trustworthiness or fitness as a lawyer in other respects;
3. (c) engage in conduct involving dishonesty, fraud, deceit or
misrepresentation;
4. (d) engage in conduct that is prejudicial to the administration of justice;
5. (e) state or imply an ability to influence improperly a government agency
or official or to achieve results by means that violate the Rules; or
6. (f) Knowingly assist a judge or judicial officer in conduct that is a violation
of applicable rules of judicial conduct or other law.
II. LAWYER LIABILITY:
a. Rule 5.1 & 5.3 – Responsibilities of a Partner or Supervisory Lawyer over
other Lawyers and Non-Lawyers in the firm:
i. (a) A partner in a law firm, shall make reasonable efforts to ensure that the firm
has in effect measures giving reasonable assurance that all lawyers and non-
lawyers (5.3(a)) in the firm conform to the Rules.

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 ii. (b) A lawyer having direct supervisory authority over another lawyer shall make
reasonable efforts to ensure that the other lawyer and non-lawyer (5.3(b))
conforms to the Rules.
iii. (c) A lawyer shall be responsible for another lawyer's or non-lawyer’s
(5.3(b)) violation of the Rules 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 direct supervisory authority over the other
lawyer, and knows of the conduct at a time when its consequences can be
avoided or mitigated but fails to take reasonable remedial action
b. Rule 5.2 – Responsibilities of a Subordinate Lawyer:
i. (a) A lawyer is bound by the Rules even when acting at the direction of
another person.
ii. (b) However, a subordinate lawyer does not violate the Rules if that lawyer acts in
accordance with a supervisory lawyer's reasonable resolution of an arguable
question of professional duty.
c. Rule 8.3 – Reporting Misconduct by Other Lawyers:
i. (a) A lawyer who knows that another lawyer has committed a violation of
the Rules that raises a substantial question to that lawyer’s honesty,
trustworthiness or fitness as a lawyer in other respects, shall inform the
appropriate professional authority.
1. CA – No duty to report other lawyers’ misconduct
ii. (b) 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.
iii. (c) 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.
iv. CA – No duty to report other lawyers’ misconduct.

III. RELATIONSHIPS BETWEEN LAWYER & CLIENTS:

a. A/C Relationship created when:
i. A person seeks and receives legal advice from an attorney in circumstances in
which a reasonable person would rely on such advice.
b. Safeguards:
i. Not state an opinion about whether there is a viable claim
ii. Tell the person you are not the right lawyer for the job
iii. Encourage the person to seek advice from another lawyer
iv. Not promise to consult another lawyer to confirm his advice\send a letter after the
meeting to confirm that you will not represent the person and to remind them to
seek advice from another lawyer.
c. Rule 1.1 – Competence:
i. A lawyer shall provide competent representation to a client. Competent
representation requires the legal knowledge, skill, thoroughness and
preparation reasonably necessary for the representation.
ii. If not competent, must become competent, if this can be done without undue
expense and delay to the client
1. Consult with competent counsel in the field; or

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 2. With the client’s consent, associate competent counsel
3. Temporary exception for emergency situations.
iii. Emergencies: In emergencies a lawyer is allowed to disregard the rules of
competence.
d. Rule 1.2 – Scope of Representation:
i. (a) Client controls goals of representation (incl. accepting or rejecting
settlement offers, pleading guilty);
1. Lawyer controls the means: strategic and tactical decisions are made by
the lawyer after consultation with the client
2. A lawyer shall abide by a client's decision whether to settle a matter. In a
criminal case, the lawyer shall abide by the client's decision, after consultation
with the lawyer, as to a plea to be entered, whether to waive jury trial and
whether the client will testify.
a. Lawyer should defer to the client’s wishes where the decision involves
expense to the client or well-being of a third person.
ii. (b) Lawyer may represent a client whose views or activities are in conflict with,
or even repugnant to, those of the lawyer.
iii. (d) A lawyer shall not counsel a client to engage, or assist a client, in
conduct that 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.
e. Rule 1.3 – Diligence:
i. A lawyer shall act with reasonable diligence and promptness in representing a
client.
f. Rule 1.4 – Communication:
i. (a) A lawyer shall:
1. (1) promptly inform the client of any decision or circumstance with respect
to which the client's informed consent, as defined in Rule 1.0(e), is required by
these Rules;
2. (2) reasonably consult with the client about the means by which the
client's objectives are to be accomplished;
3. (3) keep the client reasonably informed about the status of the matter;
4. (4) promptly comply with reasonable requests for information; and
5. (5) consult with the client about any relevant limitation on the lawyer's
conduct when the lawyer knows that the client expects assistance not permitted
by the Rules or other law.
ii. (b) A lawyer shall explain a matter to the extent reasonably necessary to
permit the client to make informed decisions regarding the representation.
g. Rule 1.6 – Confidentiality of Information:
i. (a) A lawyer shall NOT reveal information relating to representation of a client
UNLESS:
1. The client gives informed consent,
2. The disclosure is impliedly authorized in order to carry out the
representation, or
3. The disclosure is permitted by paragraph (b) (lays out exceptions)
ii. (b) A lawyer may reveal information revealing to the representation of a client to
the extent the lawyer reasonably believes necessary (exceptions):

