Summary
Rules Summary
A handy
and dandy summary (and annotation) of
The
Part 1—Client-Lawyer Relationship
1.0 Terminology: The section defines belief,
confirmed in writing, law firm, fraud, informed consent, knowingly, partner, reasonable, reasonable belief, reasonably should know,
screened (ethical wall), substantial, tribunal, and a writing.
1.1 Competence: Don’t be incompetent.
Have the “knowledge, skill, thoroughness, and preparation reasonably
necessary.”
1.2 Scope of Representation and Allocation of Authority between Client and
Lawyer: (a) We must abide by the client’s scope and objectives. We must consult
as to the means. We have apparent authority. The civil client decides whether
to settle. The criminal client decides whether to plead, go to jury, and
testify. See Opinion 114, footnotes 14 & 15. (b) Our representation,
including appointments, is not an endorsement.
(c) We can reasonably limit
representation after informed consent. (See
C.R.C.P. 11(b) and 311(b) — Federal Rules contra.) (d) Don’t help clients plan crimes or fraud, but we may
counsel as to consequences and help analyze the law.
1.3 Diligence: Be diligent and prompt.
1.4 Communication: (a)(1) Promptly inform the client about “informed consent”
decisions. (2) Reasonably consult about means. (3) Reasonably inform about
status. (4) Promptly comply with reasonable information requests. (5) Explain
relevant ethical limitations. (b)
Explain to the client “to the extent reasonably necessary for informed
decisions.”
1.5 Fees: (a) Fees and expenses must be reasonable. Consider (1) the time and
labor required, novelty and difficulty, and skill, and (2) if the client
understands, the likelihood that the work will limit our other work, (3) the
local customary fee, (4) the amount involved and the results (5) the time
limitations, (6) the client relationship, (7) the lawyer’s experience,
reputation, and ability, and (8) if the fee is contingent or fixed. (b) A writing
must get to the client in a reasonable time, describing the fee and expenses. Any change must be promptly communicated
in writing. (c) Contingent fees are okay unless they aren’t. (Chapter 23.3) (d) Except in a rule 1.17
law-practice sale, we can’t split a
fee with a non-firm attorney, unless the split is proportional to services or
responsibility, the “client’s agreement is confirmed in writing”, and the total
fee is reasonable. (e) Referral fees
are prohibited. (f) Fees are earned when
we “confer a benefit” or perform a service. Unearned, advance fees are client
property and must be in a Rule 1.15(f)(1) trust
account, or non-cash property held separately. (Rule 1.15(a) COLTAF). (g) Nonrefundable
fees and retainers are prohibited. (Sather
case) We can’t restrict a client’s right to terminate, and can’t
unreasonably restrict a refund.
1.6
Confidentiality of Information: (a) We shall not reveal
information relating to representation,
unless the client gives informed consent,
or the disclosure is implicit. (b) We may disclose (1) to prevent
reasonably certain death or substantial bodily harm (client threat of suicide),
(2) the client’s criminal intent and information necessary to prevent a crime,
(3) to circumvent a client who used our services to commit fraud reasonably
certain to cause substantial financial injury, (4) when we find out after the
crime or fraud has been committed, (5) to get ethical or legal advice for
ourselves, (6) to protect ourselves,
or (7) to “comply with other law or a court order.” (Only to
the extent necessary.)
1.7 Conflict of Interest: Current Clients (a) No
concurrent conflicts: (1) We can’t represent adverse clients. (2) Nor if there’s a significant risk
representation will be materially limited by a client, a former client, a third
party, or our personal interest. (b) But concurrent conflicts are okay if (1)
we reasonably believe we can be competent and diligent to all, (2) there’s no
law against it, (3) one client isn’t claiming against another in that
litigation, and (4) everybody gives informed consent “confirmed in writing.”
1.8 Conflict of Interest: Current Client: Specific
Rules: (a) We can’t have client business partners or buy client-adverse property, unless (1) it’s
fair and disclosed in writing, (2) we inform in writing “the desirability” of
talking to another attorney, and (3) the client gives written informed consent.
