lOMoARcPSD|29335241
(7) Legal Ethics - 2022 UST Golden Notes [ Confidential]
General Law (Xavier University - Ateneo de Cagayan)
Studocu is not sponsored or endorsed by any college or university
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
FACULTY OF CIVIL LAW (1734)
LEGAL ETHICS
2022 GOLDEN NOTES
FACULTY OF CIVIL LAW
UNIVERSITY OF SANTO TOMAS
MANILA
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The UST GOLDEN NOTES is the annual student-edited bar review material of
the University of Santo Tomas, Faculty of Civil Law. Communications
regarding the Notes should be addressed to the Academics Committee of the
Team: Bar-Ops.
Address:
Academics Committee
UST Bar Operations
Faculty of Civil Law
University of Santo Tomas
España, Manila 1008
Tel. No:
(02) 8731-4027
(02) 8406-1611 loc. 8578
Academics Committee
Faculty of Civil Law
University of Santo Tomas
España, Manila 1008
All rights reserved by the Academics Committee of the Faculty of Civil Law of the Pontifical and Royal
University of Santo Tomas, the Catholic University of the Philippines.
2022 Edition.
No portion of this material may be copied or reproduced in books, pamphlets, outlines or notes,
whether printed, mimeographed, typewritten, copied in different electronic devises or in any other
form, for distribution or sale, without a written permission.
A copy of this material without the corresponding code either proceeds from an illegal source or is in
possession of one who has no authority to dispose the same.
Released in the Philippines, 2022.
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Faculty of Civil Law (1734)
ACADEMIC YEAR 2021-2022
CIVIL LAW STUDENT COUNCIL
NATHAN RAPHAEL D.L. AGUSTIN
STEPHEN FLOYD A. GOPEZ
NICOLO B. BONGOLAN
PATRICIA INGRID M. SEE
JULIENNE CELINE G. OGAYON
IVAN ARNIE C. QUIAMCO
KAREN DARYL L. BRITO
PRESIDENT
VICE PRESIDENT INTERNAL
VICE PRESIDENT EXTERNAL
SECRETARY
TREASURER
PUBLIC RELATIONS OFFICER
CHIEF-OF-STAFF
UST BAR-OPS
SARAH ANGELA D. EVA
JUSTINE RENEE GERVACIO
MA. ANDREA D. CABATU
JAN YSABEL U. DE LEON
PAULINNE STEPHANY G. SANTIAGO
KAREN DARYL L. BRITO
RALPH DOMINIC V. MARTINEZ
JEDIDIAH R. PADUA
SABINA MARIA H. MABUTAS
JOSEPHINE GRACE W. ANG
REBECCA JOY M. MALITAO
JOHN FREDERICK A. NOJARA
CHAIRPERSON
VICE-CHAIRPERSON
SECRETARY
HEAD, PUBLIC RELATIONS OFFICER
HEAD, FINANCE COMMITTEE
HEAD, HOTEL ACCOMMODATIONS COMMITTEE
HEAD, LOGISTICS COMMITTEE
SENIOR MEMBER
SENIOR MEMBER
SENIOR MEMBER
SENIOR MEMBER
SENIOR MEMBER
ATTY. AL CONRAD B. ESPALDON
ADVISER
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Faculty of Civil Law (1734)
ACADEMICS COMMITTEE 2022
FRANCINE BLAISE M. LOJA
JOANNA NICOLE A. PAZ
MARC GABRIEL A. ABELLA
KIARA LOUISE T. BALIWAG
DANIELLE B. BARANDA
MA. CARMINA A. DIETA
DAINIELE RENEE R. FAJILAGUTAN
GEORJHIA CZARINAH Q. MALALUAN
MARIA CRISANTA M. PALOMA
MIKAELA CECILLE S. SILVERIO
JERICHO SIMON H. DU
SECRETARY GENERAL
SECRETARY GENERAL
EXECUTIVE COMMITTEE for LEGAL ETHICS
EXECUTIVE COMMITTEE for CRIMINAL LAW
EXECUTIVE COMMITTEE for LABOR LAW AND
SOCIAL LEGISLATION
EXECUTIVE COMMITTEE for CIVIL LAW
EXECUTIVE COMMITTEE for REMEDIAL LAW
EXECUTIVE COMMITTEE for COMMERCIAL LAW
EXECUTIVE COMMITTEE for POLITICAL LAW
EXECUTIVE COMMITTEE for TAXATION LAW
COVER DESIGN ARTIST
LEGAL ETHICS COMMITTEE 2022
MICHAEL GINO D. AZURIN
LEGAL ETHICS SUBJECT HEAD
MEMBERS
MARY GENELLE S. CLEOFAS
JHEA VERONICA V. MENDOZA
PRECIOUS JOY D. PACIONELA
JHADE C. QUIAMCO
ASTRID A. SOLIS
DANA BERNICE D.J. VELARDE
ATTY. ABRAHAM D. GENUINO, II
ADVISER
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Faculty of Civil Law (1734)
FACULTY OF CIVIL LAW
UNIVERSITY OF SANTO TOMAS
ACADEMIC OFFICIALS
ATTY. NILO T. DIVINA
REV. FR. ISIDRO C. ABAÑO, O.P.
