RULES CHART
Rule
Rule Title
Points to Remember
1.0
Terminology
CLIENT-LAWYER RELATIONSHIP
1.1
Competence
 Lawyer shall provide competent representation  knowledge, skill,
thoroughness and preparation
 Reasonably necessary for representation
1.2
Scope of
 Lawyer must follow clients direction in regards to objectives of
Representation &
representation
Allocation of
 Client decides plea, whether to settle, testify, and jury trial
Authority
 Lawyer may limit scope if client gives informed consent and limitation is
Between Client &
reasonable
Lawyer
 Lawyer shall not counsel client to engage in illegal action BUT can advise
client as to consequences
1.3
Diligence
 Lawyer shall act with reasonable diligence and promptness in representing
client
Relevant Cases/Comments
[6] Duty to maintain requisite knowledge and
skill and comply with continuing legal
education
Togstad v. Veseley
[1] Zealous advocacy
[4] lawyer should carry through to conclusion
matters undertaken by client
1.4
Communication
1.5
Fees
Lawyer shall
 Promptly inform the client regarding clients case
 Consult client about objectives
 Keep client reasonably informed
 Promptly comply with requests for information
 Consult client about relevant limitations or lawyers conduct  rules
violation
 Lawyer must explain matters so client can make decisions regarding
representation
A Lawyer shall not:
 Charge unreasonable fees
A Lawyer shall:
 Communicate fee before or immediately after commencing representation
(preferably in writing)
 Contingent fees must be in writing, signed by client, including percentage
of fee
[5] Solo practitioners
Togstad v. Veseley
FDIC v. Clark
[4] proprietary interest in cause of action or
subject of litigation
[5] foreseeable that more $ will be required
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1.6
Confidentiality of
Information
 Communicate which expenses the client is responsible for
A lawyers shall not:
 Contingent fee in criminal matter, domestic relations matters
Division of a fee to lawyer not in firm permissible if:
 Proportionate to work, client agrees in writing, total fee is reasonable
Lawyer shall not reveal
 Info relating to client unless informed consent
Lawyer may reveal
 Info to prevent reasonably certain death or injury
 Prevent committing a crime or fraud  services used
 Prevent, mitigate, rectify substantial injury  services used
 Secure legal advice in compliance with rules
 Establish claim or defense in action btw. Lawyer and client
 Comply with other law or court order
[3] work product doctrine, attorney client
privilege
[4] use of hypothetical’s
[6] substantial harm rule
[9] complying with rules of Professional
Conduct
[12] If request for confidential information
lawyer must discuss with client before
disclosure
[13] When ordered to reveal conf. info. 
consult client, appeal, comply
[16] lawyer must act competently to preserve
confidentiality
[17] reasonable precautions to prevent client
info from getting in wrong hands
1.7
Conflict of
Interest: Current
Clients
Lawyer shall not represent client in concurrent conflict
 Directly adverse to another client
 Representation could limit lawyer’s zeal
May represent if:
 Reasonably believes can be competent and diligent
 Not prohibited by law
Togstad v. Veseley
Hickman v. Taylor—undue hardship
[2] Steps to determine conflict
[23] representing multiple defendants in
criminal matters  grave risk of conflict
[24] Zeal of advocacy of a client because of
duties to another client
2
 Does not involve conflicted clients (π v. ∆)
 Informed consent given by each client (writing)
[25] class actions
[26] conflicts of interest can arise in contexts
other than litigation; depends on whether
there is a significant potential for material
limitation
[30] attorney-client privilege does not attaché
between commonly represented clients
[34] & [35] Organization as a client
1.8
Conflict of
Interest: Current
Clients Specific
Rules
Shall not enter into adverse business transaction with client unless:
 Fair and reasonable, in writing
 Advised in writing to get other counsel
 Informed consent given in writing
 Shall not use info to disadvantage of client unless given informed consent
 Shall not solicit substantial gift, prepare document that gives substantial
gift unless related to client
 Prior to termination of rep. no agreement for literary or media rights
Lawyer shall not:
 Provide financial assistance in pending or contemplated case except:
advancement of court costs or litigation expenses
 Poor client  can pay for expenses
Lawyer shall not accept payment from one other than client unless:
 Informed consent
 No interference with independent judgment
 Attorney-client info protected
 No aggregated settlement claims in criminal cases expect  informed
consent
A lawyer shall not:
 Prospectively limit malpractice suits unless client indep. Represented or
 Advised in writing to seek counsel and given time
Togstad v. Veseley
Pentnwalt Corp. v. Slough, Inc.
