THIS ISN’T NAM! THERE ARE RULES: MPRE Notes
Practicing in Different States

Must be a member of the state’s bar association to practice in the state where you’re licensed/barred.

Licensed in State A but need to temporarily practice in State B:
1. Associate w/a local lawyer,
2. Get pro hac vice permission to settle a particular matter (doesn’t have to be a single case, just a single matter),
3. Mediation or arbitration is ok so long as it’s related to your practice in State A,
4. The services to be rendered in State B are related to your practice in State A.
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
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Foreign lawyers can assist temporarily via 1-4 too, but, can also assist if the services are based on foreign or int. law.
What if you practice in State B w/o a license or 1-4? Disciplined by both states.
Licensed in State A but need to temporarily practice in multiple states:
1. If you’re an in-house counsel for a co. or a gov. lawyer, you can litigate in diff. states if you get pro hac vice permission.
2. If you’re a foreign lawyer, you need to consult w/a local lawyer regarding applicable US law & get pro hac vice permission.
3. If state or fed. law allows for multijurisdictional practice, as w/patent prosecution.
Getting Disciplined & Reporting Rule Violations

Any attempt to violate a rule, inducement of another person to violate the rule, conduct that involves dishonesty, conduct that’s
prejudicial to the admin. of justice, or knowing assistance of illegality – subjects you to discipline.


When are you required to report a lawyer or judge? When their acts substantially question their honesty or fitness to be a lawyer.


Fed. cts. make their own independent evaluation of guilt looking at the evidence presented by the state.
You cannot give the ct. false evidence & can refuse to give evidence you reasonably think is false, unless it’s a criminal defendant’s
testimony on their own behalf.


What if a current judge seeks counsel from a retired judge regarding the need to disclose the bribes they’ve previously
accepted? Despite the general req. to report misconduct, here the current judge treated the former judge as an attorney,
therefore it’s protected under the duty confidentiality as a past crime. Had the current judge said they were currently
engaging in bribery, then the former judge’s duty to report would be trigerred.
Disciplined in State A? You’re conclusively guilty in State B too, but, State B can impose different sanctions than State A.


An imposed discipline is subject to review by the state’s SC.
If you give evidence you later find out is false, you must (1) try to convince the client to fix it, (2) withdraw if they refuse, &
(3) disclose it to the ct. ONLY applies to proceedings that have no yet concluded, including all appeals.
 If the client says “I perjured!” after trial is over (no appeals), you can’t do/say shit. Duty of confidentiality.
 If you know your criminal defendant is going to perjure in trial, then see (1)-(3) above.
You’ll be disciplined for the following conduct during trial:
i. Referring to inadmissible material,
ii.
Asserting personal knowledge of contested facts,
iii.
Asserting a personal opinion about the claim, the credibility of a witness, the culpability of a litigant, & the guilt or
innocence of an accused defendant,
iv.
Ex parte communication with a juror, doesn’t matter if you’re not litigating the case,
v. Ex parte communication w/a judge, unless it’s in writing & the adversary is properly notified/copied in advance,
vi.
Out of ct. statements that prejudice the case,
 Exception to warn the public of danger if it’s appropriate.
vii.
Failing to inform the ct. of a directly conflicting law/decision to your client’s position,
viii.
Misrepresenting a material fact or law, or, failing to correct a mistake of law or fact caused by you or your client.

What if the ct.’s computer doesn’t pick up your client’s previous conviction for robbery, &, thinking they’re a first
time offender, gives them a light sentence? You cannot disclose your client’s previous convictions, which you
learned of via the attorney-client privilege or even generally (ethical duty). You’re not liable for this material
mistake b/c you didn’t cause it.

You must disclose any potential material benefit to your client that could arise from your work on a law reform project, but don’t need
to identify the client by name.

If a lawyer asks someone to intimidate a judge, witness, juror, etc. they’re criminally liable, as well as subject to discipline, b/c they’re
acting as an accomplice even if they didn’t the person money.
Working with Non-Lawyers

You cannot enter in a partnership w/a non-lawyer if any part of the practice includes providing legal services.

Though you can’t assist non-lawyers in doing legal work (that’d get you disciplined), you can train them if their employment requires
familiarity w/the law. Like telling a paralegal how to fill out a visa application.

Cannot assist a suspended or debarred lawyer.