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 1. (1) To prevent reasonably certain death or substantial bodily harm;
a. Disclosure permitted, but not required
2. (2 & 3) say: if a client is involved in a present, past, or future crime or fraud
that will cause substantial financial harm or harm to property of another,
and
a. The lawyer’s services have been used or are being used to assist the
crime or fraud, and
b. The lawyer can prevent the crime or fraud or reduce or stop the harm
from it by revealing it,
c. Then the lawyer may reveal confidential information to do so.
3. (4) to secure legal advice about the lawyer’s compliance with these rules;
4. (5) To establish a claim or defense 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;
5. (6) to comply with other law or a court order; or
6. (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.
iii. (c) A lawyer shall make reasonable efforts to prevent the inadvertent or
unauthorized disclosure of, or unauthorized access to, information relating to the
representation of a client.
iv. NOTE – the duty of confidentiality does NOT terminate with the termination of the
lawyer-client relationship.
h. Rule 1.16 – Declining Or Terminating Representation:
i. (a) Except as stated in paragraph (c), a lawyer shall NOT represent a client or,
where representation has commenced, shall withdraw from the
representation of a client if:
1. (1) the representation will result in violation of the rules or other law;
2. (2) the lawyer's physical or mental condition materially impairs the
lawyer's ability to represent the client; or
3. (3) the lawyer is discharged.
ii. (b) Except as stated in paragraph (c), a lawyer MAY withdraw from representing
a client if:
1. (1) withdrawal can be accomplished without material adverse effect on
the interests of the client;
2. (2) the client persists in a course of action involving the lawyer's services
that the lawyer reasonably believes is criminal or fraudulent;
3. (3) the client has used the lawyer's services to perpetrate a crime or
fraud;
4. (4) the client insists upon taking action that the lawyer considers repugnant
or with which the lawyer has a fundamental disagreement;
5. (5) the client fails substantially to fulfill an obligation to the lawyer
regarding the lawyer's services and has been given reasonable warning that
the lawyer will withdraw UNLESS the obligation is fulfilled;

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 6. (6) representation will result in an unreasonable financial burden on the
lawyer or has been rendered unreasonably difficult by the client; OR
7. (7) other good cause for withdrawal exists.
iii. (c) A lawyer must comply with applicable law requiring notice to or permission
of a tribunal when terminating a representation. When ordered to do so by a
tribunal, a lawyer shall continue representation notwithstanding good cause for
terminating the representation.
iv. (d) Upon termination of representation, a lawyer shall take steps to the extent
reasonably practicable to protect a client's interests, such as giving
reasonable notice to the client, allowing time for employment of other counsel,
surrendering papers and property to which the client is entitled and
refunding any advance payment of fee or expense that has not been earned or
incurred. The lawyer may retain papers relating to the client to the extent
permitted by other law.
v. Note – the duty of confidentiality does NOT terminate with the termination
of the lawyer-client relationship.
1. The ethical duty of confidentiality, prevents the lawyer from revealing this
information anywhere, ever.
i. Attorney Client Privilege:
i. Prevents a court from compelling a lawyer (or client) to disclose
lawyer-client communications.
1. More narrow privilege than the ethical duty of confidentiality.
2. The privilege covers only disclosure, not use, of the privileged information.
ii. Elements:
1. Communication (in any form or medium)
2. Between the lawyer and a privileged person
a. Lawyer-client, witness, interpreter, other lawyers, co-clients, etc.
b. When corporation is a client, this may include any employee or agent of
the corporation, so long as the communication relates to the subject
matter of the representation (Upjohn)
3. Made in confidence
a. Circumstances that would reasonably lead one to believe confidence was
expected, OR
b. Parties taking all reasonable measures under the circumstances to ensure
confidentiality
4. For the purpose of seeking legal assistance
a. Privilege applies to communications before relationship formally begins
(i.e., prospective clients)
b. Privilege does NOT apply to communications after relationship ends,
but communications made before that date remain privileged after
relationship ends.
iii. Exceptions:
1. Waiver – (ordinarily waived only by the client) privilege can be
waived if:
a. Necessary to comply with a court order
b. Client reveals communication to a non-privileges person, whether
deliberately or inadvertently

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 i. Not waived by lawyer’s deliberate communication to a non-privileged
person, unless authorized by client.
ii. Lawyer’s inadvertent communication to non-privileged person may
waive privilege in some cases, and may also be malpractice.
iii. Client puts communication at issue, as in dispute between lawyer and
client
iv. There is partial disclosure, where fuller disclosure is necessary to
avoid misleading a half-truth
2. No privilege where client seeks assistance with a crime or fraud.
iv. Privilege is NOT lost if privileged communication is subsequently transmitted
to an also privileged third party (doctor, minister, another lawyer, spouse,
etc.) where the privilege applies to that communication.
v. In some cases privilege covers even the identity of the client.

Differences between Confidentiality and Privilege

Ethical Duty to Protect Attorney-Client Privilege
Confidences
Source Ethical duty, Rule 1.6 Common Law evidence rule
Scope Information relating to the Narrower scope: confidential
representation of a client communication between a
lawyer and a client for the
(obtained from any source) purpose of obtaining legal
advice.
Method of Enforcement Professional discipline Quash subpoena or otherwise
exclude the revelation from
evidence.

vi. Accidental Disclosure:

1. Not waived, but lawyer must have taken steps to prevent disclosure and steps to
remedy the situation
vii. Inquiring about Legality:
1. Will be privileged information if inquiring about the legality of an act
j. The Work Product Doctrine:
i. Rule of evidence – to exclude something from discovery
ii. Protects written materials prepared by a lawyer in anticipation of
litigation.
1. Fixation requirement (some kind of written material- i.e. recording, document,
etc.)
2. Judge can order disclosure if the opposing party can show substantial need
iii. Protection of Mental Impressions:
1. Stronger protection to work product that reveals the lawyer’s thoughts,
strategies, or mental impressions
iv. Expert Witnesses:
1. Not A/C privilege, but is work product privilege

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 2. Privilege given to many of the working drafts prepared by expert witnesses and
communications with the lawyers who hired them
IV. Rule 1.14 – Client With Diminished Capacity:
a. (a) When a client's capacity to make adequately considered decisions in connection with
a representation is diminished, whether 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.
b. (b) 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, in appropriate cases,
seeking the appointment of a guardian ad litem, conservator or guardian.
c. (c) 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 impliedly 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.