[2] lawyer should discuss both material risks
and existence of reasonable alternatives
[5] use of information relating to the
representation to the disadvantage of the
client violates the lawyer’s duty of loyalty
[6] small tokens are acceptable gifts and even
large gifts as long as not solicited. Lawyer
may not suggest that a client give a
substantial gift
[7] conveyance of a substantial gift
REQUIRES detached advice of another
lawyer
[9] literary rights
[16] Acquiring proprietary interest in subject
of litigation
[17] & [18] Sexual Relationships between
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1.9
1.10
Duties to Former
Clients
Imputation of
Conflicts of
Interest: General
Rules
1.11
Special Conflicts
of Interest for
Former & Current
Government
Officers &
Employees
1.12
Former Judge,
Arbitrator,
Mediator or Other
A lawyer shall not:
 Acquire proprietary interest in case except:
 Lien to get paid
 Contingent fee in civil case
No sexing unless predates lawyer-client relationship
Lawyer shall not represent another client in matter substantially related to a
matter of a former client in which interests are materially adverse unless 
informed consent given in writing
Lawyer shall not represent new client when old firm represented client that:
 Materially adverse interests
 Acquired confidential information (unless informed consent in writing)
Lawyer and firm shall not use old clients information to that clients
disadvantage unless info becomes generally known
Lawyers firm shall not represent client prohibited by 1.7 or 1.9 unless lawyer
personally adverse to representation
lawyers and clients
[2] clearly prohibited representation of new
client when directly and substantially
involved with old client with materially
adverse interests
[3] defines substantially related matters
Hickman v. Taylor
[4] does not apply when person with
information is a paralegal or secretary or law
student as long as they are timely screened
Old firm can represent new client with interests adverse to previous client as
long as
 The matter is not the same or substantially related
 Lawyers at the firm has no material information
Can be waived with informed consent in writing
Lawyer who has served as a public officer or employee of the government
Title 18 U.S.C.A. §207 - Restrictions on
former officers, employees, and elected
 Subject to 1.9(c)
officials of the executive and legislative
 Shall not represent a client in a matter which the lawyer participated in
branch
materially and substantially as a public officer unless government gives
informed consent  in writing
 When a lawyer is disqualified from representation no lawyer at the firm
can represent the client unless (1) disqualified lawyer is screened, (2)
written notice is given to gov’t agency and no part of fee is given to
disqualified lawyer
 Lawyer recently serving as a public officer or employee shall not –
negotiate for private employment unless law clerk
A lawyer shall not: (1) represent anyone in connection with a matter in which the lawyer participated in personally and
substantially as a judge unless all parties give informed consent in writing; (2) negotiate for employment if served as a judge
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1.13
1.14
1.15
1.16
Third-Party
Neutral
Organization as a
Client
Client with
Diminished
Capacity
Safekeeping
Property
Declining or
Terminating
Representation
If lawyer knows officer of organization is engaged in detrimental conduct that
relates to the representation and the conduct would be imputed to the
corporation the lawyer shall:
 Proceed as reasonably necessary in the best interests of org.  highest
authority
 If highest authority fails to take action AND the violation will result in
substantial injury  lawyer may reveal information to the extent necessary
to prevent substantial injury
This does not apply to investigations relating to lawyer’s representation or in
defending employee/officer in alleged violation
[3] policy decisions are not within lawyers
duty
[5] highest authority = board of independent
directors
Pentnwalt Corp. v. Slough, Inc.