What if B&C were lawyers who worked together & just settled a case. A week later B got suspended & C got the check from
the client. Can C pay B? Yes, b/c B earned the $ before he got suspended.

When can you share fees w/a non-lawyer?
i. The recipient is the beneficiary of a death benefit agreement between a dead lawyer & their firm,
ii.
The recipient receives the purchase amount from the sold practice of a dead, disabled or disappeared layer,
iii.
The recipient is a non-profit which hired or recommended the lawyer for the paying work,
iv.
They’re a non-lawyer employee included in a retirement or compensation plan.

What if the non-lawyer employee of a lawyer violates the rules? Engages in solicitation? Or provides legal services? Supervising
lawyer has a duty remedy any impending consequences of the action, try to stop the conduct. Ultimately, a lawyer won’t be sanctioned
if they take appropriate precautions to supervise & remedy.
o Example: Lawyer A, Lawyer B, & Paralegal C all work together. C sees an accident, gives the injured man being put in
an ambulance A’s personal injury biz bard. When C tells A, he tells C to never do that again & maybe even disciplines
her, but A never tells B who ends up beginning litigation work for the injured man who called. Is A liable to discipline?
Yes! A had a duty to inform B & prevent the unlawful/improper consequence of C’s actions.

What can’t a non-lawyer do?
i. Appear in court or at depositions,
ii. Draft documents that substantially impact client rights,
 Writing/taking interviews or filling in forms is ok.
iii. Negotiate settlements, either w/clients or insurance companies.

Can a lawyer buy a witness’ plane ticket, a first class hotel room & all their meals to testify at trial? Yup, it’s a reasonable
accommodation expense, doesn’t matter that the plane ticket or hotel is 1st class b/c it’s still a necessary expense incident to them
being able to testify. Not an inducement. Can pay their missed wages during the time of trial too.
Working with Other Lawyers

Lawyer A will be disciplined for Lawyer B’s conduct if:
1. Lawyer A gave an improper order, or knowingly ratified Lawyer B’s conduct, or,
 But, if Lawyer B is a subordinate who receives a clearly unethical order, then they’re liable for carrying it out.
 What if Lawyer A gives their subordinate B arguable instructions regarding how to resolve a legal issue, but B
disagrees about its legality & does something diff.? B should’ve listened A, b/c if the question of professional duty
is arguable, then a supervisor’s reasonable resolution has authority.
2. Lawyer A is a partner w/supervisory responsibility over Lawyer B, &, learns of the conduct in time to remedy it but fails to
take any action.

When can you share fees w/another lawyer?
i. If they’re your current associate or partner,
 Don’t need the client’s permission to split fees w/another associate at the firm.
Pursuant to a separation or retirement agreement w/a former associate or partner,
ii.
 Cannot restrict a lawyer’s right to practice in the future in a settlement agreement, except as in relation to the amount of
retirement benefits a lawyer will receive.
The client consented in writing to you working w/another lawyer who either (a) assumed joint responsibility for the case, or,
(b) is getting paid in proportion to their work, & the total fee for your joint work is reasonable.
iii.

You can sell your legal practice to one or multiple lawyers/firms if (1) you’re going to stop practicing altogether or in the specific field
sold, (2) you give written notice to all your existing clients, &, (3) you make an effort to ensure the buyer is qualified to take over.
 Lawyer can re-enter the field of law in which they practiced prior to the sale, w/o discipline, if its caused by an
unanticipated change of circumstances like losing their job or an election for office.

Lawyers are working as a firm if they’re frequently consulting w/each other, have access to each other’s files, & work jointly on cases.
Working with Clients
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Attorney-Client Privilege:

Cannot legally reveal privileged communications & cannot ethically disclose confidential info.

Ethical duty pertains to all confidential info. related to the client’s representation, regardless of who/what was the source of
the info. Such info can only be disclosed w/the client’s written & informed consent.

Exception: Ethical duty does not bar lawyers from responding to a subpoena, so long as the requested info.
isn’t privileged, is essential to the case, & cannot be obtained in any other way.

If the client is a co. the privilege extends to the co.’s high-ranking officials & an employee who understands that you’re
advising the co. w/the info you get concerning acts within the scope of their duties.

Pre-existing documents that could be obtained through discovery don’t become privileged just b/c the client gave it to you.

Survives the end of representation & the client’s death.