V. PROFESSIONAL DISCIPLINE:
a. Rule 4.1 – Truthfulness in Statements to Others:
i. In the course of representing a client a lawyer shall not knowingly:
1. Make a false statement of material fact or law 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.
b. Legal Malpractice:
i. Four Elements
1. That an attorney-client relationship existed(starts the moment the client can be
harmed by the relationship);
2. That lawyer acted negligently or in breach of contract;
3. The acts were the proximate cause of the plaintiff’s damages; AND
4. But for the defendant’s conduct, the plaintiffs would have been successful in the
prosecution of their medical malpractice claim.
c. Lawyer’s Responsibilities as Agents:
i. Lawyers are the agents of their clients who, in turn, are considered principals.
1. A client is bound by what the lawyer does or fails to do, regardless of the client’s
own actions or culpability.
ii. Agency
1. Express authority
2. Implied authority
3. Apparent authority – the person who looks like they have the authority, but
they actually do not
4. Authority to settle litigation
d. Rule 2.1 – describes the role of a lawyer as counselor:
i. 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.
e. Rule 6.2 – Accepting Appointments:

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 i. A lawyer shall not seek to avoid appointment by a tribunal to represent
a person except for good cause, such as:
1. (a) representing the client is likely to result in violation of the Rules of
Professional Conduct or other law;
2. (b) representing the client is likely to result in an unreasonable
financial burden on the lawyer; or
3. (c) 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.
f. Rule 8.4 – Misconduct:
i. (c) engage in conduct involving dishonesty, fraud, deceit or
misrepresentation
g. Duties imposed by contract in addition to those imposed by the ethics codes:
i. The ethics codes articulate minimum standards of performance by lawyers.
ii. Rule 1.4 – Requires that a lawyer keep a client “reasonably informed,” by the
lawyer and client might agree that the lawyer would give the client weekly reports
on the lawyer’s progress.
h. Terminating the Lawyer- Client Relationship:
i. Do not need to give back (to client):
1. Notes of client interviews in order to carry out representation for the client and
only for internal use
2. Evidence in the case
ii. Must give back:
1. Property of the client
iii. When the lawyer wants to terminate the relationship:
1. Rule 1.16(b((1) – The lawyer may withdraw if it is possible to do so “without
material adverse effect on the interests of the client.”
a. Material effect is likely – on the eve of trial, or just before closing a
complex business deal, etc.
2. Then the client stops paying the fee:
a. A lawyer may withdraw if the client doesn’t pay the lawyer’s fee, but the
lawyer must first warn the client that nonpayment will lead to withdrawal.
3. When the case imposes an unreasonable financial burden on the
lawyer:
a. The lawyer may withdraw
4. When the client will not cooperate:
a. A lawyer may withdraw if the client makes continued representation by
the lawyer “unreasonably difficult.”

VI. CONFLICTS OF INTERETS:

a. Rule 1.16 – A lawyer should not accept a representation UNLESS it can be
performed competently, promptly, completely, and without improper
conflict of interest.
b. Rule 1.7 – Conflicts with Current Clients:
i. (a) Except as provided in paragraph (b), a lawyer shall NOT represent a client if
the representation involves a concurrent conflict of interest. A concurrent
conflict of interest exists if:
1. The representation of one client will be directly adverse to another client; or

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 a. Ordinarily a lawyer should NOT represent:
i. Driver and passenger of auto accident
ii. Co-defendants in a criminal case
2. There is a significant risk
ii. (b) Notwithstanding the existence of a concurrent conflict of interest under
paragraph (a), a lawyer may represent a client if:
1. The lawyer reasonably believed that the lawyer will be able to provide
competent and diligent representation to each affected client
2. The representation is not prohibited by law
a. Federal government lawyer from representing a client against the U.S.
3. 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
4. Each affected client gives informed consent confirmed in writing.
iii. Non-consent-able – cannot represent the client at all
iv. Consent-able – can represent the client with informed consent
1. Example:
a. A lawyer is asked to represent several individuals seeking to form a joint
venture
i. Must get informed consent of potential client and written consent
form each individual
v. Direct Adversity:
1. A conflict is said to involve “direct adversity” to the interests of a client if the
lawyer’s conduct on behalf of one client requires the lawyer to act against the
interests of another current client.
vi. Material Limitation:
1. The “other responsibilities that might materially limit a lawyer’s representation
of a client include obligations to:
a. Another present client;
b. A former client;
c. Someone else to whom a lawyer owes a duty
c. Rule 1.18 – Duties To Prospective Client:
i. (a) Prospective Client:
1. A person who consults with a lawyer about the possibility of forming a client-
lawyer relationship with respect to a matter is a prospective client.
ii. (b) Even when no client-lawyer relationship ensues:
1. A lawyer who has learned information from a prospective client shall NOT use
or reveal that information, except as otherwise permitted
iii. (c) Lawyer shall NOT represent a client with interests materially adverse to
those of a prospective client in the same or substantially related matter if:
1. The lawyer received information form the prospective client that could be
significantly harmful to that person in the matter.
iv. (d) However, a lawyer may represent a client in this situation if:
1. Both the affected client and the prospective client give informed
consent in writing; OR
2. The Lawyer has taken reasonable measures to avoid exposure to more
disqualifying information than was reasonably necessary to determine whether
to represent the prospective client; AND

