AUG 0 3 2009
THE AMERICAN LAW INSTITUTE
A Concise Restatement
of
THE LAW GOVERNING
LAWYERS
Compiled
by
VINCENT
R.
JOHNSON
Professor of Law
St. Mary's University School of Law
and
SUSAN SAAB FORTNEY
George Mahon Professor
Texas Tech University School of Law
ST. PAUL,MN
AMERICAN LAW INSTITUTE PUBLISHERS
2007
Mat #40661125
TABLE OF CONTENTS
Page
Introduction......................................... .....................................
1
CHAPTER 1. REGULATION OF THE LEGAL PROFESSION
TOPIC 1. REGULATION OF LAWYERS-IN GENERAL
Section
1.
Regulation of Lawyers-In General.....................................
4
TOPIC 2. PROCESS OF PROFESSIONAL REGULATION
TITLE A. ADMISSION TO PRACTICE LAW
Admission to Practice Law..... ................................. .............
2.
6
TITLE B. AUTHORIZED AND UNAUTHORIZED PRACTICE
3.
Jurisdictional Scope of the Practice of Law by a Lawyer... . 7
4.
Unauthorized Practice by a Nonlawyer ............................... 11
TITLE C. PROFESSIONAL DISCIPLINE
Professional Discipline .......................................................... 15
5.
TOPIC 3. CIVIL JUDICIAL REMEDIES IN GENERAL
6.
Judicial Remedies Available to a Client or Nonclient for
Lawyer Wrongs.. ...... ...... ...... ................ .............................. .... 18
7.
Judicial Remedies Available to a Lawyer for Client Wrongs 23
TOPIC 4. LAWYER CRIMINAL OFFENSES
Lawyer Criminal Offenses.. .................................................. 24
8.
TOPIC 5. LAW-FIRM STRUCTURE AND OPERATION
TITLE A. ASSOCIATION OF LAWYERS IN
LAW ORGANIZATIONS
9.
Law-Practice Organizations-In General.... ....................... 25
TITLE B. LIMITATIONS ON NONLAWYER INVOLVEMENT
IN A LAW FIRM
10. Limitation n Nonlawyer Involvement in a Law Firm......... 29
TITLE C. SUPERVISION OF LAWYERS AND NONLAWYERS
WITHIN AN ORGANIZATION
11.
12.
A Lawyer's Duty of Supervision ........................................... 32
Duty of a Lawyer Subject to Supervision.......... ......... ....... ... 36
vii
TABLE OF CONTENTS
Section
Page
TITLE D. RESTRICTIONS ON THE RIGHT
TO PRACTICE LAW
13. Restrictions on the Right to Practice Law........... ................ 37
CHAPTER 2. THE CLIENT-LAWYER RELATIONSHIP
TOPIC 1. CREATING A CLIENT-LAWYER RELATIONSHIP
14.
15.