DEAN
REGENT
ATTY. ARTHUR B. CAPILI
FACULTY SECRETARY
ATTY. ELGIN MICHAEL C. PEREZ
LEGAL COUNSEL
UST CHIEF JUSTICE ROBERTO CONCEPCION LEGAL AID CLINIC
JUDGE PHILIP A. AGUINALDO
SWDB COORDINATOR
LENY G. GADIANA, R.G.C.
GUIDANCE COUNSELOR
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Faculty of Civil Law (1734)
OUR DEEPEST APPRECIATION TO OUR
MENTORS AND INSPIRATION
Justice Amy C. Lazaro-Javier
Justice Myra G. Fernandez
Justice Georgina D. Hidalgo
Judge Philip A. Aguinaldo
Judge Eduardo B. Bellosillo
Judge Noli C. Diaz
Judge Oscar B. Pimentel
Dean Jose I. Dela Rama, Jr.
Atty. Arnold E. Cacho
Atty. Joseph Ferdinand M. Dechavez
Atty. Elgin Michael C. Perez
Atty. Abraham D. Genuino, II
For being our guideposts in understanding the intricate sphere of Legal Ethics.
3 Academics Committee 2022
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
DISCLAIMER
THE RISK OF USE OF THIS BAR
REVIEW MATERIAL SHALL BE
BORNE BY THE USER
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
This page is intentionally left blank.
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Table of Contents
I. THE CODE OF PROFESSIONAL RESPONSIBILITY ........................................................................................................1
A. TO SOCIETY (CANONS 1 to 6) ........................................................................................................................................ 3
RESPECT FOR LAW AND LEGAL PROCESSES ............................................................................................................................. 3
EFFICIENT AND CONVENIENT LEGAL SERVICES ................................................................................................................. 15
TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE INFORMATION ON LEGAL SERVICES................................ 20
PARTICIPATION IN THE IMPROVEMENT AND REFORMS IN THE LEGAL SYSTEM .............................................. 23
PARTICIPATION IN THE LEGAL EDUCATION PROGRAM .................................................................................................. 24
LAWYERS IN THE GOVERNMENT AND DISCHARGE OF OFFICIAL TASKS ................................................................ 25
B. TO THE LEGAL PROFESSION (CANONS 7 TO 9) .................................................................................................... 28
INTEGRATED BAR OF THE PHILIPPINES (IBP) ..................................................................................................................... 28
MEMBERSHIP AND DUES ................................................................................................................................................................. 31
UPHOLDING THE DIGNITY AND INTEGRITY OF THE PROFESSION ............................................................................. 33
COURTESY, FAIRNESS, AND CANDOR TOWARDS PROFESSIONAL COLLEAGUES ................................................. 36
NO ASSISTANCE IN UNAUTHORIZED PRACTICE OF LAW ................................................................................................ 41
C. TO THE COURTS (CANONS 10-13) ............................................................................................................................ 44
CANDOR, FAIRNESS & GOOD FAITH TO THE COURTS........................................................................................................ 44
RESPECT FOR COURTS AND JUDICIAL OFFICERS ................................................................................................................. 47
ASSISTANCE IN THE SPEEDY AND EFFICIENT ADMINISTRATION OF JUSTICE ..................................................... 53
RELIANCE ON MERITS OF CASE AND AVOIDANCE FROM ANY IMPROPRIETY WHICH TENDS TO
INFLUENCE OR GIVES THE APPEARANCE OF INFLUENCE UPON THE COURTS .................................................... 59
D. TO THE CLIENTS (CANONS 14-22) ........................................................................................................................... 61
AVAILABILITY OF SERVICE WITHOUT DISCRIMINATION ................................................................................................ 63
CLIENT9S MONEY AND PROPERTIES .......................................................................................................................................... 80
FIDELITY TO CLIENT9S CAUSE ....................................................................................................................................................... 87
COMPETENCE AND DILIGENCE..................................................................................................................................................... 88
REPRESENTATION WITH ZEAL..................................................................................................................................................... 94