Lawyers have a general duty to keep abreast of developments in their field that impact the effectiveness of their ability to
represent clients.

Exceptions:
i. Disclosure is necessary to prevent certain death or substantial bodily harm. You have discretion to do so; not mandatory.

ii.
Example: State law prohibits children’s flammable clothes. Co. pres. tells you the last batch got f-d but
they’ll sell it anyway & take the risk. When you tell the board, they don’t give a f. What must you do?
Withdraw as the co.’s attorney to not assist w/a crime. What can you do? Call the cops!
Disclosure is necessary to prevent fraud or crime perpetrated through the attorney’s services, or to mitigate such
financial harm if the fraud has already occurred.
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iii.
SEC exception permits you to reveal confidential info to prevent or remedy a securities violation that’s
likely to cause substantial financial injury to the client company or its shareholders.
Disclosure is necessary for you to defend yourself in a malpractice suit.

iv.
Self-Protection Exception - Can disclose as needed to establish a defense to a charge or civil claim against
the lawyer, based on conduct w/which the client was involved. Can only disclose after the assertion of
misconduct has arisen. Attorney can but shouldn’t disclose the client’s name.
Disclosure is necessary to obtain legal ethics advice from another lawyer.
v.
Disclosure is necessary to effectively represent the client by acquiring legal advice from another attorney.

vi.
vii.
viii.
ix.
x.
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Lawyer has implied authority to disclose what’s necessary to achieve effective representation, unless the
client specifically instructs them not to speak to anyone. Attorney should not disclose the client’s name.
Civil litigation between two former joint clients.
You’re asked for evidence about the client’s competence/intent to write a will or inter-vivos transfer.
The client authorized the disclosure, expressly or implicitly.
The law or the ct. requires you to disclose the info.
The info is necessary to resolve or determine the existence of a conflict of interest.
When is there a conflict of interest?
1. Client A is suing your Client B -> Non-consentable.
2. Clients seek joint representation but have conflicting defenses/claims/stories. If a reasonable disinterested lawyer wouldn’t
do it -> Non-consentable.
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Can represent them jointly in non-litigation proceedings if you get written informed consent.

If you previously jointly represented the clients & now they’re suing each other, neither can privilege info
vis-à-vis the other.
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What if you represent insurance company A & their client B, & after A pays you to represent B he reveals
that he lied about not being at fault on the insurance investigator’s report? Need to get permission from the
judge to withdraw, b/c you can neither effectively represent A w/o defending B, but you cannot effectively
represent B b/c of this info.
3. Representing a client in Case A & suing them in Case B. If a reasonable disinterested lawyer wouldn’t do it -> Nonconsentable. If they would -> Get written informed consent from the parties in the cases.

What if a firm’s lawyer got confidential financial info about A, didn’t share w/anyone, died, then the firm
represents B for a personal injury suit? No conflict b/c firm never got that confidential info. Firm doesn’t
even need A’s consent b/c no confidential info is at stake.
4. Representing Client A requires challenging Law X, but for Client B requires affirming Law X. If a reasonable disinterested
lawyer wouldn’t do it -> Non-consentable. If they would -> Get written informed consent from the parties in the cases.
5. If 1-4 occurs as between lawyers in a single firm, then Lawyer X’s conflict is imputed to the whole firm.

Unless Lawyer X’s conflict is personal to them, they’re timely screened from participating in the case &
get no $ from the case.
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What if Lawyer A discovers a conflict via Lawyer B, so B withdraws from representation. Can A proceed
w/representation w/o informing his client that there had been a conflict of interest? NO. Doesn’t matter
that B withdrew, thereby ending the conflict, still needs to be disclosed to the client.
6. If you previously substantially worked for the gov. on the matter at issue -> Must get written informed consent from gov. If
the gov. refuses then the lawyer’s firm is disqualified from litigating the matter unless they screen you.
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Same is true of reverse, if you previously worked for the firm but now the gov.

