ABA rules do not have the force of law, ethics codes attain force of law when they are adopted by the
state’s supreme courts/federal courts, courts have the principal responsibility for regulating lawyers
An attorney-client relationship is forged what an individual seeks and receives legal advice, and a
reasonable person would rely on that advice.
Rule 1.0(d) – “Fraud” is an intentional misrepresentation of a material fact, a lie or purposeful
deception. Omissions and half-truths count.
Rule 1.1 – Competence
A lawyer shall provide competent representation to a client. Competent representation requires the
legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation.
*Usually, the required proficiency is that of a general practitioner, but expertise in a particular field
may be required*
*Don’t need special training or prior experience to handle legal issues the lawyer is unfamiliar with*
*Can give advice in an emergency on a matter if a referral to another lawyer would be impractical, but
should limit advice to what is reasonably necessary to the circumstances*
*Can represent a client in a matter where the requisite level of competence can be achieved by
reasonable preparation*
*If you are going to contract with a lawyer outside the firm for their specialized knowledge, obtain
informed consent from the client*
Rule 1.2 – Scope of Representation and Allocation of Authority Between Client and Lawyer
(a) Subject to (b) and (c), lawyer will follow client’s decisions concerning the objectives of
representation, and as required under Rule 1.4, will consult with the client on how the
objectives will be pursued. Lawyer can make decisions impliedly authorized. Client decides
whether to settle a matter. Lawyer abides by client’s decision on pleading in a criminal case,
waiver of a jury trial, and if client will testify.
(b) Lawyer’s representation does not serve as an endorsement of a client’s political, economic,
social, or moral views
(c) Lawyer may limit scope of representation if it is reasonable under the circumstances and client
gives informed consent
(d) Lawyer will not counsel a client to engage or assist a client in conduct that is
criminal/fraudulent, but should discuss legal consequences with client and assist client to make
a good faith effort to determine validity, scope, meaning or application of the law
*Client can authorize lawyer to take specific action on the client’s behalf without further
consultation*
Rule 1.2(d) – attorney cannot guide a client on how to break the law or help the client engage in conduct
that is criminal or fraudulent


Lawyer can be disciplined for a criminal act even if there are no charges filed/acquitted, for the
actions of an employee
Disbarred/suspended in one state could continue to practice in another state unless/until the
state imposes reciprocal or other discipline
o Must disclose disciple to other state

Lawyers are required to report serious misconduct if it raises “a substantial question about the
honestly, trustworthiness, or fitness” of the attorney
o NOT required to report
 Information protected by confidentiality
 Information learned while participating in a lawyers’ assistance program
Rule 1.3 – Diligence
A lawyer shall act with reasonable diligence and promptness in representing a client.
*Lawyer’s workload must be controlled so each matter can be handled competently*
*Must be clear with client about the continuing client-lawyer relationship once a matter is resolved.