WITHIN LEGAL BOUNDS .................................................................................................................................................................. 94
ATTORNEY9S FEES ............................................................................................................................................................................... 99
PRESERVATION OF CLIENT9S CONFIDENCES ...................................................................................................................... 115
WITHDRAWAL OF SERVICES....................................................................................................................................................... 118
DUTIES OF LAWYERS IN CASE OF DEATH OF PARTIES REPRESENTED ................................................................. 121
E. THE LAWYER9S OATH ................................................................................................................................................... 122
DUTIES AND RESPONSIBILITIES OF A LAWYER ................................................................................................................ 122
II. SUSPENSION, DISBARMENT, AND DISCIPLINE OF LAWYERS (RULE 139; RULE 139-B) ...................... 124
NATURE AND CHARACTERISTICS OF DISCIPLINARY ACTION AGAINST LAWYERS ......................................... 124
SUI GENERIS ........................................................................................................................................................................................ 126
PRESCRIPTION OF ACTIONS ........................................................................................................................................................ 127
GROUNDS .............................................................................................................................................................................................. 128
PROCEEDINGS .................................................................................................................................................................................... 131
PROCEDURE FOR DISBARMENT ................................................................................................................................................ 133
DISCIPLINE OF FILIPINO LAWYERS PRACTICING ABROAD ......................................................................................... 136
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
This page is intentionally left blank.
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
CHAPTER 3
THE LAWYER AND THE COURTS
(Canons 10-13)
I. THE CODE OF PROFESSIONAL
RESPONSIBILITY
10. Owes candor, fairness and good faith to the
court
CHAPTER 1
LAWYER AND SOCIETY
(Canons 1-6)
1.
2.
Uphold the Constitution and obey the laws of
the land and legal processes
12. Duty to assist in the speedy and efficient
administration of justice
Make legal services available in an efficient and
convenient manner
3.
Use true, honest, fair, dignified and objective
information in making known legal services
4.
Participate in the improvement of the legal
system
5.
Keep abreast of legal development and
participate in the continuing legal education
program and assist in disseminating
information
regarding
the
law
and
jurisprudence
6.
11. Observe and maintain the respect due to the
courts and judicial officers and should insist on
similar conduct by others
13. Rely upon the merits of his/her cause, refrain
from any impropriety which tends to influence
courts, or give the appearance of influencing the
courts
CHAPTER 4
THE LAWYER AND THE CLIENT
(Canons 14-22)
14. Not to refuse services to the needy
15. Observe candor, fairness and loyalty in all
dealings and transactions with clients
Applicability of the CPR to lawyers in the
government service
16. Hold in trust all the moneys and property of
his/her client that may come to his/her
possession
CHAPTER 2
THE LAWYER AND THE LEGAL PROFESSION
(Canons 7-9)
7.
8.
9.
17. Owes fidelity to client9s cause and be mindful of
the trust and confidence reposed in him/her
At all times uphold the integrity and dignity of
the profession and support the activities of the
IBP
18. Serve client with competence and diligence
19. Represent client with zeal within the bounds of
law
Conduct oneself with courtesy, fairness and
candor toward his colleagues and avoid
harassing tactics against opposing counsel
20. Charge only fair and reasonable fees
Not to directly or indirectly assist in the
unauthorized practice of law
21. Preserve the confidence and secrets of the
client even after the attorney-client relation is
terminated
22. Withdraw services only for good cause and
upon notice
1
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
A: YES. There is an ethical and/or professional
responsibility problem that results from the
actuation of Atty. Doblar in arguing the reverse
positions.