Formation of a Client-Lawyer Relationship...... .................. 40
A Lawyer's Duties to a Prospective Client........ ................... 46
TOPIC 2. SUMMARY OF THE DUTIES UNDER A
CLIENT-LAWYER RELATIONSHIP
16. A Lawyer's Duties to a Client-In General... ....................... 50
17. A Client's Duties to a Lawyer........... ...................... .............. 52
18. Client-Lawyer Contracts ...................................................... 52
19. Agreements Limiting Client or Lawyer Duties ................... 57
TOPIC 3. AUTHORITY TO MAKE DECISIONS
20. A Lawyer's Duty to Inform and Consult with a Client ....... 59
21. Allocating the Authority to Decide Between a Client and a
Lawyer ..................... .. ............................................................ 61
22. Authority Reserved to a Client.................................. .... ....... 63
23. Authority Reserved to a Lawyer.................. ......................... 64
24. A Client with Diminished Capacity...................................... 65
TOPIC 4. A LAWYER'S AUTHORITY TO ACT FOR A CLIENT
25. Appearance Before a Tribunal.............. ......... ....................... 68
26. A Lawyer's Actual Authority.. .......... .................................... 68
27. A Lawyer's Apparent Authority.......... .................................. 69
28. A Lawyer's Knowledge; Notification to a Lawyer; and
Statements of a Lawyer.. ...................................................... 70
29. A Lawyer's Act or Advice as Mitigating or Avoiding a Client's
Responsibility ............................................... ......................... 71
30. A Lawyer's Liability to a Third Person for Conduct on
Behalf of a Client................................................................... 72
TOPIC 5. ENDING A CLIENTBLAWYER RELATIONSHIP
31. Termination of a Lawyer's Authority ................ :.......... ........ 73
32. Discharge by a Client and Withdrawal by a Lawyer ........... 75
33. A Lawyer's Duties When a Representation Terminates ..... 79
viii
TABLE OF CONTENTS
Section
Page
CHAPTER 3. CLIENT AND LAWYER: THE FINANCIAL AND
PROPERTY RELATIONSHIP
TOPIC 1. LEGAL CONTROLS ON ATTORNEY FEES
34.
35.
36.
37.
Reasonable and Lawful Fees ................................................ 81
Contingent-Fee Arrangements ........................ .................... 85
Forbidden Client-Lawyer Financial Arrangements... .... ..... 90
Partial or Complete Forfeiture of a Lawyer's Compensation........................................................ .............................. 92
TOPIC 2. A LAWYER'S CLAIM TO COMPENSATION
38.
Client-Lawyer Fee Contracts ................. ...... ........ ............ .... 95
39. A Lawyer's Fee in the Absence of a Contract .. .................... 97
40.
Fees on Termination. ............................................................ 98
TOPIC 3. FEE-COLLECTION PROCEDURES
41.
Fee-Collection Methods ........................................................ 102
42. Remedies and the Burden of Persuasion ............................. 103
43. Lawyer Liens ......................................................................... 104
TOPIC 4. PROPERTY AND DOCUMENTS OF CLIENTS
AND OTHERS
44.
Safeguarding and Segregating Property .............................. 107
45. Surrendering Possession of Property ................................... 110
46.
Documents Relating to a Representation ............................ 112
TOPIC 5. FEE SPLITTING WITH A LAWYER NOT IN THE
SAME FIRM
47.
Fee-Splitting Between Lawyers Not in the Same Firm ..... 114
CHAPTER 4. LAWYER CIVIL LIABILITY
TOPIC 1. LIABILITY FOR PROFESSIONAL NEGLIGENCE
AND BREACH OF FIDUCIARY DUTY
48.
Professional Negligence-Elements and Defenses
Generally.......... ...................................................................... 117
49.
Breach of Fiduciary Duty-Generally .................................. 120
50. Duty of Care to a Client ........................................................ 121
51. Duty of Care to Certain Nonclients ...................................... 123
52. The Standard of Care. ..................................... ...................... 126
53. Causation and Damages ........................................................ 131
54. Defenses; Prospective Liability Waiver; Settlement with
a Client ................................................................................... 134
ix
TABLE OF CONTENTS
Section
55.
56.
57.
58.
Page
TOPIC 2. OTHER CIVIL LIABILITY
Civil Remedies of a Client Other Than for Malpractice ......
Liability to a Client or Nonclient Under General Law .......
Nonclient Claims-Certain Defenses and Exceptions to
Liability ........................................... .......................................
TOPIC 3. VICARIOUS LIABILITY
Vicarious Liability .............................................................. ...
138
139
140
143
CHAPTER 5. CONFIDENTIAL CLIENT INFORMATION
TOPIC 1. CONFIDENTIALITY RESPONSIBILITIES OF
LAWYERS
TITLE A. A LAWYER'S CONFIDENTIALITY DUTIES
59. Definition of "Confidential Client Information" .................. 151
60. A Lawyer's Duty to Safeguard Confidential Client
Information. ........................................................... ................ 152
TITLE B. USING OR DISCLOSING CONFIDENTIAL
CLIENT INFORMATION
61.