Ex: if client received an adverse judgement on a matter, lawyer must be clear that client has to agree
lawyer will handle appeal before concluding responsibility in the matter unless lawyer’s scope of
representation already has been agreed to*
*Must have a contingency plan if a sole practitioner dies or becomes disabled*
Rule 1.4 – Communication
(a) Lawyer shall
a. Promptly inform client of any decision/circumstance with respect to client’s informed
consent
b. Reasonably consult with client about how client’s objectives will be accomplished
c. Keep client reasonably informed about the status of the matter
d. Promptly comply with requests for information
e. Consult with client about any relevant limitation on the lawyer’s conduct when the
lawyer knows that the client expects assistance not permitted by the Rules or other law
(b) Lawyer shall explain a matter to the extent reasonably necessary to allow client to make
informed decisions regarding representation
*Ex: must promptly communicate with client about settlement offers and plea bargains unless the
client previously indicated that the proposal will be acceptable/unacceptable or has authorized
lawyer to accept/reject the offer*
*ability to converse depends on importance of the action and the feasibility of consulting with the
client, exigency may require lawyer to act without prior consultation but must immediately
inform the client of the actions*
*should advise clients on things that will incur significant expense*
*lawyer may be justified in delaying transmission of information a client might react recklessly to,
ex: withholding a psychiatric diagnosis if examiner says disclosure may harm the client*
*cannot withhold information that serves lawyer’s own interest, convenience, or either for a third
party*
*Rules/court orders can direct a lawyer to withhold information during litigation*
Rule 1.6 – Confidentiality of Information
(a) Lawyer will not reveal information relating to the representation of a client unless client gives
informed consent, disclosure is impliedly authorized to carry out representation or disclosure is
permitted by (b)
(b) Can disclose to the extent reasonably necessary information to:
a. Prevent reasonably certain death or substantial bodily harm
b. Prevent the client from committing a crime/fraud that is reasonably certain to cause a
substantial injury to the financial/property interests of another, and the client is using
your services to do so
c. Protect/mitigate/rectify substantial injury to financial/property interest of another
that you’re reasonably certain will result/has resulted from client committing
crime/fraud, and the client is using your services to do so
i. Does not apply if client committed a crime already and is hiring you to
represent them in that matter
d. To receive legal advice to check your compliance with the rules
e. To establish a claim/defense in a controversy between you and client, to establish a
defense to a criminal/civil claim against you because of your client’s actions, to respond
to any proceedings concerning the lawyer’s representation of the client
f. To comply with law/court order
i. Statutes, city ordinances etc.
g. To detect/resolve conflicts of interest when you change firms or firm restructuring , but
only information that doesn’t not break privilege or prejudice the client.
(c) You must make reasonable efforts to prevent inadvertent unauthorized disclosure/unauthorized
access to information relating to representation of a client
*hypotheticals are allowed if there is no reasonable likelihood that the listener will be able to
figure out the client or situation involved*
*confidentiality continues after the client-lawyer relationship has ended*
*lawyers at the same firm may, during firm practice, disclose to each other information relating to
a client of the firm, unless the client has instructed that particular information be confined to
specific lawyers*
*work product doctrine*
*confidential – information relating to the representation of a client*
*privilege – only covers communications that the client reasonably believes were made in private
between the client and the lawyer for the purpose of seeking or delivering legal advice/services*
*exception to privilege for disputes between heirs, court outweighs the benefits of settling an
estate to keeping privilege to a dead person*
Rule 1.7 – Conflict of Interest: Current Clients
(a) Except for exceptions under (b), lawyer shall not represent a client if the representation involves
a concurrent conflict of interest, which exists if:
a. Representation of one client will be directly adverse to another client; or
b. There is a significant risk that representation of one or more clients will be materially
limited by the lawyer’s responsibilities to another client, former client, third person, or
by a personal interest of the lawyer
(b) Lawyer may represent a client in a matter with a concurrent conflict of interest if:
a. Lawyer reasonably believes that they will be able to provide competent and diligent
representation to each affected client;
i. Can sue current client if this is satisfied
ii. Both clients give informed consent, confirmed in writing
b. Representation is not prohibited by law
c. Representation does not involve the assertion of a claim by one client against another
client represented by the lawyer in the same litigation or other proceeding before a
tribunal; and
d. Each client gives informed consent, confirmed in writing
*lawyer can represent two clients seeking legal assistance with a common goal, if interests could
conflict lawyer must inform clients about the possible downside of joint representation and
obtain their consent, if no conflict is apparent, informed consent is not required*
*can’t get around the rule by merely preparing documents for clients and not giving legal advice*
*Privilege does not shield information from either client when they are jointly represented*