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 3. the prospective client is promptly notified in writing.
d. Rule 1.13 – Organization as a Client:
i. (b) If a lawyer for an organization knows that an officer, employee or
other person associated with the organization is engaged in action,
1. intends to act or refuses to act in a matter related to the representation that is a
violation of a legal obligation to the organization, or a violation of law
that reasonably might be imputed to the organization, and is likely to result in
substantial injury to the organization, than the lawyer shall proceed as
reasonably necessary in the best interest of the organization.
ii. (c) Except as provided in paragraph (d), if
1. Despite the lawyer’s efforts in accordance with paragraph (b) the highest
authority that can act on behalf of the organization insists upon or fails to
address… a violation of law, and
2. The lawyer reasonably believes that the violation is reasonably certain to
result in substantial injury to the organization,
a. Then the lawyer may reveal information relating to the
representation whether or not Rule 11.6 permits such disclosures.
e. Factors affecting whether a related entity is a client:
i. Related entity more likely to be a client if:
1. The lawyer received confidential information from or provided advice to
the subsidiary.
2. The entity was controlled and supervised by the parent organization.
3. The original client could be materially harmed by the suit against the
subsidiary.
ii. Related entity less likely to be a client if:
1. The lawyer no longer represents the initial corporate client.
2. The two entities became linked (e.g., by a merger) after the lawyer began
representation of the corporation.
f. Representing Family Members:
i. Some states allow a lawyer to represent both parties in an uncontested divorce.
ii. Others forbid a lawyer from representing both husband and wife in the suit for
divorce, but permit a lawyer to assist both parties in preparing a settlement
agreement, so long as the clients agree and the resulting settlement seems fair.
iii. Some jurisdiction simply do not allow a lawyer to represent both spouses, even
with consent.
iv. In withdrawing from the representation, Lawyer should inform Wife and
Husband that a conflict of interest has arisen that precludes Lawyer’s
continued representation of Wife and Husband in these matters.
1. Advise that each should attain separate counsel
v. Lawyer may not disclose the separate confidences to either spouse.
g. Rule 1.8 – Conflict of Interest Specific Rules:
i. (f) A lawyer shall not accept compensation for representing a client
from one other than the client unless:
1. The client gives informed consent;
2. There is no interference with the lawyer’s independence of professional
judgment or with the client-lawyer relationship; AND
3. Information relating to representation of a client is protected as required by
Rule 1.6

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 ii. (g) A lawyer who represents two or more clients shall NOT participate in
making an aggregate settlement of the claims of or against the clients, or in a
criminal case an aggregated agreement as to guilty or nolo contendere pleas,
UNLESS each client gives informed consent, in a writing signed by the client.
The lawyer's disclosure shall include the existence and nature of all the claims or
pleas involved and of the participation of each person in the settlement.
h. Representing Plaintiffs in Class Actions:
i. The client is the named plaintiff and the acting member plaintiffs in the action.
i. Rule 1.9 – Duties to Former Clients:
i. (a) A lawyer who has formerly represented a client in a matter shall NOT
thereafter represent another person in the same or 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.
1. Key aspects:
a. Former client
i. Were they ever a client in the first place?
b. Same or substantially related matter
i. Case, litigation, anything you do for someone as an attorney, does not
have to be litigation
ii. Depends on common facts
iii. Did you learn information from the current client that could be used
adversely to the former client in a latter matter?
c. Materially adverse
i. Adversity is a product of the likelihood of the risk and the seriousness
of the consequences.
ii. RS – limited to potential harm to the type of interests that the lawyer
south to advance on behalf of the former client.
iii. If the new matter is adverse to interests of a former client that are
related to the lawyer’s previous work, this would not constitute
material adversity.
d. Unless consent in writing
2. Former client may move to disqualify the lawyer from working on
the new matter:
a. Client does not need to reveal relevant confidences to make the case
b. The former client may give a general description of the lawyer’s previous
services, and a judge may draw inferences about the type of confidences
that ordinarily would be learned in that type of representation.
3. Former clients – Businesses:
a. General knowledge of the client’s policies and practices ordinarily will
NOT preclude subsequent representation
i. However, knowledge of specific facts gained in a prior representation
that are relevant to the matter in question ordinarily will preclude
such a representation.
b. Playbook knowledge:
ii. (b) A lawyer shall NOT knowingly represent a person in the same or
substantially related matter in which a firm with which the lawyer formerly
was associated had previously represented the client.