(b) We can’t use client information to her disadvantage without informed
consent. (See Rules 1.6 Confidentiality and 3.3 Candor)
(c) We can’t solicit a substantial gift or draft a non-related client will or gift agreement to our or
our relatives’ substantial benefit. (d) We can’t negotiate media rights for ourselves during employment. (e) We can’t give up-front money (champerty) except for litigation
costs and expenses, which may be contingent on success. If the client’s
indigent, we can pay for that. (f) If we are paid by a third party, (1) the client must give informed consent,
(2) there can be no interference, and (3) we can’t reveal confidences. (g)
Settling one claim for two clients
requires informed consent, a client-signed writing, and much disclosure. (h)(1)
Don’t prospectively limit malpractice
unless the client has another attorney. (2) Don’t settle a claim without written notice about consulting and reasonable
time to consult another attorney. (i) Don’t take a proprietary interest in the lawsuit,
except for (1) a legal fee-lien or (2) a reasonable contingency agreement. (j) Don’t sleep with clients who you weren’t
sleeping with before they were clients. (k) This Rule 1.8 (except a & j) is subject to vicarious prohibition in your firm.
1.9 Duties to Former Clients: (a)
Don’t represent a new client against an old client in a substantially related matter in which the parties are materially
adverse, without old client consultation and informed consent, “confirmed
in writing”. (b) Don’t switch firms
and then knowingly represent a new client in the same or a substantially
related case in which your old firm represented a client, if (1) the old
client’s interests are materially-adverse, and (2) you acquired from the
old client material 1.6 and 1.9(c) information, unless you get old
client informed consent, “confirmed in writing”. (See 1.10(b)) (c) (1)
Don’t use prior-client representation-related information against the client,
unless it becomes public. (2) Don’t reveal any information about the
prior-client except as Rules (such as 1.6 or 3.3) would permit or
require.
1.10 Imputation of Conflicts of Interest: General
Rule: (a) If we can’t represent, our partner can’t knowingly represent either, except for
one-lawyer, personal-interest, non-significant risk conflicts. This rule is limited to Rules 1.7 and 1.9. But see 1.8(k). (b) If we leave the firm, the firm may then represent adverse clients unless the matter is
(1) the same or substantially related and (2) any remaining lawyer has material
1.6 (confidentiality) or 1.9(c)(former client) information. (c) Rule
1.10 disqualification can be Rule 1.7-waived. (d) Look at Rule 1.11 for
government lawyer disqualification. (e) If a new lawyer to our firm is
1.9-disqualified, everybody is disqualified, unless: (1) the new lawyer didn’t
substantially participate, (2) the new lawyer is timely screened and gets no
part of the fee, (3) the new lawyer gives prompt written notice with screening
details to the old client and his lawyers, and, (4) then new lawyer and
partners reasonably believe the screen will work.
1.11 Successive Government and Private Employment: (Revolving door). Except as law may
otherwise expressly permit, (a) (1) A former
government attorney is subject to Rule 1.9(c). (former
client information) (2) If he participated personally and substantially in a matter, he can’t go private and switch sides, without government consent. (b) Our new partners can’t begin or continue to
be adverse, unless (1) the new lawyer is timely screened and gets no part of
the fee, (2) the new lawyer gives prompt written notice with screening details
to the old client and his lawyers, and, (3) then new lawyer and partners reasonably
believe the screen will work. (c) Except as law may otherwise expressly permit,
if we have confidential government
information (defined here)
from government employment about a person, we can’t use it against them to
their material harm, for our private client. Our partners can’t represent that private client unless the new lawyer
is timely screened and gets no part of the fee. (d) Except as law may otherwise
expressly permit, (1) a current government attorney is subject to Rules 1.7 and
1.9. and (2) can’t (i) participate in a matter where
we had substantial, personal, private
participation unless the government gives informed consent, confirmed in
writing. (ii) We can’t negotiate for
private work with a party or party attorney if we have substantial, personal participation in their case, unless we are a
law clerk and fit under Rule 1.12. (Former judge). (e)
1.12 Former Judge, Arbitrator, Mediator, or other
Third-Party Neutral: (a) Expect as in (d) below, if we were personally and substantially the judge we
can’t become the same-case attorney, without all-party, informed consent, confirmed in writing. (b) We can’t ask parties
for a job. Law clerks can if the judge knows. (c) The previous judge’s law partners may also not knowingly represent unless (1) the new
lawyer is timely screened and gets no part of the fee, (2) the new lawyer gives
prompt written notice with screening details to the old client and his lawyers,
and, (3) then new lawyer and partners reasonably believe the screen will work.
(d) A multi-member arbitration panel member/arbitrator representing a client
can later represent the client.