IBM v. Levin
FDIC v. Clark
If discharged due to reporting lawyer shall act to assure highest authority is
informed of discharge
Lawyer has duty to inform client with diminished capacity as much as possible regarding case
Lawyer can take action on behalf of diminished clients when there is risk of substantial physical, financial or other harm
Lawyer shall keep property of client separate from their own ($$), maintained
in the same state as the lawyers office, appropriately identified and safe
guarded. Appropriate records shall be kept for 5 years
 Look here also for rules regarding FEES and maintaining fiduciary duties
 Lawyer shall promptly inform client of received funds and promptly
deliver to 3rd person property/funds they are entitled to receive
 When property is in dispute by 2 or more persons lawyer shall keep
property separate until dispute is resolved.
 Lawyer must promptly return any undisputed funds/property
Lawyer shall not represent client (or shall withdraw) if:
 Rep. = violation of professional conduct
 Physical or mental impairment
 Lawyer fired
Lawyer may withdraw if:
 No materially adverse affect on client
 Client wants to do criminal acts
 Client has used lawyer’s services to perpetuate crime or fraud
 Repugnant or fundamental disagreement
[3] handling disputed funds
N.Y Code of Prof. Responsibility
§1200.46[DR 9-102.] Preserving Identity of
Funds and Property of Others, Fiduciary
Responsibility…
[2] ordinarily must decline or withdraw if
client demands lawyer engage in unlawful
conduct
[4] client has right to discharge lawyer at any
time
[9] even when unfairly discharged lawyer
must take steps to mitigate consequences to
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 Client doesn’t pay  lawyer gives warning
 Unreasonable financial burden on lawyer
Lawyer must request withdrawal from tribunal  their ruling governs
1.17
1.18
Sale of Law
Practice
Duties to
Prospective
Clients
Lawyer must take steps to protect client’s interest  reasonable notice, time
to procure other representation, surrendering papers/property, refunding
advanced monies.
 Lawyer may retain papers to extent permitted by other law
Lawyer can sell or buy a practice if:
 Seller ceases to engage in private practice or in the area of practice sold
 Entire practice sold to one or more lawyers
Seller gives written notice to clients regarding: (1) proposed sale; (2) clients
right to retain other counsel; (3) clients consent presumed if the client does
not take action in 90days
Fees charged to client shall not be increased by reason of the sale
Lawyer shall not use or reveal information learned in consultations
 Lawyer shall not represent a client with interests materially adverse to
those of a prospective client in the same/substantially related matter
 No lawyer in firm can represent client except if: (1) both prospective and
client give informed consent in writing or (2) lawyer took measures to
only receive as much information as necessary to determine whether to
represent the client and (2)(a) disqualified lawyer is screened and (2)(b)
written notice given to prospective client
client
[3] return due to unforeseen circumstances
allowed
[14] retirement plans do not constitute sale of
practice
[2] a person who communicates information
to a lawyer without any reasonable
expectation that the lawyer is willing to
discuss the possibility of forming a clientlawyer relationship is not a prospective client
[4] Initial interview should be held to
determine whether there is a conflict. If so,
representation should be declined or lawyer
should inform client of conflict
[5] lawyer may condition conversations with
prospective clients on informed consent
[6] Not prohibited if prospective clients
information will not significantly harm
Togstad v. Veseley
COUNSELOR
2.1
Advisor
Lawyer shall give candid advice  law, economics, morals, political factors
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2.3
Evaluation for
Use by Third
Party
A lawyer may provide an evaluation for use by 3 rd party if making evaluation
is compatible with duties to client  if bad effect on client likely lawyer shall
not provide evaluation unless informed consent given
[3] when 3rd party will rely on evaluation
legal duty to that person may arise
[4] under no circumstances may lawyer make
false statement of material fact in evaluation
ADVOCATE
3.1
Meritorious
Claims &
Contentions
3.3
Candor Toward
the Tribunal
Lawyer shall not bring or defend non meritorious claims EXCEPT in criminal proceeding
A lawyer shall not knowingly:
 Make a false statement of fact to a tribunal or fail to correct a false
statement of material fact previously made