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 1. whose interests are materially adverse to that person; AND
2. about whom the lawyer had acquired confidential information;
3. UNLESS the former client gives informed consent, confirmed in writing
iii. (c) A lawyer who has formerly represented a client in a matter or whose
present or former firm has formerly represented a client in a matter shall
NOT thereafter:
1. (1) Use information relating to the representation 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; or
2. (2) Reveal information relating to the representation except as these
Rules would permit or require with respect to a client.
j. Rule 1.7 – Conflict of Interest Current Clients:
i. When a person other than the client is paying for the representation,
the lawyer can only accept representation if:
1. The client gives informed consent; and
2. There is no interference with the lawyer’s independent professional
judgment; and
3. The client’s confidentiality is preserved
ii. If lawyer believes representation might be materially limited because of
obligations to a third person, lawyer cannot accept UNLESS:
1. S/he reasonably believes that s/he will be able to provide competent and
diligent representation to each affected client; and
2. The representation is not prohibited by law; and
3. 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
4. Each affected client gives informed written consent
k. Rule 1.10 – Imputation of Conflicts of Interest:
i. In a firm, none of the lawyers shall knowingly represent a client when any of
them practicing alone would be prohibited from doing so UNLESS:
1. The prohibition is based on a personal interest of the disqualified lawyer and
does NOT present a risk by limiting the representation of the client by the
remaining lawyers
2. The prohibition is based upon 1.9 (a) (b), and arises out of the disqualified
lawyer’s association with a prior firm and
a. The disqualified lawyer is timely screened from any participation and
is NOT given any part of the fee
b. Written notice is promptly given to any affected former client,
and shall include a description of the screening procedures
employed; statement of the firm and lawyer’s complying to the rule; a
statement that review may be available before a court; an agreement by
the firm to respond promptly to any written inquiries or objections by the
former client and about screening procedures and
c. certifications of compliance are given to the former client by the
screened lawyer and by a partner of the firm, at reasonable periods upon
the former client’s written request and upon termination of the screening
procedures

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 ii. When a lawyer has terminated an association with a firm, the firm is NOT
prohibited from representing a person with interests materially adverse to those of
a client represented by the formerly associated lawyer and not currently
represented by the firm UNLESS:
1. The matter is the same in which the formerly associated lawyer represented the
client and
2. Any lawyer remaining in the firm has info protected that is material to the
matter
iii. A disqualification prescribed by this rule may be waived by the affected client
l. Rule 1.11(a) – Conflicts of former Government Lawyers:
i. A former government lawyer may join a firm even if the firm has clients
with direct conflicts with the government agency which formerly employed the
lawyer, but the lawyer may not represent a client in connection with a
matter in which the lawyer has personally and substantially participated as
a public officer or employee UNLESS the government agency gives written
informed consent.
m. Model Code of Judicial Conduct:
i. Canon 1:
1. A judge shall uphold and promote the, independence, integrity, and
impartiality of the judiciary, and shall avoid impropriety and the appearance
of impropriety.
a. No membership in any organization practicing invidious discrimination
ii. Canon 2:
1. A judge shall perform the duties of judicial office impartially, competently,
and diligently.
a. Judge shall perform judicial duties without bias or prejudice, and
shall refrain from manifesting bias or prejudice
b. Judge must not initiate, permit, or consider ex parte communications
concerning a pending or impending proceeding
i. Emergency and minor scheduling and administrative matters
are OK if:
1. Judge reasonably believes no party will gain an advantage
as a result, and
2. Judge promptly takes steps to notify all parties of the
substance of the ex parte communication and gives parties a
chance to respond
ii. Judge may consult with court personnel and other judges, but must
take steps to avoid receiving factual information not part of
the case record
iii. Judge may obtain device of disinterested expert
iv. With the consent of parties, judge may confer with properties
separately in mediation or settlement efforts
v. Judge may NOT investigate facts independently
c. Disqualification: A judge may recuse himself or herself on his or her
own initiative, and must do so when his or her impartiality might
reasonably be questioned
iii. Canon 3:

13
 1. A judge shall conduct the judge’s personal and extrajudicial activities to
minimize the risk of conflict with the obligations of judicial office.
iv. Canon 4:
1. A judge or candidate for judicial office shall NOT engage in political or
campaign activity that is inconsistent with the, integrity, or impartiality of
the judiciary.
n. Imputation of Conflicts of Interest:
i. What are all the situations in which the Model Rules permit screening?
(Model Rules allow 6 situations):
1. Where a lawyer has moved from one firm to another (1.10(a)(2))
2. Where one lawyer in a firm has a conflict that is based on a personal interest
(family, political, financial) that does not present a significant risk of materially
impacting the other lawyers’ representation of the client (1.10(a)(1))
3. Where a former nonlawyer employee has become a lawyer (1.10)
4. Where a former government lawyer entered a law firm (1.11)
5. Where a lawyer received confidential information from a perspective client who
did not become an actual client (1.18)
6. Where a lawyer is disqualified from working on a matter because the lawyer
previously worked on the matter as a judge, a clerk, an arbitrator, a mediator,
or in some similar role (1.12)
VII. LEGAL FEES:
a. Working for a fee (2 types):
i. Contingent fees; or
ii. Hourly fees
1. Fee has to be a reasonable fee (non-excessive)
b. A lawyer’s fee may not be unreasonable – Factors include:
i. the time and labor required, the novelty and difficulty of the questions
involved, and the skill requisite to perform the legal service properly;
ii. the likelihood, if apparent to the client, that the acceptance of the particular
employment will preclude other employment by the lawyer;
iii. the fee customarily charged in the locality for similar legal services;
iv. the amount involved and the results obtained;
v. the time limitations imposed by the client or by the circumstances;
vi. the nature and length of the professional relationship with the client;
vii. the experience, reputation, and ability of the lawyer or lawyers performing
the services; and
viii. whether the fee is fixed or contingent
c. Rule 1.5 – Communication about Fee Arrangements:
i. (b) The scope of the representation and the basis or rate of the fee and
expenses for which the client will be responsible shall be communicated to
the client, preferably in writing, before or within a reasonable time
after commencing the representation, except when the lawyer will charge a
regularly represented client on the same basis or rate. Any changes in the basis or
rate of the fee or expenses shall also be communicated to the client.
ii. (c) Contingent fees:
a. A fee may be contingent on the outcome of the matter for which the
service is rendered, except (if)… prohibited by paragraph (d) or other law.
(cont.)