1.13 Organization as Client: (a) If
we work for a company we represent the company. (b) If we catch an officer,
shareholder, or etc. violating a legal
obligation to the company or violating a law the company reasonably could be
blamed for, and which will likely cause substantial company injury, we
shall “proceed as is reasonably
necessary in the best interest of the organization.” Unless we “reasonably
believe that it is not necessary in the best interest of the organization”, we
bump the information up the ladder, to the top if necessary. (c) Except as in
(d) below, (1) if the problem is not resolved at the top and it’s a clear legal
violation (2) and will reasonably certain to cause the company substantial
injury, we may reveal information in addition to the Rule 1.6 (confidences)
permissive disclosures, but only that information sufficient to prevent the
substantial injury. (d) This doesn’t apply to internal legal-violation
investigations, or to criminal defense of the company or its agents. (e) If we
are fired or quit because of (b) or (c) above, we shall act reasonably to
assure that the information get to the top. (f) We shall disclose to shareholders, officers, etc. who have adverse
interests, that our client is the
company. (g) We may represent an
officer, shareholder, etc. in other matters, but see Rule 1.7. If that
representation requires company consent, get consent from somebody other than
the new client.
1.14 Client with Diminished Capacity: (a)
If our client’s capacity to make adequately-considered representation-decisions
is diminished we shall, as far as is
reasonably possible, act as usual. (b) If our diminished-capacity client is
at risk of any harm if there’s no action, and he can’t adequately act, we may
take reasonable protective action. That includes consulting with helping
agencies and seeking a guardian ad litem, conservator, or guardian. (c) This
implies Rule 1.6-exception release of client information, but only to the
extent necessary.
1.15 Safekeeping Property (COLTAF Rule – much abbreviated): (a) We shall hold clients’ and 3rd parties’ property
separately. Funds must be held in
1.16 Declining or Terminating Representation: (a) Except as in (c)
below, we must not represent a client, or continue to represent,
(1) if that breaks an Ethics Rule or the
law, or (2) if our physical or mental health materiality impairs the representation, or (3) if we are fired. (b) We may withdraw or
request the court to permit withdrawal (1) if there’s no material adverse
client effect, (2) using our services, the client’s breaking the law or committing fraud, (3) the client did that in the past, (4)
the client insists on repugnant or fundamentally disagreeable action, (5) the
client doesn’t pay after warning, (6) the employment becomes unreasonably
financially burdensome or the client makes the employment unreasonably difficult, (7) there is other good cause. (c)
We can’t withdraw if the judge says no. (d) After termination protect the client’s interests; giving reasonable
notice, giving reasonable time for new counsel, surrendering papers/property,
and refunding unearned fees. The attorney’s
lien is okay.
1.16A Client File Retention: (a) A private practice attorney shall retain
client files unless, (1) she gives the
file to the client or she has client-signed
permission to destroy and there are no legal proceedings set or threatened.
(2) she gives the client written 30-day notice and there are no legal proceedings set or
threatened. (b) She may destroy the file without
notice after ten years after termination of the legal matter, if she hasn't
agreed otherwise. (c) But criminal
attorneys shall keep files (1) for the client's
life if sentenced to death, life
without parole, or indeterminate, including a life sex abuse sentence, (2)
for 8 years from sentencing if it's
a felony sentence and it was appealed, (3) for 5 years if a felony isn't appealed. (d)Written 30-day notice may be either in
the fee agreement if she has a rule-consistent file retention policy or in a client-delivered
notice. (e) Legal obligations, court orders, and tribunal rules trump this rule. (Detailed Comment 1 first
requires reasonable efforts to find the client, then allows notice to the
last-know address.)
1.17 Sale of Law Practice: We may
sell or purchase a business or area of practice, including good will, if: (a)
the seller quits the law or the area of law, (b) the whole business or area of
practice is sold, (c) the seller gives notice to the client (at the last known
address) regarding (1) the proposed sale, (2) the client’s right to hire other
counsel or take the file, and (3) that the client has to act within 60
days. (d) The fees can’t go up.
1.18 Duties to Prospective Clients: (a) A
prospective client is anybody who talks
to you about possibly hiring you. (b) Even
if she doesn’t hire you, you can’t use or reveal her consultation
information, except under Rule 1.9 (former clients) (c) You then can’t
represent other clients with materially adverse interests in the same or
substantially related matter. The lawyer’s partners
are similarly prohibited. (d) But
the intake lawyer may still represent if, (1) both the prospective client and the adverse client give informed consent, confirmed in writing,
or, (2) the firm may still represent if the intake lawyer reasonably took only the minimum information on
intake, and (i) the intake lawyer is timely screened
and gets no part of the fee, and (ii) written notice “is promptly given to the
prospective client. ”
Part 2--Counselor
2.1 Advisor: We shall use independent judgment and be candid. We may explore moral, economic, social, etc. considerations. We
should advise about ADR.