General rule: lawyer cannot represent a client on a matter for which they were a judge, arbitrator, or thirdparty neutral unless both sides/parties give written informed consent.
o But, cannot negotiate for a new job w/a party to the matter (exception for law clerks).
o Exception if you acted as a partisan, non-neutral, arbitrator. Then you can represent the person as
your client in any subsequent litigation.
o The matter is the same if the subsequent litigation raises many of the same issues.
 What if you’re a gov. attorney who represented the EPA as chief counsel suing co.’s
that dumped chemicals in rivers, then a diff. co asks you to defend them against a claim
7.
8.
9.
10.
of violating the EPA’s chemical dumping laws generally? You never substantially
participated in the matter at issue, so you don’t need the gov.’s permission.
 What if your worked for the VA in deciding claims, leave, then someone who’s claim
got decided while you worked there asked you to represent them on appeal? Doesn’t
matter that you didn’t acquire any confidential info about the veteran, just that you were
substantially involved in deciding their benefits claim previously. Cannot do it.
If while previously working for the gov. you got confidential info about a person that could be used to harm them -> Nonconsentable & will disqualify your whole firm unless you’re screened off.
If you litigate an issue substantially related to the claim of a former prospective client, such that the confidential info you
received could hurt the former prospective client -> Get written informed consent, or, Your firm (i) screens you, (ii) gives
written notice to the former prospective client, & (ii) doesn’t disclose any info beyond what’s absolutely necessary.
Cannot serve as both the director & lawyer of a co, if the dual-role compromises your professional judgment as a lawyer.
Serving as both a lawyer & necessary witness at trial -> Cannot do, no exception to ban. Non-consentable.

Can be both a lawyer & non-necessary witness if:
i.
You’re giving testimony about an uncontested fact,
ii.
Your testimony concerns the nature/value of your legal services in the case,
iii.
Your withdrawal as a lawyer would cause substantial hardship to the client, or,
iv.
Another lawyer in your firm is going to be called as a witness.
11. Cannot participate in the decision of an org. that adversely impacts the org’s clients or creates conflicts of interests with
your own clients.
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Remember that a reasonable lawyer wouldn’t do it if it negatively affected his relationship w/client B.

If Lawyer A is mayor & has a partnership w/Lawyer B, who’s representing a client in a bill that’s going to be voted on by
city council – is there a problem? YES. Mayor’s conflict of interest is imputed to the partner; neither can represent the client.

If you reject a prospective client, what duties do you owe them?
1. Keep confidential any personal info. they disclosed,
2. Protect any property they gave you,
3. Be careful about giving them any legal advice such as whether their claim has merit.

If you don’t clearly tell a prospective client you’re not going to represent them, then the ct. can imply your consent to represent them.
o What’s required? (1) no clear refusal, (2) client relied on this as indicating you’re going to represent them.
o What if you say “this might work, I’ll call back soon” & never do? Ct. will imply assent. Need to clearly say “I cannot
represent you at this time, but maybe - ”

When can you refuse a ct. appointment?
1. Representing the client would require you to break a rule or the law,
2. It’d impose an unreasonable financial burden,
3. You have such strong personal feelings you’d f-up the client’s representation.

When are required to refuse or stop representing a client?
1. Discover their motive is to harass,
2. Case is factually or legally frivolous & no good faith arg. about changing the law can be made,
 What if your client is trying to sue B, but the SOL has passed? Not frivolous b/c if B doesn’t raise the issue, then
your client’s claim is still valid. SOL only destroys the remedy, not the client’s right to sue.
3. You develop such strong personal feelings you’d f-up the client’s representation,
4. Your mental or physical capacity so deteriorated you’d f-up the client’s representation,
5. Client is going to commit fraud or crime via your legal services.

When can you refuse or stop representing a client?
1. Client previously used your legal services to commit crime or fraud,
2. Client broke a promise to you, like refusing payment, or is generally not cooperating,
3. Representation has become overly financially burdensome,
4. Client’s objective is totally repugnant to your beliefs.

Can assist a pro se litigant.

Lawyer is both the client’s fiduciary & agent. Responsible for safeguarding your client’s possessions.

Cannot make a K giving you a right to stop representing a client in the middle of a matter.

You’re liable for any property of your clients that’s stolen or lost while entrusted to you as a fiduciary. Burden is on you to prove
you took all the necessary reasonable precautions to keep it safe.

If the client wants to commit a crime, you must inform them of the legal repercussions & refuse to assist by withdrawing.

If the client has diminished mental or physical capacity, then you can appoint a guardian & disclose their confidential info as needed
in order to protect them.
 If the diminished person is a non-client in an emergency, you can take legal action on their behalf if (1) they don’t
have a guardian, &, (2) you don’t get paid.