Using or Disclosing Information to Advance Client
Interests ... .......................... .................................................... 160
62.
Using or Disclosing Information with Client Consent.. ...... 161
63.
Using or Disclosing Information When Required by Law .. 161
64.
Using or Disclosing Information in a Lawyer's
Self-Defense .......................................................................... 162
65. Using or Disclosing Information in a Compensation
Dispute ................................................................................... 165
66.
Using or Disclosing Information to Prevent Death or Serious
Bodily Harm ............................................ .. ............................ 165
67.
Using or Disclosing Information to Prevent, Rectify, or
Mitigate Substantial Financial Loss .................................... 169
TOPIC 2. THE ATTORNEY-CLIENT PRIVILEGE
TITLE A. THE SCOPE OF THE PRIVILEGE
68. Attorney-Client Privilege ..................................................... 173
69. Attorney-Client Privilege-"Communication" .................... 175
70. Attorney-Client Privilege-"Privileged Persons" ................ 178
71. Attorney-Client Privilege-"In Confidence" ........................ 180
72. Attorney-Client Privilege-Legal Assistance as the Object
of a Privileged Communication ............................................ 182
x
TABLE OF CONTENTS
Section
Page
TITLE B. THE ATTORNEY-CLIENT PRIVILEGE FOR
ORGANIZATIONAL AND MULTIPLE CLIENTS
73. The Privilege for an Organizational Client.. ....................... 185
74. The Privilege for a Governmental Client ............................. 190
75. The Privilege of Co-Clients .................................................. 191
76. The Privilege in Common-Interest Arrangements ............. 193
TITLE C. DURATION OF THE ATTORNEY-CLIENT
PRIVILEGE; WAIVERS AND EXCEPTIONS
77. Duration of the Privilege. ..................................................... 196
78. Agreement, Disclaimer, or Failure to Object ....................... 196
79. Subsequent Disclosure .......................................................... 197
80. Putting Assistance or a Communication in Issue .......... ..... 200
81. A Dispute Concerning a Decedent's Disposition of
Property ................................................................................. 201
82. Client Crime or Fraud ........................................................... 202
83. Lawyer Self-Protection ......................................................... 205
84. Fiduciary-Lawyer Communications .................................... 206
85. Communications Involving a Fiduciary Within an
Organization .......................................................................... 206
TITLE D. INVOKING THE PRIVILEGE AND ITS EXCEPTIONS
86. Invoking the Privilege and Its Exceptions ........................... 208
TOPIC 3. THE LAWYER WORK-PRODUCT IMMUNITY
TITLE A. THE SCOPE OF THE LAWYER WORK-PRODUCT
IMMUNITY
87. Lawyer Work-Product Immunity ........................................ 209
88. Ordinary Work Product ........................................................ 212
89. Opinion Work Product .......................................................... 213
TITLE B. PROCEDURAL ADMINISTRATION OF THE LAWYER
WORK-PRODUCT IMMUNITY
90. Invoking the Lawyer Work-Product Immunity and Its
Exceptions .............................................................................. 214
TITLE C. WAIVERS AND EXCEPTIONS TO THE
WORK-PRODUCT IMMUNITY
91. Voluntary Acts ....................................................................... 215
xi
TABLE OF CONTENTS
Section
Page
92.
Use of Lawyer Work Product in Litigation .......................... 216
93.
Client Crime or Fraud ............. .............................................. 217
CHAPTER 6. REPRESENTING CLIENTS-IN GENERAL
TOPIC 1. LAWYER FUNCTIONS IN REPRESENTING
CLIENTS IN GENERAL
94.
Advising and Assisting a Client-In General ............... ....... 218
95.
An Evaluation Undertaken for a Third Person ................... 223
TOPIC 2. REPRESENTING ORGANIZATIONAL CLIENTS
96.