2.2 Intermediary:
(Repealed)
2.3 Evaluation for Use by Third Persons:
(Opinion Letter) (a) We may do such an evaluation if
we reasonably believe it is compatible with our client responsibilities. (b) If
we reasonably should know our letter will materially affect the client, the
client must give informed consent. (c) Except for disclosure in the report, we
must otherwise protect Rule 1.6 confidentiality.
2.4 Lawyer Serving as Third-Party Neutral: (a)
That’s defined as assisting two or more parties who are not clients. This may
include being an arbitrator or mediator. (b) We must inform the parties they aren’t
our clients. If we reasonably should know they don’t understand, we shall
explain the difference between a third party neutral and attorney-client
relationships.
Part 3--Advocate
3.1 Meritorious Claims and Contentions: We
shall not bring or defend, assert or controvert, proceedings or issues without a non-frivolous basis, unless we have a good faith argument for
extension, modification, or reversal. In a criminal
or incarceration case, we may defend to make the elements be proven.
3.2 Expediting Litigation: But
only consistently with our client’s
interests.
3.3 Candor Toward the Tribunal: (a) We
shall not knowingly to a tribunal,
(1) falsely state material facts or law or fail to correct what we previously
said, (2) fail to disclose directly adverse,
local legal authority not disclosed
by our opponents, (3) offer false evidence or fail to reasonably remediate, including telling the judge,
whether previously offered by the
lawyer, the client, or a client’s witness. We may refuse to offer
evidence we reasonably believe is
false, other than a criminal defendant’s testimony. (b) If we do a “adjudicative proceeding” we must remediate the
proceeding-related criminal or fraudulent conduct of anybody, including
telling the judicial officer. (c) These duties continue to proceeding’s conclusion regardless of Rule 1.6. (confidentiality) (d) In
an ex
parte hearing, we shall disclose all material facts to the court,
including adverse facts.
3.4 Fairness to Opposing Party and Counsel: We
shall not (a) unlawfully obstruct a
party’s access to evidence or alter,
conceal, or destroy evidence or get another to do that, (b) falsify
evidence, counsel or assist witness
perjury, or bribe a witness, (c) knowingly disobey a tribunal rule, except
openly, (d) frivolously request discovery or fail to diligently comply with
legal, proper discovery requests, (e) in trial, raise irrelevant evidence,
assert personal knowledge except when a witness, or state our opinion as to the
justness of a cause, witness credibility, or the culpability, guilt, or
innocence of a litigant, or, (f) ask a non-client person to not talk to others
unless (1) the person is a client relative, employee or agent and no other law
prohibits, and (2) not talking won’t harm the person’s interests.
3.5 Impartiality and Decorum of the Tribunal: We
shall not (a)(b) illegally seek to influence,
or without legal or court authority communicate
ex parte during a proceeding, with
judges, jurors, prospective jurors, or officials, nor (c) communicate with jurors
after trial if (1) prohibited by law or order, (2) the juror says no, (3)
or the communication is likely to demean, embarrass or criticize. We shall not disrupt a tribunal.
3.6 Trial Publicity: (a) We
and our associates can’t talk
outside of court to the media if we
know or reasonably should know that
talking will very likely materially prejudice an adjudicative
proceeding. (b) (There are many specific exceptions.) (c) We may, if required,
speak to protect our client against substantial, undue, prejudicial detriment
of publicity we didn’t cause, but no more than that.
(d) Our associates can’t either.
3.7 Lawyer as Witness: (a)
We can’t be trial advocates if we
are a likely, necessary witness,
unless (1) the testimony is uncontested,
(2) is about billing, or (3) is
necessary to avoid disqualification that is a substantial hardship to the client. (b) Our firm attorneys may be witnesses unless prohibited by Rules 1.7 (current client loyalty) or 1.9 (former client loyalty.
3.8 Special Responsibilities of a Prosecutor:
Criminal prosecutors shall (a) require probable
cause and (b) reasonably assure the defendant’s been advised of procedures
for and has had time to obtain counsel.