Client must give their approval to:
1. A proposed settlement,
2. Whether to enter into a plea agreement in a criminal case,
3. Whether to waive their right to a jury trial in a criminal case,
4. Whether they’ll testify in a criminal case,
5. Whether they’ll appeal their case.

If you don’t know how to resolve the client’s case, you can (1) prepare, or, (2) consult w/another lawyer who is competent to help
after obtaining your client’s consent. These reqs. are waived in an emergency only to the extent that you need to resolve it.

You can be sued for malpractice on the following grounds:
i. Intentional tort – fraud, misrepresentation, misuse of funds,
ii.
Breach of fiduciary duties – loyalty, confidentiality, honest dealing,
iii.
Breach of K,
iv.
Negligence.
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
Client must (1) satisfy the “but for” test & (2) prove damages, they can recover for direct & foreseeable losses.
Cannot create a K limiting the client’s right to sue for malpractice unless the client is independently represented.
o Nor can you settle a malpractice claim if the client is unrepresented, unless you give them written warning to seek
independent counsel regarding the settlement & give them time to do so.

Can only enter into a biz K w/your client if:
i. The terms are fair,
ii.
The K’s terms are fully in writing & clearly understood by the client,
iii.
You advise the client in writing to get independent counsel before signing,
iv.
Client gives their written informed consent.

Can accept a substantial gift from a client, just cannot solicit.
o Cannot create a legal instrument that gives you a substantial gift unless the client is your relative.

Can only pay for your client’s:
i. Litigation expenses as an advance pending subsequent repayment,
ii.
Litigation expenses if your client is indigent/ie work for free.

If you’re representing a client before a gov. or admin. proceeding you need to make it clear you’re acting in a representative capacity.

Communicating with a third party:

If they’re represented by separate counsel, you can talk to them only if:
i.
ii.
iii.

It doesn’t concern the matter being litigated & you’re not harassing them or violating their rights.
It concerns the matter being litigated you first got consent from their attorney.
It concerns the matter being litigated & even though you didn’t get consent from their attorney, the state/fed. law of
your jurisdiction allows the communication.
If they’re not represented by separate counsel, you can talk to them only if:
i. You disclose you’re not disinterested,
ii.
You clarify any misunderstandings they have about your role in the proceedings, &,
iii.
You don’t give them any advice except to get an attorney, if their interests are likely to conflict w/you client’s.

If you provide both legal & non-legal services, if the latter is not clearly distinguished from the former then the rules apply to both.

At a jury trial, a lawyer cannot express their personal opinions even if they’re supported by evidence on the record.

“Member of the firm” means partner, not an associate (or shareholder in an incorporated firm).

If you’re fired, you must promptly return all documents the client’s entitled to (but you can retain copies of the files).

Can an attorney inform their client’s agent or family members not to speak w/opposing counsel? Yes.

Lawyer must reasonable belief this won’t harm his client’s or the agent/family member’s interests.

Lawyer can give their client’s family members legal advice pertaining to an issue so long as they explain they’re not
disinterested & the advice won’t hurt their client.

Can a prosecutor threaten someone w/criminal prosecution in an unrelated matter if they fail to assist in w/a pending investigation?
No, constitutes a criminal act of extortion. Threatening prosecution in order to gain valuable info.

Can you tell a client to violate a law in order to challenge it? Yes, if it’s part of a food faith effort to challenge the validity, meaning,
scope or application of a law.

What if a prosecutor overhears the accused talking in hushed whispers w/their lawyer about evidence that’s in conflict at a criminal
trial? They should pretend they never heard it & proceed w/the case. If she tries to call the accused to the stand he’ll invoke attorneyclient privilege. Nor is there any need to warn the ct. or judge b/c the client isn’t perjuring themselves, isn’t asking their attorney to
perjure, & isn’t planning to testify regarding the veracity of the evidence.

What if a client asks you to make & send a biz or property evaluation to a third party buyer? If it’s negative, you must first talk to your
client & get informed consent despite the previous authorization to send b/c the client didn’t suspect it’d be negative. Gives the client
the opportunity to possibly remedy by finding a specialist to do the evaluation.
Getting Paid

Must clearly explain how you’re getting paid/the fee amount in your K w/the client.

Cannot co-mingle payment w/your or the firm’s personal or biz funds. All payment/advances/settlement sums/any $ from client must
be kept in a separate client trust account.