 Fail to disclose controlling legal authority that is directly adverse or not
disclosed by opposing counsel
 Knowingly offer false evidence
Lawyer shall:
 Take remedial measures when they later find out a witness has lied
Lawyer may:
 Refuse to offer evidence reasonably believed to be false (excluding
criminal matters)
If the lawyer knows person intends to engage, is engaging, or has engaged in
criminal or fraudulent conduct related to proceeding the lawyer shall take
remedial measures  disclose to tribunal
This includes disclosures of confidential material under 1.6  duty ends
when proceeding is concluded
3.4
Fairness to
Opposing Party &
Counsel
In an ex parte proceeding a lawyer shall inform the tribunal of all material
facts known to the lawyer to enable tribunal to make informed decision
(adverse + beneficial facts), including the existence of witness. EX: filing a
TRO
A Lawyer shall not:
 Unlawfully obstruct another parties access to evidence or alter, destroy or
conceal a document having potential evidentiary value
 Falsify evidence
 Knowingly disobey an obligation under court rules
[2] lawyer must not allow tribunal to be
mislead
[6] Steps to take if lawyer knows that the
client intends to testify falsely or introduce
false evidence
[8] Lawyer is only prohibited from offering
evidence known to be false. Knowledge can
be inferred from the circumstances
[10] Remedial Measures – steps that
constitute remedial measures
[13] Duration of Obligation
In re Seelig
Penthouse Int’l Ltd. V. Playboy
U.S. v. Litchfield
People v. Andrades
United States v. Thoreen
[2] handling evidence, temporary custody for
investigatory purposes
[3] it is not improper to pay a witnesses
expenses or an compensate an expert witness
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3.5
Impartiality &
Decorum of the
Tribunal
3.6
Trial Publicity
 Make frivolous discover request or fail to produce discoverable materials
 At trial, allude to irrelevant matters, assert personal knowledge of facts
except when testifying as a witness, or state a personal opinion
 Request a person to refrain from voluntarily giving relevant info unless:
(1) person is a relative/employee/agent and (2) reasonably believes
persons interests will not be adversely affected
Lawyer shall not:
 Seek to influence a judge, juror, or prospective juror by means prohibited
by law
 Communicate ex parte with judge/juror during proceeding
 Communicate with juror or prospective juror after discharge of jury if: (1)
the juror has made it known they don’t want to talk; (2) the
communication involves misrepresentation, coercion, duress or harassment
 Engage in conduct intended to disrupt a tribunal
Lawyer shall not make extrajudicial statements regarding a proceeding if
lawyer reasonably knows it will be disseminated to public and will materially
prejudice adjudicative process
A lawyer may state:
 The claim or defense, identity of persons
 Information in public record
 Investigation is in progress
 Scheduling of litigation
 Request for assistance to get information
 Warning of danger where likelihood of substantial harm is present
In criminal cases (can state above and):
 Identity, residence, occupation and family status
 If accused has been apprehended or information to aid in apprehension
 Fact, time, place of arrest
 Identity of investigation or arresting officers
Lawyer can make statement to press to counter recent statement that
prejudices client (must limit information to that necessary to mitigate
damage)
3.8
Special
No lawyer in firm or agency can make prohibited statements
Prosecutor in a criminal case shall:
In re Zawada
[4] belligerence – decorum
[3] the rule applies only to lawyers who are
or have been involved in the investigation or
litigation of a case, and their associates. The
rule precludes legal analysts
[5] Subjects more likely than not to have
prejudicial affect on a proceeding review 1-6
[7] Extrajudicial statements made in response
to other parties adverse statements
Gentile v. Nevada State Bar
[1] Prosecutor responsible for the
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Responsibilities
of a Prosecutor
 Refrain from prosecuting charges without probable cause
 Make reasonable efforts to get accused counsel
 Not seek a waiver of important pretrial rights from an unrepresented
person
 Make timely disclosure of all evidence tending to negate guilt of accused
or mitigate offense
 Disclose to defense and tribunal all known unprivileged mitigating
information
 Not subpoena a lawyer in criminal case about past or present client unless:
(1) the information is not protected; (2) evidence is essential to case or ongoing investigation; and (3) no other feasible alternative to obtain info.