Representing an Organization as Client .............................. 226
97.
Representing a Governmental Client ................................... 231
TOPIC 3. LAWYER DEALINGS WITH A NONCLIENT
TITLE A. DEALINGS WITH A NONCLIENT-GENERALLY
98.
Statements to a N onclient .................................................... 235
TITLE B. CONTACT WITH A REPRESENTED NONCLIENT
99.
A Represented Nonclient-The General Anti-Contact
Rule ... .............. ........ .. .................... ......................................... 238
100. Definition of a Represented Nonclient ................................. 243
101. A Represented Governmental Agency or Officer ................ 247
102. Information of a Nonclient Known to Be Legally
Protected ......... .......... ............................................................. 250
TITLE C. DEALINGS WITH AN UNREPRESENTED
NON CLIENT
103. Dealings with an Unrepresented Nonclient ........................ 253
TOPIC 4. LEGISLATIVE AND ADMINISTRATIVE
MATTERS
104. Representing a Client in Legislative and Administrative
Matters .............................................................. ..................... 256
CHAPTER 7. REPRESENTING CLIENTS IN LITIGATION
TOPIC 1. ADVOCACY IN GENERAL
105. Complying with Law and Tribunal Rulings ........................ 258
106. Dealing with Other Participants in Proceedings ................. 259
107. Prohibited Forensic Tactics .................................................. 261
108. An Advocate as a Witness ..................................................... 262
109. An Advocate's Public Comment on Pending Litigation ...... 267
xlI
110. Frivolous Advocacy ...... .............................................. ............ 269
111. Disclosure of Legal Authority ............................................... 271
112. Advocacy in Ex Parte and Other Proceedings ..................... 273
TOPIC 3. ADVOCATES AND TRmUNALS
113. Improperly Influencing a Judicial Officer ........................... 274
114. A Lawyer's Statements Concerning a Judicial Officer ........ 276
115. Lawyer Contact with a Juror ......................... ....................... 276
TOPIC 4. ADVOCATES AND EVIDENCE
116. Interviewing and Preparing a Prospective Witness ............ 277
117. Compensating a Witness .. ..................................................... 280
118. Falsifying or Destroying Evidence ................. .......... ............ 281
119. Physical Evidence of a Client Crime .................................... 283
120. False Testimony or Evidence ................... ............................. 285
CHAPTER 8. CONFLICTS OF INTEREST
TOPIC 1. CONFLICTS OF INTEREST-IN GENERAL
121. The Basic Prohibition of Conflicts ofInterest ... .................. 292
122. Client Consent to a Conflict ofInterest.. ............................. 300
123. Imputation of a Conflict of Interest to an Mflliated
Lawyer ................................................. .... .............................. 310
124. Removing Imputation ........................................................... 316
TOPIC 2. CONFLICTS OF INTEREST BETWEEN A
LAWYER AND A CLIENT
125. A Lawyer's Personal Interest Mfecting the Representation
of a Client ............................................................................... 322
126. Business Transactions Between a Lawyer and a Client .. ... 325
127. A Client Gift to a Lawyer .... ................ .................................. 329
TOPIC 3. CONFLICTS OF INTEREST AMONG
CURRENT CLIENTS
128. Representing Clients with Conflicting Interests in Civil
TOPIC 4. CONFLICTS OF INTEREST WITH
A FORMER CLIENT
132. A Representation Adverse to the Interests of a Former
Client ... ................................................................................... 347
133. A Former Government Lawyer or Officer ........................... 355
TOPIC 5. CONFLICTS OF INTEREST DUE TO A LAWYER'S
OBLIGATION TO A THIRD PERSON
134. Compensation or Direction of a Lawyer by a Third Person 357
135. A Lawyer with a Fiduciary or Other Legal Obligation to a
Nonclient .. ;........ ................. ................................................... 360
Index ........... ............................................................................ 365