Trust account must be in the state where you practice, or, the state where the client consented to have it.
o Can only put your own $ into the client trust account to pay bank service charges.
o If you’re given a large sum for a long time, it must be placed in an interest bearing account. Interest belongs to client.
 If the sum is small for a short time, put it in a pooled interest account & interest goes to a charitable legal program.

The fee must be reasonable in relation to the nature & expense of the services provided. Can demand an advance payment.

Required to return any un-spent portion of an advance payment if it’s not used by the close of litigation or if you get fired.

Not required to return a retainer.

Cannot acquire rights to a story based on your representation of a client until after the legal matter is totally complete, including all
pending appeals. Exception if it’s a contingent fee.

Can accept payment by:
i.
ii.
iii.
iv.
credit card,
property valued equivalent to the reasonable rate,
bank loan,
contingent fee.

Cannot use contingent fees in criminal cases or domestic cases to get a divorce, alimony, child support, or settle a property dispute.
When used, (1) the agreement must be in writing, &, (2) fee must still be reasonable.
i. If you’re fired before the case is settled, then you don’t get paid until that contingent event occurs, even though you’re
no longer working for them.

What if a client refuses to pay?
i. File suit,
ii.
Arbitration or mediation,
iii.
Get a charging lien,
iv.
Keep their documents, $, or personal property till they pay.

If the client is disputing the amount to be paid, give the client any undisputed amount immediately & put the disputed amount in a
client trust fund.
Advertising & Solicitation

Cannot name sample clients in your ad w/o first obtaining their consent.

Must include the name & office address of at least one lawyer that’s responsible for the ad’s content.

Cannot pay for recommendations.

Reciprocal Referral Arrangements:
o Can be w/a lawyer or non-lawyer.
o Requirements: (1) non-exclusive, (2) not indefinite, (3) disclosed to clients.
o If w/a lawyer, you cannot pay each other a referral fee if only one of you actually worked on the case. Can only pay for any
work actually done prior to contacting another attorney.

Cannot seek fee-paying work by offering your services in person, by phone, email, agents/non-lawyer persons, etc.
o Exception for:
i. pro bono work,
ii.
contacting family, close friends, & current or former clients,
iii.
contacting a prepaid group legal services plan, which can directly solicit prospective clients so long as they’re not
known to need legal advice.
o Any communication w/a person who needs legal help MUST be labeled “Advertising Material.” Family exception.

Firms w/offices in multiple jurisdictions can use the same trade name, but need to identify in what jur. each lawyer in an office is
licensed to practice.
o Cannot include in the firm’s name a lawyer who’s holding public office for a substantial period.
Get Judgey With It

Judge can never engage in conduct that gives an appearance of impropriety, in or outside the courtroom (ie, can’t beat wife).
o Conduct implicating their independence, temperament, honesty, etc.

Cannot hear ex party communications from a party to litigation unless:
i. It’s permitted by law,
ii.
Both parties consented in order to settle/mediate,
iii.
Emergency circumstances that don’t give any party an advantage in the litigation, so long as the other party is notified.

Judge can get advice from a disinterested legal expert so long as they notify the parties’ lawyer, who can object.

Judge cannot appoint a lawyer to an admin. position if they know the lawyer or their spouse contributed beyond a certain limit to the
judge’s campaign.

Judges must disqualify themselves if:
1. They have a personal bias regarding a party or their lawyer,
2. They have personal knowledge of relevant evidentiary facts,
3. Previously served as a lawyer or material witness in the matter at issue,
4. Were associated w/a lawyer or firm that substantially participated in the matter at issue,
5. Previously judged the matter in another court,
6. In a previous government work capacity expressed an opinion regarding the matter in controversy, or, personally &
substantially participated in it,
7. If they, their wife, their parents, their kids, or anyone living w/them, has an economic interest in the litigation that is more
than de minimis,

What if before becoming a judge, you bought a biz w/another lawyer who will routinely appear in your ct.? Have to
step down from the biz. b/c you can’t have a close biz relationship w/a lawyer in your ct. Doesn’t matter that the biz
doesn’t take up much of the judge’s time b/c it could suggest impropriety.
8. If any of the above judges’ family or co-residents is involved as a lawyer, material witness or interested third-party in the
litigation,
9. If they’re running for public election & the party, their lawyer, or their lawyer’s firm made an election contribution above a
specified amount within a set number of years,
10. If they made an out-of-court or out-of-opinion public statement committing the judge to a particular result/side in a
controversy.
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ALL BUT (1), can be waived if the parties’ & their lawyers agree.
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Judge cannot appear at a public or legislative hearing except to talk about the law/legal system.
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Judge cannot testify as a character witness unless subpoenaed.
o Also must not disclose non-public info acquires in their judicial capacity.
o Judge can testify to facts w/o voluntarily serving as a character witness.