APPLICABILITY TO JUDGES, JUSTICES AND
COURT OFFICIALS
Applicability of the Canons to Judges and
Justices and Other Court Officials (2014 BAR)
The signatures of Atty. Doblar on the pleadings for
Eva and for Marla constitute a certificate by him that
he has read the pleadings; that to the best of his
knowledge, information, and belief, there is good
ground to support them; and that the pleadings
were not interposed for delay (Sec. 3(2) Rule 7, Rules
of Court). Atty. Doblar could not claim he has
complied with the foregoing requirement because
he could not take a stand for Eva that is contrary to
that taken for Marla. His theory for Eva clearly
contradicts his theory for Marla. He has violated his
professional responsibility mandated under the
Rules of Court.
Some administrative cases against judges, justices
(except Supreme Court Justices who can only be the
subject of impeachment) and court officials who are
lawyers are based on grounds that are likewise
grounds for the disciplinary action of members of
the Bar for violation of the Lawyer's Oath, the Code
of Professional Responsibility, and the Canons of
Professional Ethics, or for such other forms of
breaches of conduct that have been traditionally
recognized as grounds for the discipline of lawyers.
Thus, they are required to comment on the
complaints filed against them and show cause why
they should not be suspended, disbarred or
otherwise disciplinarily sanctioned as a member of
the bar. The administrative case shall also be
considered a disciplinary action against the
respondent Justice, judge or court official concerned
as a member of the Bar. (RE: Automatic Conversion
of Some Administrative Cases Against Justices of the
Court of Appeals and the Sandiganbayan; Judges of
Regular and Special Courts; and Court Officials who
are Lawyers as Disciplinary Proceedings against
Them Both as Such Officials and as Members of the
Philippine Bar, A.M. No. 02-9-02-SC, 17 Sept. 2002)
In counseling on the contradictory positions, Atty.
Doblar has likewise counseled or abetted activities
aimed at defiance of the law or at lessening
confidence in the legal system (Rule 1.02, Canon 1,
CPR) because conflicting opinions may result arising
from an interpretation of the same law.
Atty. Doblar could not seek refuge under the
umbrella that what he has done was to protect his
clients. This is so because a lawyer9s duty is not
primarily to his client, but to the administration of
justice. To that end, his client9s success is wholly
subordinate. His conduct ought to and must always
be scrupulously observant of the law and ethics.
Q: Atty. Doblar represents Eva in a contract suit
against Olga. He is also defending Marla in a
substantially identical contract suit filed by
Emma. On behalf of Eva, Atty. Doblar claims that
the statute of limitations runs from the time of
the breach of the contract. In the action against
Marla, Atty. Doblar argues the reverse position 3
i.e., that the statute of limitation does not run
until one year after discovery of the breach. Both
cases are assigned to Judge Elrey. Although not
the sole issue in the two cases, the statute of
limitations issue is critical in both. Is there an
ethical/professional responsibility problem in
this situation? If a problem exists, what are its
implications or potential consequences? (2013
BAR)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Any means not honorable, fair, and honest, which is
resorted to by the lawyer, even in the pursuit of his
devotion to his client9s cause, is condemnable and
unethical. (Pineda, 1999, citing Maglasang v. People,
G.R. No. 90083, 04 Oct. 1990)
`
2
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
a deliberate violation of the Code. Is Atty.
Tansingco guilty of serious misconduct?
A. TO SOCIETY
(CANONS 1 to 6)
A: YES. Atty. Tansingco is liable for violation of
Canon 1 and of Rule 1.02 of the Code of Professional
Responsibility (CPR). A lawyer should not render
any service or give advice to any client, which will
involve defiance of the laws which he is bound to
uphold and obey. Atty. Tansingco had sworn to
uphold the Constitution. Thus, he violated his oath
and the CPR when he prepared and notarized the
Occupancy Agreement to evade the law against
foreign ownership of lands. Atty. Tansingco used his
knowledge of the law to achieve an unlawful end.
Such an act amounts to malpractice in his office, for
which he may be suspended. (Donton v. Atty.
Tansingco, A.C. No. 6057, 27 June 2006)
RESPECT FOR LAW AND LEGAL PROCESSES
CANON 1
A lawyer shall uphold the Constitution, obey
the laws of the land and promote respect for
law and legal processes.
Two-fold Duty under Canon 1
1.
2.
Obey the laws and the legal processes; and,
Inspire others to maintain respect and
obedience thereto.