(c) a prosecutor shall not try to obtain waiver of important pretrial rights from a pro se defendant. (d) The prosecutor shall
timely disclose offense-adverse or
mitigating, and sentence-mitigating
evidence unless there’s a protective order and (e) The prosecutor shall not subpoena an attorney to disclose
confidential client information in a grand jury or criminal proceeding unless
with reasonable belief, (1) the information is not privileged, (2) is essential
to prosecution or investigation, and (3)
there’s no feasible alternative. (f) A prosecutor may inform the public of the
nature and extent of the prosecution, if necessary to serve “a legitimate law
enforcement purpose.” Outside the courtroom, the prosecutor can’t make comments
substantially likely to “heighten public condemnation,” and must reasonably
prevent employees and others from violating Rule 3.6 or this rule.
3.9 Advocate in Nonadjudicative Proceedings: In
legislative or administrative tribunals we
must disclose our role as advocate.
We must comply with Rules (3.3(a)(1), 3.3(a)(3),
3.3(b), and 3.4(a) and (b).
Part 4--Transactions With Persons Other Than Clients
4.1
Truthfulness
in Statements to Others: When representing clients (a) we shan’t knowingly
lie to a third party about facts or
law. (b) We must disclose material facts
to third persons so as to not
knowingly assist our client’s crime or
fraud, unless the facts are confidential under Rule 1.6. (c.f.
Rule 3.3. which does not except out
Rule 1.6 confidentiality for candor to the
court.)
4.2
Communication with Person Represented by Counsel:
Without consent or legal authority, and during representation of a client, we can’t talk to other-side clients if
they are attorney-represented in the matter, unless authorized by law or court order. (Ethics Opinion 69— The other side’s employees)
4.3
Dealing
with Unrepresented Persons: On behalf of a client, we can’t imply to pro
se persons that we are disinterested, we must reasonably correct the
person’s misunderstanding of our role, and we may not give them legal advice
except to get an attorney, if the pro se person’s interests are
reasonably in conflict.
4.4
Respect
for Rights of Third Persons: (a) In representation, we may not act merely to embarrass, delay, burden, or violate
the legal rights of third persons, without substantial
purpose. (b) If we reasonably
should know a received document about our client was miss-sent, we shall
promptly notify the sender. (c) Unless permitted by court order, if we haven’t
read it and the sender says it was miss-sent, we don’t read it and follow the
sender’s instructions.
4.5
Threatening
Prosecution: (a) In civil matters, we can’t threaten criminal, administrative, or disciplinary charges to gain
an advantage or participate in presenting
criminal, administrative, or disciplinary charges solely to gain an advantage. (b) It’s
okay to tell the other side,
reasonably, that their behavior violates rules or statutes. (safe harbor added 1997 –
Part 5—Law Firms and Associations
5.1
Responsibilities
of a Partner of Supervisory Lawyer: (a) Partners and (b) direct
supervisors must reasonably ensure ethical conformance in the firm. (c) The
lawyer is ethically responsible if (1) he or she orders or knowingly ratifies the unethical conduct or (2) is a partner or supervisor,
knows of the conduct in time, and doesn’t
mitigate.
5.2
Responsibilities
of a Subordinate Lawyer: (a) The subordinate is bound by the rules
regardless. (No “just following orders”
defense.) (b) but it’s okay if he or she relies on
a supervisor’s reasonable resolution
of an arguable question.
5.3
Responsibilities
Regarding Nonlawyer Assistants: (a) A partner or (b) a supervisor shall
reasonably ensure employees conform to ethical obligations. (c) The lawyer is
ethically responsible if he or she (1) orders
or knowingly ratifies the unethical conduct or (2) is a partner or supervisor, knows of the conduct in time,
and doesn’t mitigate.
5.4
Professional
Independence of a Lawyer: (a) We can’t split
fees with non-lawyers except (1)(2)(3) to a partner or associate or
attorney-seller’s estate, (4) toward employees’
retirement, or (5) court-awarded
legal fees with the employing, retaining, or recommending non-profit. (b)
We can’t practice law with non-attorneys. (c) Referring persons can’t direct our work. (d) Professional corporations must comply with Rule 265.