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 b. 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 a 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.
2. (d) Prohibited Contingent Fees:
a. A lawyer shall NOT enter into an agreement for, charge, or
collect:
i. Any fee in a domestic relations matter, the payment or amount of
which is contingent upon the securing of a divorce or upon the
securing of a divorce or upon the amount of alimony or support, or
property settlement in lieu thereof, or
ii. A contingent fee for representing a defendant in a criminal case
3. (e) Division of Fees Among Lawyers:
a. A division of a fee between lawyers who are not in the same
firm may be made ONLY if:
i. (1) the division is in proportion to the services performed by each
lawyer or each lawyer assumes joint responsibility for the
representation;
ii. (2) the client agrees to the arrangement, including the share
each lawyer will receive, and the agreement is confirmed in
writing; and
iii. (3) the total fee is reasonable.
4. California:
a. Fee-split OK so long as:
i. The client has consented in writing thereto after a full disclosure has
been made in writing that a division of fees will be made and the
terms of such division; AND
ii. The total fee charged by all lawyers is NOT increased solely by reason
of the provision for division of fees and is NOT unconscionable.
b. May NOT hire disbarred or suspended lawyer to take part in the
provision of legal services without notifying and obtaining consent from
all affected parties.
c. Cannot aid anyone in the unauthorized practice of law.
iii. Rule 5.4 – Sharing Fees with Non-lawyers:
1. (a) A lawyer or law firm shall not share legal fees with a nonlawyer, except that:
a. (1) an agreement by a lawyer with the lawyer's firm, partner, or associate
may provide for the payment of money, over a reasonable period of time
after the lawyer's death, to the lawyer's estate or to one or more
specified persons;
2. (2) a lawyer who purchases the practice of a deceased, disabled, or
disappeared lawyer may, pursuant to the provisions of Rule 1.17, pay to the
estate or other representative of that lawyer the agreed-upon purchase price;
3. (3) a lawyer or law firm may include nonlawyer employees in a
compensation or retirement plan, even though the plan is based in whole
or in part on a profit-sharing arrangement; and

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 4. (4) a lawyer may share court-awarded legal fees with a nonprofit
organization that employed, retained or recommended employment of the
lawyer in the matter.
d. Rule 1.8 – Financial Assistance to Client:
i. (a) 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:
1. (1) fair and reasonable to the client and are fully disclosed and transmitted
in writing in a manner that can be reasonably understood by the
client;
2. (2) the client is advised in writing of the desirability of seeking and is given
a reasonable opportunity to seek the advice of independent legal counsel
on the transaction; and
3. (3) the client gives informed consent, in a writing signed by the client, to
the essential terms of the transaction and the lawyer's role in the transaction
ii. (b) Information about client:
1. A lawyer may use (but NOT disclose) confidential information for the
lawyer’s or third party’s advantage UNLESS prohibited by law or UNLESS
doing so would be to the client’s disadvantage.
iii. (c) Gifts from Clients:
1. A lawyer shall NOT solicit any substantial gift from a client, including a
testamentary gift, or prepare on behalf of a client an instrument giving
the lawyer or a person related to the lawyer any substantial gift UNLESS the
lawyer or other recipient of the gift is related to the client.
a. (common with Wills)
iv. (e) A lawyer shall not provide financial assistance to a client in
connection with pending or contemplated litigation, except that:
1. A lawyer may advance court costs and expenses of litigation, the
repayment of which may be contingent on the outcome of the matter; and
2. A lawyer representing an indigent may pay court costs and expenses of
litigation on behalf of the client.
v. (h)(2) A lawyer shall not…
1. settle a claim potential claim for such liability with an
unrepresented client or former client UNLESS that person is advised n
writing of the desirability of seeking and is given a reasonable opportunity to
seek the advice of independent legal counsel in connection therewith.
vi. (j) Sex with Clients:
1. A lawyer shall NOT have sexual relations with a client UNLESS a
consensual sexual relationship existed between them predates the
representation.
vii. (k) Financial Interest Conflicts:
1. Financial interest conflicts of one lawyer in a firm are imputed to all other
lawyers in the firm.
2. Meaning – one lawyer in a firm may NOT enter into a business
transaction with a client of another member of their firm without complying
with paragraph (a), even if the first lawyer is not involved in the representation
of the client.
e. Rule 1.15 – Safekeeping Client Property:

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 i. (a) 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 or third person. Other property shall be identified as such and
appropriately safeguarded.
1. A lawyer MUST keep complete records of all funds and property for five
years after representation.
2. Interest may NOT be retained by the lawyer without the client’s
consent.
ii. (b) A lawyer may NOT place her own funds in the trust account other than
the amount needed to pay bank service charges.
iii. (c) Fees and costs paid by the client in advance MUST be kept in the client
trust account and withdrawn by the lawyer ONLY as they are earned or
incurred.
iv. (d) Distribution and Accounting:
1. Upon receiving funds or other property in which a client or third
person has an interest, a lawyer shall promptly notify the client or
third person.
a. Except as stated in this rule or otherwise permitted by law or by
agreement with the client, a lawyer shall promptly deliver to the
client or third person any funds or other property that the
client or third person is entitled to receive and, upon request by
the client or third person, shall promptly render a full accounting
regarding such property.
v. (e) Disputed Property:
1. When in the course of representation a lawyer is in possession of property
in which two or more persons (one of whom may be the lawyer) claim
interests, 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 the interests are NOT in dispute.
a. If a third party has placed a lien on part or all of the property, the lawyer
must NOT surrender the disputed portion until the dispute is
resolved.
f. 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.
1. A communication is false or misleading if it contains a material
misrepresentation of fact or law, or omits a fact necessary to make the
statement considered as a whole not materially misleading.
g. Rule 3.6 – Affiliation with Discriminatory Organizations:
i. A judge shall not hold membership in any organization that practices
invidious discrimination on the basis of race, sex, gender, religion,
national origin, ethnicity, or sexual orientation.
ii. A judge shall not use the benefits or facilities of an organization
practices invidious discrimination on one or more of the bases identified in
paragraph (A). A judge’s attendance at an event in a facility of an organization that
the judge is not permitted to join is not a violation of this Rule when the judge’s