Refrain from making unnecessary extrajudicial statements that have a
substantial likelihood of heightening public condemnation of the accused and
take reasonable care to ensure that investigators, law enforcement,
employees, and other persons in their control make no such statements
When new, credible material evidence that tends to show convicted ∆ is
innocent prosecutor shall:
 Promptly disclose evidence to appropriate court/authority
 If conviction obtained in prosecutors jurisdiction: (1) promptly disclose
evidence to ∆; (2) undertake further investigation to determine whether ∆
is innocent
administration of justice when lawyer
systematic abuse of prosecutorial discretion
constitute an 8.4
[2] should not attempt to obtain waivers of
preliminary hearings or other important
pretrial rights
[5] Prejudicial statements in relation to 3.6
[6] Duty to control investigators, etc. “even
when such persons are not under direct
supervision of the prosecutor”
[8] Prosecutor must seek to remedy
conviction
Gentile v. Nevada State Bar
Atty essentially called the police (potential
witnesses) corrupt. NV SC called it
prejudicial of material witness…brought
charges after conclusion of trial
When prosecutor knows ∆ was falsely convicted he shall seek to remedy the
conviction
TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS
4.1
Truthfulness in
In the course of representing a client a lawyer shall not knowingly
Statements to
 Make a false statement of material fact or law to a third person
Others
 Fail to disclose a material fact when disclosure is necessary to avoid criminal or fraudulent act by a client (unless 1.6)
4.2
Communication
In representing a client a lawyer shall not:
[4] parties to a matter may communicate
with Persons
directly with each other
 Communicate about the subject of representation with a person known to
Represented by
be represented by another lawyer in the matter; unless:
Counsel
 The lawyer has consent of the other lawyer or is authorized by law or court [7] constituent of organization
order
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4.3
When 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
 If lawyer knows or reasonably should know that person misunderstands lawyers role lawyer shall make reasonable efforts
to correct the misunderstanding
The lawyer shall not give legal advice to an unrepresented person other than to secure counsel if interests of person are
adverse to client
4.4
Respect for
Lawyer shall not:
[2] Prompt notification required but not
Rights of Third
additional steps to return information
 Use means with no substantial purpose other than to embarrass, delay, or
Persons
burden a third person, or
 Use methods of obtaining evidence that violate persons legal rights
A lawyer who knows or should know that they have received documents by
mistake shall promptly notify sender.