Q: Prosecutor Coronel entered his appearance
on behalf of the State before a Family Court in a
case for Declaration of Nullity of Marriage, but
he failed to appear in all the subsequent
proceedings. When required by the Department
of Justice to explain, he argued that the parties
in the case were aptly represented by their
respective counsels and that his time would be
better
employed
in
more
substantial
prosecutorial functions, such as investigations,
inquests and appearances in court hearings. Is
Atty. Coronel9s explanation tenable? (2006 BAR)
NOTE: The portion of Canon 1, which calls for
lawyers to <promote respect for law and for legal
processes=, is a call to uphold the Rule of Law. (Funa,
2009)
Q: What is the concept of <Rule of Law=?
A: The <supremacy of the law= provides that
decisions should be made by the application of
known legal principles or laws without the
intervention of discretion in their application.
(Black9s Law Dictionary)
A: NO. Atty. Coronel9s explanation is not tenable.
The role of the State9s lawyer in nullification of
marriage cases is that of protector of the institution
of marriage. (Art. 48, Family Code (FC))
NOTE: A lawyer9s oath to uphold the cause of justice
is superior to his duty to his client; its primacy is
indisputable. (Cobb-Perez v. Lantin, G.R. No. L-22320,
29 July 1968)
<The task of protecting marriage as an inviolable
social institution requires vigilant and zealous
participation and not mere pro forma compliance.=
(Malcampo-Sin v. Sin, G.R. No. 137590, 26 Mar. 2001)
Q: Atty. Tansingco was a notary public who
prepared and notarized an Occupancy
Agreement at the request of Mr. Stier, the owner
and long-time resident of a real property located
in Cubao. Since Mr. Stier is a U.S. Citizen and
thereby disqualified to own real property in his
name, he agreed that the property be
transferred in the name of Mr. Donton, a
Filipino. Donton averred that Atty. Tansingco9s
act of preparing the Occupancy Agreement,
despite knowledge that Stier is a foreign
national, constitutes serious misconduct and is
This role could not be left to the private counsels
who have been engaged to protect the private
interest of the parties.
Q: Vice Mayor Juan filed a complaint against
Mayor Urso for alleged violation of the
Government Service Insurance System Act. The
Ombudsman issued an Order of Preventive
3
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
held administratively liable for gross ignorance
of the law?
Suspension against Mayor Urso, to last until the
administrative adjudication is completed but
not to exceed six (6) months. Upon elevation, the
CA affirmed the Order of Suspension. Despite
the CA9s affirmation of the RTC Order, Mayor
Urso filed a Petition for Declatory Relief with
Prayer for TRO and/or Writ of Preliminary
Injunction with the RTC. The case was raffled to
Judge Ching, who then granted the said Writ.
Vice Mayor Juan filed an administrative case
against Judge Ching for gross ignorance of the
law. Will the case prosper?
A: YES. There is gross ignorance of the law when an
error committed by the Judge was <gross or patent,
deliberate or malicious=. Had Judge Dela Cruz been
more circumspect in reviewing the records of the
case, he could have easily noticed the glaring fact
that the criminal case raffled to his sala only
pertained to one check, as well as Judge Gomez9
prior order acquitting Karla of the nine (9) B.P. Blg.
22 cases, and promulgated a decision based only on
that particular check. Such carelessness can only be
considered as gross ignorance of the law. (Emma G.
Afelor v. Hon. Augustus C. Diaz, A.M. No. MTJ-16-1883,
11 July 2017, En Banc, as penned by J. Caguioa)
A: YES. Pursuant to the basic doctrine of judicial
stability or non-interference, no court can interfere
by injunction with the judgments or orders of
another court of concurrent jurisdiction having the
power to grant the relief sought by the injunction.
Q: Malecdan filed an Estafa case against Spouses
Baldo before the Lupon of Barangay. Atty. Baldo
appeared as a cousel of the spouses during the
hearing before the Punong Barangay, in
violation of Section 9 of P.D. No. 1508
(Katarungang Pambarangay Law), which
prohibits the participation of lawyers in the
proceedings before the Lupon. Now, Atty. Baldo
claims that he was permitted by the parties to
participate; hence, there was no violation. Is
Atty. Baldo9s argument tenable?