*lawyer must withdraw if one client decides to keep a material matter to representation secret
from the other client*
*if clients end up suing one another, lawyer cannot represent either of them – the party that is
dropped becomes a former client and you cannot sue a former client on behalf of a current client*
*ignorance caused by a failure of establishing proper conflict of interest procedures does not
excuse a lawyer’s violation of the rule*
*lawyer may not represent a client in one matter against a client lawyer already represents in
some other matter, even when the matters are completely unrelated*
*if two client’s competing interests are only economically adverse, concurrent representation in
unrelated matters does not ordinarily create a conflict of interest and may not require consent of
the respective clients*
*related lawyers cannot be on opposite sides of a matter unless the client consents,
disqualification is personal so other lawyers in the firm are free to take up representation*
*representation is prohibited if the lawyer cannot reasonably conclude that they can provide
competent and diligent representation*
*Informed consent requires each affected client be aware of the relevant circumstances and of
the material/foreseeable ways that the conflict could have adverse effects on the interests of the
client*
*if one client refuses to consent to the disclosure necessary for the other party to make an
informed decision, lawyer cannot ask for informed consent from other party*
*client can revoke consent and terminate the lawyer at any time, can possibly preclude lawyer
from representing the other client based on the nature of the conflict, a change in material
circumstances, whether material detriment to the other client or lawyer would result*
*typically, a lawyer should not represent more than one defendant*
*lawyer can prepare wills for several family members but depending on the circumstances a
conflict may be present*
*common representation is permissible where the clients’ interests are generally aligned, even if
there is some difference in interest among them*
*lawyer who represents corporation/organization does not necessarily represent any constituent,
or affiliated organization – like a parent company or subsidiary, unless circumstances are that the
affiliate should also be considered a client of the lawyer*
*lawyer sitting on the board of a corp and advising on legal matters [35] p. 37*
Rule 1.8( b) – Conflict of Interest: Current Clients: Specific Rules
(c) Lawyer shall not use information relating to representation of a client to disadvantage the client
unless the client gives informed consent, except as permitted or required by Rules
*does not prohibit uses of confidential information that do not disadvantage the client*
Rule 1.9 –
allowed if prior representation did not involve a substantial risk that confidential information as would
normally have been obtained in a prior representation would materially advance the client’s position in
the subsequent matter”
Rule 1.10 – Imputation of Conflicts of Interest: General Rule
(a) No lawyers working at a firm shall knowingly represent a client when any one of them practicing
alone would be prohibited by Rule 1.7/1.9 unless:
a. Prohibition is based on a personal interest of the disqualified lawyer and does not
present a significant risk of materially limiting the representation of the client by other
lawyers in the firm; or
b. Prohibition is based on Rule 1.9(a) or (b) and disqualification is due to lawyer’s
association with a prior firm, and
i. Disqualified lawyer is timely screened from any participation in the matter and
does not receive any part of the fee therefrom;
ii. Written notice is promptly given to any affected former client to enable former
client to ascertain compliance with Rule’s provisions; a statement that review
may be available before a tribunal; and an agreement by the firm to respond
promptly to any written inquiries or objections made by the former client about
screening procedures; and
iii. Certification of compliance with these Rules, screening procedures are provided
to former client by a screened lawyer/partner at reasonably intervals upon
former client’s written request and upon termination of the screening
procedures
(b) When a lawyer terminates association with a firm, the firm is not prohibited from thereafter
representing a person with interests materially adverse to those of a client represented by the
former attorney and not currently represented by the firm, unless:
a. Matter is the same or substantially related to what the former lawyer represented the
client in; and
b. Any lawyer remaining at the firm has information protected by 1.6/1.9(c) that is
material to the matter
c. Disqualification under Rule may be waived by affected client under Rule 1.7
d. Disqualification of lawyers associated with the firm with former or current government
lawyers governed by Rule 1.11.
Rule 1.13 – Organization as Client
(a) a lawyer employed or retained by an organization represents the organization acting thought its
duly authorized constituents
(b) If a lawyer knows that an employee is engaging in a criminal act that can be likely to result in
substantial injury to the organization, lawyer must act in the best interests of the organization. If
you reasonably believe that the action is not necessary in the best interest of the organization,
then the lawyer can refer the matter to a higher authority within the organization.
(c) if the organization does not address the issue within a timely and appropriate matter, and you
are substantially certain the violation will injure the organization, lawyer may reveal
information.
(d) disclosure does not apply if you are representing the organization/employee if your
representation arises out of an alleged violation of the law
(e) if you are fired or withdraw from representation because of reporting the criminal act, the
lawyer should take reasonably necessary steps to inform the board of directors.