LAW FIRMS & ASSOCIATES
5.1
Responsibilities
A partner in a law firm (or equivalent lawyer) shall make reasonable efforts to [5] Duty to remedy
of Partners,
ensure that reasonable measures are in place to ensure conformity with the
Managers, &
rules of professional conduct
Supervisory
Lawyers
A lawyer directly supervising another lawyer shall make reasonable efforts to
ensure conformity with these rules
5.2
5.3
5.5
Dealing with
Unrepresented
Persons
Responsibilities
of a Subordinate
Lawyer
Responsibilities
Regarding
Nonlawyer
Assistants
Unauthorized
Practice of Law;
Multijurisdictiona
l Practice of Law
A lawyer shall be responsible for another’s violation of the RPC if:
 Lawyer orders or with knowledge ratifies conduct
 Lawyer is a partner or manager with direct supervisory control and knows
of the conduct at a time when its consequences can be avoided or
mitigated but fails to take reasonable remedial action
A lawyer is bound by the rules of professional conduct notwithstanding that the lawyer acted in direction of another person
Not in violation if follows reasonable decision regarding arguable question of professional duty
Lawyer shall make: reasonable assurance that the persons conduct is compatible with the professional obligations of the
lawyer
A lawyer shall be responsible for conduct of such a person that would violate RPC if : (1) lawyer knowing orders or ratifies
specific conduct; (2) knows of conduct and can mitigate damages
Lawyer shall not practice law in jurisdiction where not licensed
[6] Temporary and recurring basis allowed
 Say that they can practice in a jurisdiction that they are not barred in
Lawyer may temporarily practice in a jurisdiction that they are not barred in
if:
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5.6
Restrictions on
Right to Practice
PUBLIC SERVICE
6.2
Accepting
Appointments
 Associate with licensed lawyer
 Reasonably related to pending or potential matter before tribunal in
jurisdiction and granted authorization by law to practice
 Pending or potential arbitration, mediation, or other alternative dispute
resolution proceeding  arising out of practice in barred jurisdiction
 Not above but  arising out of practice in barred jurisdiction
Lawyer not barred in jurisdiction may provide legal services if:
 Works for an organization (in-house counsel) and does not need pro hac
vice admission; or
 Lawyer authorized by federal law to provide services
Lawyer shall not enter into agreement limiting right to practice unless
 Retirement benefits, or
 Restriction as apart of settlement of a client controversy
Lawyer shall not seek to avoid appointment by tribunal expect for showing of
good cause:
 Representation likely to result in violation of RPC or law
 Financial burden too great
 Repugnant
Look at 1.16 – declining or terminating representation
A lawyer who provides short term legal services (not-for-profit or court
appointment) with no expectation of continued representation:
 Is subject to rule 1.7 and 1.9(a) only if lawyer knows conflict exists and
 Subject to rule 1.10 only if lawyer knows another lawyer associated with
the lawyer is disqualified under rule 1.7 or 1.9(a)
 Except as provided in paragraph (a)(2), Rule 1.10 is inapplicable to a
representation governed by this rule
INFORMATION ABOUT LEGAL SERVICES
7.1
Communications
Lawyer shall not make a false or misleading communication about the lawyer
Concerning a
or lawyer’s services.
Lawyer’s
 False/Misleading statements omit facts necessary to make the statement
Services
truthful
7.2
Advertising
Lawyer may advertise using public media
6.5
Nonprofit CourtAnnexed Limited
Legal Services
Programs
[2] Good cause exists if lawyer can not
handle matter competently
[1] In programs like legal advice hotlines
there is no expectation that the lawyer-client
relationship will continue after the limited
consultation
Florida Bar v. Went For It, Inc.
Florida Bar v. Went For It, Inc.
11
7.3
Direct Contact
with Prospective
Clients
Lawyer shall not give anything of value for a person recommending lawyer
services except that a lawyer may:
 Pay reasonable advertising costs
N.Y Code of Prof. Responsibility
 Pay usual charges for not-for-profit or qualified referral service
§1200.38[DR 7-107.] Trial Publicity
 Pay a law practice (1.17)
 Refer clients to another lawyer or Nonlawyer professional pursuant to a
reciprocal agreement that is: (1) not exclusive and (2) informed consent
given by client
 All ads must contain name and office of at least one lawyer or firm
responsible for its content
A lawyer shall not in-person, telephone, real-time electronic contact solicit professional employment from prospective client
when significant motive for solicitation is lawyers pecuniary gain; unless person contacted:
 Is a lawyer
 Family, close personal, or prior professional relationship
Lawyer shall not solicit employment by any means if:
 Prospective client has made it clear they do not want solicitations
 Solicitation involves coercion, duress or harassment
Every solicitation to a person known to be in need of representation must include the words “Advertising Materials” on
outside envelope (at beginning and end of recorded communication) unless recipient is lawyer, family, etc.