In this case, the RTC had no jurisdiction to interfere
or restrain the execution of the Ombudsman;s
decisions in disciplinary cases. At the time Judge
Ching issued the TRO and proceeded with the Writ
of Preliminary Injunction against the enforcement
of the Order of Suspension by the Ombudsman, the
CA had already affirmed that very same Order. This,
coupled with the deference to the basic precepts of
jurisdiction required of Judges, leads to no other
conclusion that Judge Ching acted in gross
ignorance of the law. (Edgar Erice v. Presiding Judge
Dionisio C. Sison, A.M. No. RTJ-15-2407, 22 Nov. 2017,
as penned by J. Caguioa)
A: NO. The language of P.D. No. 1508 is mandatory
in barring lawyers from appearing before the Lupon.
As stated in the case of Ledesma v. Court of Appeals,
Section 9 of the said law mandates personal
confrontation of the parties without the
intervention of a counsel or representative because
it would generate spontaneity and a favorable
disposition to amicable settlement on the part of the
disputants.
Q: After ten (10) checks issued by Karla were
dishonored for having been drawn against
insufficient funds and closed accounts, ten (10)
cases for violation of B.P. Blg. 22 were filed
against her. Nine (9) of these were raffled to
MeTC Branch 43 presided by Judge Gomez, while
the last case was raffled to MeTC Branch 37
presided by Judge Dela Cruz. Judge Gomez
acquitted Karla based on the demurrer to
evidence which she filed. On the other hand,
Judge Dela Cruz convicted Karla of violation of
B.P. Blg. 22 not only for the case raffled to his
sala, but also for the other nine (9) checks which
were the subjects of the B.P. Blg. 22 cases raffled
to Branch 43 where Karla was already
previously acquitted. Should Judge Dela Cruz be
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Any act or omission that is contrary to, or prohibited
or unauthorized by, or on defiance of, disobedient
to, or disregards the law is unlawful. Therefore,
Atty. Baldo violated Rule 1.01 of the CPR in
connection with Section 9 of P.D. No. 1508.
(Celestino Malecdan v. Atty. Baldo, A.C. No. 12121, 27
June 2018, as penned by J. Caguioa)
`
4
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
to be reprehensible to a high degree. It is willful,
flagrant, or shameless act, which shows a moral
indifference to the opinion of respectable
members of the community. (Figueroa v.
Barranco, SBC Case No. 519, 31 July 1997)
RULE 1.01, CANON 1
A lawyer shall not engage in unlawful,
dishonest, immoral and deceitful conduct.
It is well-established that a lawyer9s conduct is <not
confined to the performance of his professional
duties. A lawyer may be disciplined for misconduct
committed either in his professional or private
capacity. The test is whether his conduct shows him
to be wanting in moral character, hosnesty, probity,
and good demeanor, or whether it reders him
unworthu to continue as an officer of the court.
(Mendoza-Arcega and Dechavez, 2020)
5. Dishonesty. Conduct that includes the
disposition to lie, cheat, deceive, defraud or
betray; be unworthy; lacking in integrity,
honesty, probity, integrity in principle, fairness
and straightforwardness (Jimenez v. Francisco,
A.C. No. 10548, 10 Dec. 2014).
The concealment or distortion of truth in a
matter relevant to one9s office or connected
with the performance of his duties. (Japson v.
CSC, G.R. No. 189479, 12 April 2011)
Definitions
1. Deceitful Conduct. An act that has the
proclivity for fraudulent and deceptive
misrepresentation, artifice or device that is
used upon another who is ignorant of the fact,
to the prejudice and damage of the party
imposed upon. (Jimenez v. Francisco, A.C. No.
10548, 10 Dec. 2014)
Instances of Gross Immorality and the Resulting
Consequences
2. Unlawful Conduct. Any act or omission that is
contrary to, or prohibited or unauthorized by,
or in defiance of, disobedient to, or disregards
the law. <Unlawful= conduct does not
necessarily imply the element of criminality
although the concept is broad enough to include
such element. (Jimenez v. Francisco, A.C. No.
10548, 10 Dec. 2014)
NOTE: The presence of evil intent on the part of
the lawyer is not essential in order to bring his
act or omission within the terms of this Rule.
3. Immoral Conduct. Conduct that is willful,
flagrant, or shameless, and which shows a
moral indifference to the opinion of the good
and respectable members of the community.