Judge cannot accept appointment to any kind of gov. position or committee that doesn’t relate to the law/legal system.

Acceptable forms of discriminatory association:
o Monday night men’s poker club; idea is that it’s small, only includes colleagues.
 Not a men’s social club w/thousands of members, which isn’t permissible.
o Women’s support group for mothers.
 Cannot be a women’s bar association that refuses to admit male members.
o A cultural preservation group such as the Russian Heritage Group.
 Cannot be a cultural based business group trying to only promote Russian biz.
o Religious studies group limited to people from the judge’s church.

Judge cannot be a manager or employee of a biz unless it’s family run/they’re managing the family’s investments.
o Must step down from the family biz if it’ll lead to frequent disqualification or involve the judge in ongoing relationships
w/parties that’re likely to come before the court where the judge sits.

Judge cannot accept gifts, loans, etc. things of value if it appears to undermine the judge’s impartiality.
o Don’t need to report small social gifts, but do need to report gifts from a person who’s like to come before them in court.
o Judge must report all compensation/reimbursements for travel/lodging/food, etc. incidental to law-related extrajudicial
activities, if they exceed a certain $ amount.

Judge cannot be a fiduciary/executor/trustee unless it’s for a family member. Even then, cannot if the matter would ordinarily end up
in their court.

A full time judge cannot be a full time arbitrator, mediator, or private judge unless specifically authorized by the law.
o But can never practice law, not even for their family. They can only give their family legal advice or draft documents, but
w/o any compensation.

Judges & Campaigning:
o A judge or candidate cannot –
1. Campaign, solicit funds for, endorse, or contribute to political orgs. or candidates,
2. Personally solicit or accept contributions for their own campaigns, can only be through their campaign committee,
3. Use court resources to assist with their own campaign,
4. Make false or misleading statements,
5. Make statements that could impact the outcome or fairness of a matter being litigated,
6. Make statements, commitments or pledges that are inconsistent w/impartiality or issues that’re likely to come
before the judge’s court,
7. Cannot run for a non-judicial elected position like mayor while still a judge, need to step down first unless
otherwise allowed by state law.
o Not true if the judge gets nominated for an appointed position, can stay a judge.
8. Lead or hold office in a political org.
o A judicial candidate must take reasonable measures to ensure other people don’t engage in prohibited conduct on
the judge’s behalf.
o A judge or candidate can –
1. Establish a campaign committee,
 State law gives the committee a limited number of days in which it’s permissible to solicit or accept
contributions running-up to an election.
 Judge must instruct the committee to comply w/laws on contribution limits & any disclosure reqs.
2. Speak on behalf of their candidacy through any medium,
3. Publicly endorse or oppose candidates who are running for the same office/position,
 A candidate judge cannot make comments about people running for a different office/position.
 A non-candidate judge cannot make comments about anyone running for anything.
4. Go to dinners/events sponsored by a political org. or candidate for public office,
 Prohibited for a non-candidate judge.
5. Seek/accept endorsements from any non-partisan political person or org.,
 Can never accept or seek endorsement from a partisan political org.
6. Contribute to a political org. or candidate up to a specified $ amount.
 Prohibited for a non-candidate judge.

Can a judge accept benefits associated w/their spouse’s biz activities that only incidentally benefit the judge? Yes.
o Example: Husband works for Co. A that occasionally appears in the judge’s court. Husband won a company-wide
competition for a full expenses paid vacation w/a plus one, his wife the judge. It’s totally cool for her to go b/c what’s
relevant is that his prize is proper to share w/her, it’s personal, doesn’t matter that the co. can later be in ct. w/her.

Can a judge serve on the board of a foundation that provides services related to the law, & receive the same modest salary that is paid
to the other directors? Yes.
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Is there a problem w/a judge being in the same district ct. as where a family member is bringing a case as a plaintiff or lawyer? No, so
long as the judge isn’t the one actually deciding the case.