(f) lawyer must explain their role (representing the entity) when dealing with officers, directors,
employees or shareholders when the lawyer knows or reasonably knows that the organization's
interests are adverse to the person.
(g) a lawyer may represent individuals for the organization, subject to following Rule 1.7
*client is the ENTITY itself*
*if consent for a matter is required, a designated corporate official can give it*
*if lawyer does not clarify their role to an employee seeking legal advice and behaves in a manner
that would justify the employee expecting confidentiality, you may inadvertently create an
attorney-client relationship and have to withdraw from both parties*
Rule 1.14 – Client with Diminished Capacity
(a) When client’s capacity to make adequately considered decisions about representation is
diminished, due to either being a minor or mental impairment, lawyer shall, as far as reasonably
possible, maintain a normal client-lawyer relationship
(b) If lawyer reasonably believes the client has diminished capacity, is at risk of substantial physical,
financial, or other harm unless action is taken and cannot adequately act in the client’s best
interest, lawyer may take reasonably necessary protective action – consulting with individuals or
entities that have the ability to take action to protect the client, including seeking the
appointment of a guardian ad litem/conservator/guardian
(c) When taking protective action, lawyer is impliedly authorized under Rule 1.6(a) to reveal
information about the client, but only to the extent to reasonably protect the client’s interests,
even if client directs the lawyer not to
*client may want family/other person present during discussions with lawyer, and when it is
necessary to assist in the representation of the client, attorney-client privilege remains intact,
client must still be making the decisions*
*in an emergency concerning health, safety, or financial interest of a client with diminished
capacity is facing imminent or irreparable harm, lawyer can take legal action on their behalf. Can
only act if lawyer reasonably believes the person has no other lawyer, agent, or representative
available. Only take legal action reasonably necessary to maintain the status quo or to avoid the
harm*
*normally, lawyer does not seek compensation got emergency actions*
Rule 1.16 – Declining or Terminating Representation
(a) Except for exceptions from (c), a lawyer WILL NOT represent a client or will withdraw from
representation if:
a. Representation will violate the Rules or other law
b. Lawyer’s physical/mental health materially impairs ability to represent client
c. Lawyer is discharged
(b) Except for (c), lawyer MAY withdraw if:
a. Withdrawal will not materially affect the interests of the client
b. Client wants lawyer’s services for something you reasonably believe to be criminal or
fraudulent
c. Client has already used services to perpetrate a crime/fraud
d. Client insists on a course of action the lawyer finds repugnant or has a fundamental
disagreement with
e. Client fails to substantially fulfill an obligation to the lawyer and has been warned that
lawyer will withdraw if obligation is not met
f. Representation will result in an unreasonable financial burden to lawyer, has been
rendered unreasonably difficult by the client, other good cause for withdrawal exists
(c) Lawyer must follow applicable law requiring notice or permission from a tribunal to withdraw. If
ordered to withdraw by tribunal, lawyer shall continue representation unless there is a good
cause to withdraw
(d) After termination, lawyer will take reasonable steps to protect the interests of the client, ex:
giving reasonable notice, time to find new counsel, giving client papers/property that they are
entitled to, refunding unused advance/retainer.