Lawyer may participate in prepaid or group legal services that uses otherwise prohibited means of communication for persons
not known to need legal services
MAINTAINING THE INTEGRITY OF THE PROFESSION
8.1
Bar Admission &
[1] material false statement in connection
 Lawyer shall not lie on bar examination or application
Disciplinary
with an application for admission it may be
 Fail to disclose fact necessary to correct misapprehension known to have
Matters
basis of subsequent disciplinary action
arisen
 Knowingly fail to respond to a lawful demand for information; except for
confidential info protected by 1.6
8.3
Reporting
A lawyer who knows that another lawyer has committed a violation shall inform the appropriate professional authority
Professional
Misconduct
A lawyer who knows that a judge has committed a violation that raises substantial question as to judges fitness shall inform
appropriate authority
8.4
Misconduct
This rule does not require disclosure of information protected by 1.6 gained during lawyer assistance program
It is professional misconduct for a lawyer to:
[2] Pattern of repeated offenses, even ones of
minor significance when considered
 Violate or attempt to violate the rules of professional conduct or
12
knowingly assist or induce another to do so
 Commit a criminal act that reflects adversely on honesty, etc.
 Engage in conduct that is prejudicial to the administration of justice
 Engage in conduct involving dishonesty, fraud, deceit, or
misrepresentation
 State or imply the ability to improperly influence gov’t agency or to
achieve results by means that violate these rules
 Knowingly assist a judge or judicial officer in conduct that violates rules
or law
8.5
separately, can indicate indifference to legal
obligation
[3] a lawyer who, in the course of
representing a client, knowingly manifests
words/conduct, bias or prejudice based on
race, sex, religion, national origin, disability,
age, sexual orientation or SES, violates
paragraph (d)
Cincinnati Bar Ass’n v. Statzer – 8.4(c)
In re Gatti – 8.4(c)
Disciplinary
Authority, Choice
of Law
Lawyer is subject to discipline in jurisdictions where:
 Lawyer is barred
 Provides or offers to proved legal services
Lawyer can be subject in both jurisdiction for the same conduct
Choice of law
 When conduct involves pending case  rules of that jurisdiction apply
 For any other conduct the rules for that jurisdiction apply unless predominate affect of conduct is in a different jurisdiction
Lawyer shall not be subject to discipline if follows laws of jurisdiction where reasonably believes predominate affect will
occur.
CODE OF JUDICIAL CONDUCT
Rule 2.15 – Responding to
D. A judge who receives information indicating a substantial likelihood that a lawyer has committed a violation of the Rules
Judicial and Lawyer
of Professional Conduct shall take appropriate action
Misconduct
Rule 1.2 - Promoting
A judge shall act at all times in a manner that promotes pubic confidence in the independence, integrity, and impartiality of
Confidence in the Judiciary
the judiciary, and shall avoid impropriety and the appearance of impropriety.
18 U.S.C.A. §207(a)(1)—
Permanent Restrictions on
Former Officers, employees
of Executive & Legislative
Branches
18 U.S.C.A. §207(a)(2)—2
yr Restrictions for former
managers
Permanent restriction to knowingly influence via communication or appearance before any agency, court, or court-martial of
the US or DC in connection with a particular matter that
 US or DC has a direct and substantial interest
 Which the person has participated personally and substantially and
 Which involved a specific party or specific parties at the time of such participation
2yr ban on appearing before any agency, court, court- martial US or DC on behalf of any other person in connection
w/particular matter
 In which US or DC has a direct and substantial interest
 That one knows or reasonably should know was actually pending under his or her official responsibility 1 yr prior
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
18 U.S.C.A. §207 (c) –1 yr
ban Restrictions for ANY
employee
ending employ w/US or DC
Which involved a specific party or parties at the time it was so pending
1 year ban on appearing before the agency, court, court- martial of US or DC where you worked on behalf of any other
person for any reason
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