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 attendance is an isolated event that could not reasonably be perceived as an
endorsement of the organization’s practices.
h. Ex Parte Communications:
i. A judge is prohibited from initiation, permitting, or considering
communications about a pending (or about to be filled) matter by the parties
or their lawyers, unless all relevant parties or their lawyers are present.
ii. Ex parte communication is permissible:
1. For scheduling, administrative or emergency purposes so long as the
substance of the matter is not addressed, the judge reasonably believes that the
commutating party won’t be advantaged, and the other parties are
promptly notified and given a chance to respond.
2. A judge may obtain the written advice of a disinterested expert on the
law applicable to a proceeding so long as the judge gives advance notice of
the advice sought and gives them a chance to object to the request and
to respond to it.
3. A judge may consult with court staff and court officials… or with other
judge, provided the judge makes reasonable efforts to avoid receiving
factual information that is not part of the record…
4. If a judge is overseeing an effort to settle a pending matter, then with the
parties’ consent, the judge can meet separately with the parties or
their lawyers.
5. Other ex parte communication permitted by law allowed, such as when a judge
is serving a therapeutic or problem-solving courts, mental health
courts, or drug courts… where a judge may assume a more interactive role…
i. Rule 1.12 – Former Judge, Arbitrator, Mediator Or Other Third-Party
Neutral:
i. (a) Except as stated in paragraph (d), a lawyer shall not represent anyone in
connection with a matter in which the lawyer participated personally
and substantially as a judge or other adjudicative officer or law clerk to such a
person or as an arbitrator, mediator or other third-party neutral, unless all parties
to the proceeding give informed consent, confirmed in writing.
ii. (b) A lawyer shall not negotiate for 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 as a judge or other
adjudicative officer or as an arbitrator, mediator or other third-party neutral. A
lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate
for employment with a party or lawyer involved in a matter in which the clerk is
participating personally and substantially, but only after the lawyer has notified the
judge or other adjudicative officer.
j. Rule 1.11(d)(2)(ii) – Personal & Substantial Participation:
i. (d) Except as law may otherwise expressly permit, a lawyer currently serving
as a public officer or employee:
ii. (2) shall not:
1. (ii) 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 adjudicative officer or arbitrator

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 may negotiate for private employment as permitted by Rule 1.12(b) and subject
to the conditions stated in Rule 1.12(b).

VIII. LAWYERS’ DUTIES TO COURTS:

a. Rule 3.1 – Meritorious Claims and Contentions:
i. 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 the defendant in a criminal proceeding, or the
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.
b. Rule 3.3 – Candor Toward The Tribunal:
i. (a) A lawyer shall NOT knowingly:
1. (1) 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;
a. (if the lawyer discovers that she has made a false statement, the lawyer
must correct it).
2. (2) 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
a. Lawyer must bring it to the court’s attention (and distinguish it or explain
why it is not authoritative).
3. (3) offer evidence that the lawyer knows to be false.
a. 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.
b. 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.
ii. (b) If lawyer knows client intends to testify falsely, lawyer should, in order:
1. Attempt to dissuade the client,
2. Disclose to tribunal if necessary
3. Withdraw, if that will help
iii. (c) The duties stated in paragraphs (a) and (b) continue to the conclusion of the
proceeding, and apply even if compliance requires disclosure of information
otherwise protected by Rule 1.6.
iv. (d) In 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.
v. After conclusion of the proceeding this duty terminates, should the lawyer
learn of the falsity after conclusion, lawyer has no duty to disclose.
c. Rule 3.4 – Fairness to opposing Party or Counsel:
i. (a) A lawyer shall NOT… 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.

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 ii. (b) Falsify evidence:
1. Can coach witness, within limits
2. Cannot pay a witness to testify, but can pay witness’s reasonable expenses
in doing so.
iii. (d) A lawyer shall NOT… in pretrial procedure, make a frivolous discovery
request or fail to make reasonably diligent effort to comply with a
legally proper discovery request by an opposing party.
iv. (e) A lawyer shall NOT… in 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 witness, or state a personal opinion as to the justness of a
cause, the credibility of a witness, the culpability of a civil litigant or the guilt
or innocence of an accused;
d. Rule 3.5 – Maintaining Impartiality of the Tribunal:
i. (a) A lawyer may NOT seek to influence a judge, prospective juror or other
official by means prohibited by law.
1. All states make it a crime to bribe a judge
ii. (b) a lawyer shall NOT “communicate… ex parte with [a judge, juror,
prospective juror, or other official] during the proceeding UNLESS authorized
to so by law or court order…
e. Rule 3.6 – Extrajudicial Statements “Trial Publicity”: (MC ?)
i. (a) 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 have a substantial likelihood or
materially prejudicing an adjudicative proceeding in the matter.
ii. (b) In general a lawyer should NOT communicate information to the media or the
public other than:
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 to subparagraphs (1) through (6):
a. (i) the identity, residence, occupation and family status of the accused;
b. (ii) if the accused has not been apprehended, information necessary to aid
in apprehension of that person;
c. (iii) the fact, time and place of arrest; and
d. (iv) the identity of investigating and arresting officers or agencies and the
length of the investigation.
iii. However, when there has been adverse publicity NOT initiated by the lawyer or
the lawyer’s client, a lawyer may make a statement that a reasonable lawyer
would believe is required to protect a client from the substantial undue