*should only accept representation in a matter that can be performed competently, promptly,
without conflict of interest, and to completion*
*don’t have to decline/withdraw if client merely suggests an illegal/rule violation action*
Rule 1.18 – Duties to Prospective Client
(a) A person who consults with a lawyer about the possibility of forming a client-lawyer relationship
with respect to a matter is a prospective client
(b) Even if no client-lawyer relationship does not occur, lawyer who has learned information from a
prospective client shall not use or reveal that information, except as Rule 1.9 allows with respect
to information on a former client
(c) Lawyer under (b) shall not represent a client with interests materially adverse to the prospective
client in the same or substantially related matter if lawyer received information from the
prospective client that could be significantly harmful to the matter, except for under (d). If
lawyer is disqualified from representation, no lawyer in the firm may knowingly undertake or
continue representation, except (d) exceptions
(d) Lawyer received disqualifying information under (c), may represent if:
a. Both affected client and prospective client give informed consent, confirmed in writing;
or
b. Lawyer took reasonable measures to avoid exposure to more disqualifying information
than was reasonably necessary to determine whether to represent the prospective
client; and
i. Disqualified lawyer is timely screened from any participation in the matter and
is not paid a fee therefrom
ii. Written notice is promptly given to the prospective client
*prospective clients receive some, but not all protections afforded to clients*
*consultation is likely to have occurred if a lawyer, either in person or through advertisement,
specifically requests or invites the submission of information about potential representation
without clear and reasonably understandable warnings/cautionary statements regarding
lawyer’s obligations, and a person provides information in response*
*no consultation if information is provided in response to a lawyer’s advertisement that
merely lists lawyer’s education, experience/area of practice, contact information, or provides
legal information of general interest*
*cannot pull a “Marriage Story” and attempt to disqualify all the attorneys in an area*
*Client and other affected parties must provide informed consent if client still wishes to retain
lawyer if a conflict of interest or other reason for non-representation exists*
*Lawyer can condition a consult with prospective client that no information revealed during
the consult will prohibit lawyer from representing a different client in the matter*
*client can consent to lawyer’s subsequent use of information received from prospective
client*
*lawyer not prohibited from representing another client with adverse interests in the same or
substantially related matter unless lawyer received information from prospective client that
could be significantly harmful if used in the matter*
*if another lawyer in the firm meets requirements of (d)(2), then the screened lawyer is
prohibited from receiving compensation related to the matter*
Rule 3.3 – Candor Toward the Tribunal
(a) Lawyer shall not knowingly
a. Make a false statement of fact/law or fail to correct a previously made false statement
of fact/law
b. Fail to disclose legal authority in the controlling jurisdiction known to the lawyer to be
directly adverse to the client and not disclosed by opposing counsel
c. Offer evidence you know to be false, if you later learn it was false you must make
reasonable remedial measures
i. Can refuse to offer evidence, other than a defendant’s testimony in a criminal
matter, if you reasonably believe it is false
d. If you know your client is going to engage, is engaging, or has engaged in
criminal/fraudulent conduct regarding the conduct related to the proceeding shall take
remedial measures, and if necessary disclosure to the tribunal
e. Duties in a & b continue after the conclusion of the proceeding, even if compliance
requires disclosure of information protected by Rule 1.6
f. In an ex parte proceeding, lawyer shall inform the tribunal of all material facts known
that will help the tribunal make an informed decision, regardless if the facts are adverse
*In a criminal case, a lawyer cannot refuse to offer the testimony of a client if they only think
it is false, unless they know it is false then you must honor the client’s wish to testify*
*The duration of the obligation to correct false evidence/testimony concludes when a final
judgement has been affirmed on appeal or the time for review has passed*
*No requirement to withdraw if client’s interests will be/have been adversely affected by the
lawyer’s disclosure. Might ask tribunal for permission to withdraw if disclosure results in a
complete deterioration of client-lawyer relationship*
Rule 4.1 – Truthfulness in Statements to Others
In the course of representing a client, lawyer shall not knowingly:
(a) Make a false statement of material fact/law to a third person; or
(b) Fail to disclose a material fact when disclosure is necessary to avoid assisting a client’s criminal
or fraudulent act, unless disclosure is barred by Rule 1.6
*No affirmative duty in inform opposition of relevant facts*
Rule 5.1 – Responsibilities of Partners, Managers, and Supervisory Lawyers
(a) Partners must make reasonable efforts to ensure that all lawyers in the firm conform to the
rules of professional conduct. Must set up systems to prevent ethical problems.
(b) Same reasonable efforts required of a lawyer having direct supervisory authority
a. Not responsible if the supervising attorney did not direct or know about it.