5.5
Unauthorized
Practice of Law: (a) We can’t (1) practice law here without a Colorado license, (2) practice somewhere else if it violate their rules, (3) aid or abet someone who does, or (4) have disbarred or seriously suspended
attorneys in the firm name. (b) We can’t let a disbarred, seriously suspended, or disability inactive attorney (1)
give legal advice to our clients,
(2) appear at a hearing (3) or deposition for our clients, (4) negotiate with others for our clients, (5) otherwise practice law, or (6) handle clients funds. (c) Subject to (d) below, we may
employ a disbarred, seriously suspended, or disability inactive attorney be a clerk, drafter, or researcher,
including: (1) drafting, (2) scheduling with clients or others, or (3)
assisting an attorney at a deposition. (d) If the disbarred, seriously
suspended, or disability inactive attorney has any contact with clients, we
must first (1) give client notice that the attorney can’t practice law and (2)
retain the notice for two years after completion. (e) One-time notice under
this rule or CRCP 251.28 is sufficient.
5.6
Restrictions
on Right to Practice: We can’t offer or make an agreement (a)
restricting an attorney’s right to
practice, except retirement benefits, or (b) settle a case that restricts our practice.
5.7
Responsibilities
Regarding Law-Related Services: (a) These ethics rules apply to law-related services if done by (1) the lawyer and
are indistinct from his legal practice
or (2) by a lawyer-controlled entity,
unless the lawyer reasonably assures that the customer knows the
services aren’t legal services and that the customer-protections of the ethics
rules don’t apply. (b) A service is law-related
if they “might reasonably be performed
with and in substance are related to the provision of legal services” and
wouldn’t be unauthorized practice if a non-lawyer did them.
Part 6—Voluntary Pro Bono Public Service
6.1
Voluntary
Pro Bono Publico Service: We are obliged to do pro
bono. We should do 50
hours pro bono annually, (a) doing a substantial
majority without a fee, for (1) poor folks and (2) charities, and (b) the
rest at low or no fee for (1) organizations that need help or (2) poor folks,
or (3) by participating in pro-law activities. We also should send money to legal services. If our
jobs won’t allow free legal work, then we should do the services or follow
paragraph (b).
6.2
Accepting
Appointments: Don’t try to duck court
appointments unless (a) it would likely break the Rules or the law,
or (b) be unreasonably financially or oppressively burdensome or, or (c) is repugnant.
6.3
Membership
in Legal Services Organization: A lawyer may serve in a legal
services organization even if it serves people’s interests that are adverse to clients. But the lawyer
can’t participate in decisions or actions if (a) it breaks Rule 1.7 or (b) it would materially cause the staff attorney to break Rule 1.7.
6.4
Law
Reform Activities Affecting Client Interests: We may
serve in a reform organization despite client
effects. If there are positive
client effects, we have to disclose to
the organization but don’t have to identify the client.
6.5
Nonprofit
and Court-Annexed Limited Legal Services Program: (a) We may perform
short-term limited legal services without either we or the client expecting
continuing representation. (1) We are subject to Rules 1.7 and 1.9(a) only if
we know of a conflict, and
(2) to Rule 1.10 only if we know our partner is 1.7 or 1.9(a)
disqualified. (b) Rule 1.10 only applies as in (a)(2)
to these short-term limited legal services.
Part 7—Information About Legal Services
7.1
Communications
Concerning a Lawyer’s Services: (a) We
may not make false or misleading
statements about our services or ourselves. (1) No material misrepresentation of fact or law. No leaving out important stuff. (2) Don’t compare ourselves to other attorneys, unless we can prove it. (2)
Don’t create an unjustifiable
expectation. (b) We can’t pay anything for another non-firm attorney’s advertising unless we disclose our
relationship. (c) Don’t send registered
mail to new clients. Don’t make it look like legal documents. (d) Don’t
tout contingent fees without
mentioning costs. It’s okay to just say contingent fees are available, or that
the first meeting is free. (e) We may not knowingly get someone else to break this rule or Rules 7.2 through 7.4. (See Rule 8.4(a)) (f) We may tout the attorney buying our practice if we comply with Rule 1.17(d).
7.2
Advertising:
(a) We may advertise in any media to prospective clients, consumers, or the
public at large. (b) We can’t pay others
to recommend us except for the (1) reasonable costs of advertisements, (2) the
usual non-profit referral services costs, (3) buying a law practice under Rule
1.17, and, (4) reciprocally refer clients with another attorney if (i) the agreement isn’t exclusive,
and (ii) the client is informed. (d) The ad must contain a responsible attorney’s or firm’s name and address.