20
 prejudicial effect of such publicity NOT initiated by the lawyer or the lawyer's
client.
f. Rule 3.7 – Lawyer as Witness:
i. (a) A lawyer shall not act as advocate at a trial in which the lawyer is
likely to be a necessary witness UNLESS:
1. (1) the testimony relates to an uncontested issue;
2. (2) the testimony relates to the nature and value of legal services rendered
in the case; or
3. (3) disqualification of the lawyer would work substantial hardship on the
client.
ii. (b) 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 from
doing so by Rule 1.7 or Rule 1.9.

IX. LAWYER’S DUTIES TO THIRD PERSONS:

a. Rule 4.1 – Truthfulness in Statements to Others:
i. (a) In the course of representing a client a lawyer shall NOT knowingly… make
a false statement of material fact or law to a third person…
1. (Applies whenever a lawyer is talking to a potential witness or to an opposing
lawyer).
2. Negotiations are not ordinarily taken as statements of material facts
ii. (b) Lawyer must NOT knowingly fail to disclose a material fact when doing
so is necessary to avoid assisting a fraud or crime by the client, UNLESS
disclosure is otherwise prohibited.
b. Rule 4.4 – Respect For Rights Of Third Persons:
i. (b) 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.
c. Rule 4.2 – Communication with Person Represented by Counsel:
i. In representing a client, a lawyer shall not communicate about the subject of
the representation with a person the lawyer knows to be 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.
1. Communications outside the scope of representation are permitted
ii. Where the opponent is an organization, lawyer may NOT communicate with
persons in that organization having control or authority over the
organization or the litigation or whose act or omission in
connection with the matter may be imputed to the organization for
purposes of civil or criminal liability.
1. Lawyer may communicate with other persons (e.g. employees),
but must NOT state or imply that she is acting in the employee’s
interest.
2. Where the opponent is a government agency, communications in
furtherance of the client’s First Amendment right of petition are
authorized by law

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 a. In general, however, communication about the matter with
represented persons directly involved should be avoided
iii. Lawyer may communicate with unrepresented persons, but must NOT state
or imply that s/he is disinterested
d. Rule 4.3 – Dealing with Unrepresented Person:
i. 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.
ii. 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.
1. If the person has “legal questions” about the matter than that is a clear
warning sign that the person’s role is to serve the speaker’s interests.
2. A lawyer representing a client does NOT need to refrain from negotiating a
deal or settling a lawsuit with an unrepresented person as long as the
lawyer does NOT mislead the unrepresented party that the lawyer is
representing a client.
a. The lawyer has no affirmative duty to clarify her role UNLESS she
knows or should know that the other person is confused.
iii. 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 a reasonable possibility of being
in conflict with the interests of the client.
e. Rule 4.4 – Respect For Rights Of Third Persons:
i. (b) A lawyer who receives a document or other information inadvertently sent
MUST promptly notify the sender.
1. States vary on whether the lawyer may then make use of the information
inadvertently sent. The MR do not seem to prohibit this.
2. CA – does prohibit making use of the information, however.
f. Rule 3.8 – Duties of Prosecutors:
i. Prosecutor must NOT prosecute without probable cause
ii. Prosecutor must make reasonable efforts to ensure accused is aware of the right
to counsel and has been given reasonable opportunity to do so
iii. Prosecutor must disclose all exculpatory and mitigating evidence
iv. When dealing with an unrepresented defendant, prosecutor must NOT seek to
obtain a waiver of the defendant’s statutory or constitutional rights
v. Prosecutor must NOT subpoena the defendant’s lawyer, subject to certain
exceptions
vi. When new evidence likely to prove a convicted defendant’s innocence
becomes known to a prosecutor, the prosecutor must promptly disclose this
information to the appropriate authorities and, if the conviction was obtained in
the prosecutor’s jurisdiction, to the defendant
vii. When a prosecutor knows of clear and convincing evidence establishing that
a defendant in the prosecutor’s jurisdiction was convicted of an offense that the
defendant did not commit, the prosecutor shall seek to remedy the
conviction.
g. Rule 7.1 & Rule 7.2 – Advertising and Solicitation:
i. Advertising is generally permitted so long as it is NOT false, misleading,
or deceptive

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 1. Advertising may NOT result in an impermissible fee-split with a non-
lawyer; however, pay-per-lead internet ads seem to be OK
ii. Solicitation is more restricted: A lawyer shall NOT by in-person, live
telephone or real-time electronic contact solicit professional employment when a
significant motive for the lawyer's doing so is the lawyer's pecuniary gain,
UNLESS the person contacted:
1. is a lawyer; or
2. has a family relationship with the lawyer; or
3. has a close personal relationship with the lawyer; or
4. has a prior professional relationship with the lawyer
5. Even if such solicitation would otherwise be permitted, it is prohibited if:
a. the target of the solicitation has made known to the lawyer a desire not to
be solicited by the lawyer; or
b. the solicitation involves coercion, duress or harassment.
iii. 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 outside envelope, if any, and at the beginning
and ending of any recorded or electronic communication, UNLESS the
recipient of the communication is a person whom the lawyer may permissibly
solicit.
iv. A 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 memberships 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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