(c) You are responsible for another lawyer’s violation if
a. You order the conduct or have specific knowledge of it
b. You are a partner/direct supervisory authority and you know of the conduct when it
could have been avoided or mitigated and fail to take remedial action
Rule 5.2 – Responsibilities of a Subordinate Lawyer
(a) You are still bound by the rules even if someone directs you to break them
(b) Subordinate lawyer does not violate Rules if the supervisor reasonably believes the action is
proper, you can undertake the action even if you think it’s unethical
a. If the action was so wrong that belief was not reasonable, you can be punished too
Rule 5.3 – Responsibilities Regarding Nonlawyer Assistance
(a) Must ensure the firm’s conduct is in line with the lawyer’s professional obligations
(b) Lawyer with supervisory authority over nonlawyer will make reasonable efforyts to ensure
nonlawyer’s conduct is in line with the lawyer’s professional obligations; and
(c) Lawyer is responsible for the conduct of a nonlawyer if their conduct was conducted by a lawyer
would violate the Rules if:
a. Lawyer orders or has knowledge of specific conduct and approves it; or
b. Lawyer is a partner/managerial authority where the nonlawyer is employed and knows
of the conduct when its consequences could have been avoided or mitigated and fails to
take remedial action.
Rule 8.1 – Bar Admission and Disciplinary Matters
An applicant for admission to the bar, or a lawyer in connection with a bar admission application or a
disciplinary member shall not:
(a) Knowingly make a false statement of a material fact or
(b) Fail to disclose a fact necessary to correct a misapprehension , or knowingly fail to respond to a
lawful demand for information
*must disclose mental illness diagnoses*
*must disclose incidents even if they are not on your record/expunged*
*undesirable financials must be disclosed and can prevent you from bar admittance if it shows
financial irresponsibility*
*pro hac vice admittance – for this instance only*
Rule 8.3 – Reporting Professional Misconduct
(a) If you know another lawyer has broken the Rules that raises a substantial question about the
lawyer’s honesty, trustworthiness, or fitness, you should report it
(b) If you know a judge has broken the Rules that raises a substantial question about the judge’s
fitness should report it
(c) This Rule does not require disclosure of Rule 1.6 protected information or information gained
during a lawyer’s assistance program
*reporting to the disciplinary authority is mandatory*
*law firm cannot exempt lawyers from duties imposed on each individual lawyer by the ethics
code*
*report is not required if it would violate confidentiality*
Rule 8.4(c) – Misconduct
It is professional misconduct for a lawyer to:
(d) engage in conduct involving dishonesty, fraud, deceit, or misrepresentation
Rule 8.5 – Disciplinary Authority; Choice of Law
(a) lawyer admitted to practice in a jurisdiction is subject to their disciplinary authority, regardless
of where the conduct occurs
a. lawyer not admitted in a jurisdiction is also subject to the disciplinary authority of that
jurisdiction if the lawyer provides or offers to provide any legal services in that
jurisdiction
b. lawyer can be subject to disciplinary authority of multiple jurisdictions for the same
conduct
(b) Choice of law
a. Conduct in connection to a tribunal shall be governed by the jurisdiction in which the
tribunal sits, unless tribunal rules state otherwise
b. Rules of the jurisdiction where the conduct occurred or if the predominant effect of
conduct is in a different jurisdiction, the rules of that jurisdiction shall be applied to the
conduct.
Model Code DR 4-101 – Preservation of Confidences and Secrets of a Client
(a) “Confidence” is information protected by attorney-client privilege under applicable law and
“secret” is information gained during the professional relationship that the client requested to
be confidential or the disclosure would be embarrassing or likely detrimental to the client.
(b) Except where permitted under (c), a lawyer shall not knowingly:
a. Reveal a confidence or secret of his client
b. Use a confidence or secret of a client to disadvantage them
c. Use a confidence or secret of a client to advantage himself or a third party, unless client
consents after full disclosure
(c) A lawyer may reveal:
a. Confidences/secrets when consent of the client/clients affected, but only after a full
disclosure
b. Confidences/secrets when permitted under the Rules or required by law or court order
c. The client intends to commit a crime and the information is necessary to prevent the
crime
d. Confidences/secrets necessary to establish or collect your fee or defend
yourself/employees/associates against an accusation of wrongful conduct
(d) Lawyer shall exercise reasonable care to prevent employees/associates/others whose services
are utilized from disclosing or using confidence/secrets of a client, except what is allowed under
(C) through an employee