7.3
Direct
Contact with Prospective Clients: (a) We shall not in person, by
phone, or email solicit new clients
with profit as our significant motive, unless the communication is to a (1)
lawyer, or (2) a relative, friend, or existing client. (b) We shall not solicit
in those manners OR in writing if (1) they’ve told us not to, or (2) our
solicitation involves coercion, duress or harassment. (c) We shall not solicit new personal injury or wrongful death work unless it’s to family or an existing client
or if it is made after the first 30
days after the injury or death. (1)We still can’t communicate if we
reasonably should know an attorney is representing, (2) and we must disclose if
a different attorney or firm will handle the case. (d) Solicitations must (1)
include the words “Advertising Material” on the envelope or at the beginning
and end of any non-letter communication, unless it’s to an attorney, to family,
a friend, or an existing client. (2) The outside of a mailing can’t reveal the
nature of the legal problem. We must keep copies, including envelopes, for 4
years. (e) Prepaid legal or group legal services plans which aren’t run by the
attorney are okay even if they solicit in-person or by phone for memberships or
subscriptions, if it’s not targeted.
7.4
Communication of Fields of Practice: (a)
We may say we are specialists and
that we do or don’t practice in specific fields. (b)(c) We may say we are Patent Attorneys or Admiralty if it’s true, (d) We can’t say we are certified as a specialist unless
(1) we’ve been certified by an organization that is
state-approved or
7.5
Firm
Names and Letterheads: (a) In firm names, letterheads, or “other professional designations”, we
may not violate or participate in violating Rule 7.1. We may use trade names in private practice if we
don’t imply a government or public-or-charitable-organization connection and
don’t violate 7.1. (b) Multi-state firms
can use the same name, but have to designate who is licensed where. (c) We may
not use the names of attorneys in public
office, during the substantial period of the office. (d) Only say you are
in a PC or partnership if that is so.
7.6
Political
Contributions to Obtain Legal Engagements or Appointments by Judges: We can’t get government work or a
“appointment by a judge” if we make or solicit political contributions for the
purpose of getting the work or appointment.
Part 8—Maintaining the Integrity of the Profession
8.1
Bar
Admission and Disciplinary Matters: If we apply to the bar or
reapply for reinstatement, or make statements concerning an application, we
can’t (a) knowingly make a false statement of material fact (b) or
fail to correct a known misapprehension
or fail to respond to lawful
admission or regulatory authority, except to protect Rule 1.6 (Confidentiality)
information.
8.2
Judicial
and Legal Officials: (a) We shall not knowingly make false statements or statements with reckless disregard about the qualifications or integrity of judges, adjudicatory officers, public
legal officers, or candidates for judicial or legal-office election, appointment
or retention. (b) A lawyer who is a candidate for judicial retention shall
comply with the judicial conduct code.
8.3
Reporting
Professional Misconduct: (a) If we have knowledge of a Rules violation that
raises substantial question as to an
attorney’s honesty, trustworthiness, or fitness to practice we shall inform the
appropriate authority or, (b) if we
have knowledge of a Judicial Rules violation that raises a substantial question
as to a judge’s fitness for office,
we shall notify the appropriate authority, (c) unless disclosure would violate Rule 1.6 (Confidentiality) or the information came from a peer assistance program (Including our Hotline.) and would similarly be confidential.
8.4
Misconduct: We
can’t (a) get some one else to do what we can’t do, (b) commit a crime that
reflects adversely on our honesty, trustworthiness, or fitness to practice, (c) engage in
conduct involving dishonesty, fraud,
deceit, or misrepresentation, (d) prejudice the administration of justice, (e), state or imply an ability to improperly influence a judicial officer
or government agency or imply we can “achieve results” by breaking the Rules or
“other law”, (f) knowingly assist a
judicial officer to break the Judicial
Rules or “other law”, (g) engage in conduct, during representation, that
appeals to or engenders bias as to race, gender, religion, national origin,
disability, age, sexual orientation, or socioeconomic status, or (h) engage in any other conduct that wrongfully
harms others and adversely reflects on the lawyer’s fitness to
practice law.
8.5
Jurisdiction:
(a) If we are licensed here, we are subject
to discipline even if we are working in
9.0
How
Known and Cited. You didn’t know there
was a Rule 9, did you? Don’t worry. It has no
substance…
…similarly
perhaps to these materials by:
Phil
James
Phil@Lawyer.com
www.Phils.Info
Last
revised Monday, May 16, 2011