The supreme penalty of disbarment arising
from conduct requires grossly immoral, not
simply immoral, conduct. (Garrido v. Garrido,
A.C. No. 6593, 04 Feb. 2010)
4. Grossly Immoral Conduct. It refers to the act
that is so corrupt and false as to constitute a
criminal act or so unprincipled or disgraceful as
5
1.
A lawyer who abandoned his wife and
cohabited with another woman was
DISBARRED. (Obusan v. Obusan, Jr., A.C. No.
1392, 02 April 1984; Ceniza v. Ceniza, A.C. No.
8335, 10 April 2019);
2.
A lawyer who had carnal knowledge with a
woman through a promise of marriage which he
did not fulfill was DISBARRED (In re:
Disbarment of Armando Puno, A.C. No. 389, 28
Feb. 1967);
3.
A lawyer who is involved in an act of seducing a
woman who is the niece of a married woman
with whom the respondent lawyer had an
adulterous relation, was DISBARRED. (Royong
v. Oblena, A.C. No. 376, 30 April 1963);
4.
A lawyer who arranged a marriage of his son to
a woman with whom the lawyer had illicit
relations was DISBARRED. (Mortel v. Aspiras,
A.M. No. 145, 28 Dec. 1956);
5.
A lawyer who inveigled a woman into believing
that they have been married civilly to satisfy his
carnal desires was DISBARRED. (Terre v. Terre,
A.M. No. 2349, 03 July 1992);
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
6.
immediately apologizing afterwards via text
message (Advincula v. Macabata, A.C. No.
7204, 07 Mar. 2007);
A lawyer who took advantage of his position as
chairman of the college of medicine and asked a
lady student to go with him to Manila where he
had carnal knowledge of her under threat that
if she refused, she would flunk in all her subjects
was DISBARRED. (Delos Reyes v. Aznar, A.M. No.
1334, 28 Nov. 1989);
7.
A lawyer who committed an act of bigamy was
DISQUALIFIED FROM ADMISSION TO THE
BAR. (Royong v. Oblena, A.C. No. 376, 30 April
1963);
8.
A lawyer who is involved in an act of
concubinage, coupled with failure to support
illegitimate
children
was
SUSPENDED
INDEFINITELY. (Laguitan v. Tinio, A.M. No.
3049, 04 Dec. 1989);
9.
2.
3.
GR: A lawyer may not be disciplined for failure to
pay a loan. The proper remedy is the filing of an
action for collection of a sum of money in regular
courts. (Toledo v. Abalos, A.C. No. 5141, 29 Sept.
1999)
XPN: A deliberate failure to pay just debts and the
issuance of worthless checks. (Lao v. Medel, A.C. No.
5916, 01 July 2003)
Q: Judge A has an illicit relationship with B, his
Branch Clerk of Court. C, the wife of Judge A,
discovered the illicit affair and consulted a
lawyer to vindicate her violated marital rights. If
you were that lawyer, what would you advise C,
and if she agrees and asks you to proceed to take
action, what is the legal procedure that you
should follow? (2014 BAR)
A lawyer who maintains an adulterous
relationship with a married woman was
SUSPENDED INDEFINITELY. (Cordova v.
Cordova, A.M. No. 3249, 29 Nov. 1989);
10. A retired judge who penned a decision seven
(7) months after he retired, antedating the
decision and forcing his former court staff to
include it in the expediente of the case will be
DISBARRED. (Radjaie v. Alovera, A.C. No. 4748,
04 Aug. 2000);
A: File a case of immorality against Judge A and the
clerk of court for violation of Rule 1.01, CPR;
impropriety under Canon 4 of the New Code of
Judicial Conduct (NCJC) against Judge A; and invoke
the automatic conversion of the administrative case
against Judge A and the clerk of court as members of
the bar under A.M. No. 02-9-02-SC, with the Office of
the Court Administrator. Complaints for disbarment
against Judge A and the clerk of court may also be
filed
11. A lawyer who forges a Special Power of
Attorney was SUSPENDED FOR 3 YEARS.
(Rural Bank of Silay, Inc. v. Pilla, A.C. No. 3637, 24
Jan. 2001);
12. A lawyer who attempted to engage in an opium
deal was SUSPENDED FOR 1 YEAR (Piatt v.
Abordo, 58 Phil. 350, 01 Sept. 1933); or,
NOTE: This is without prejudice to the filing of
criminal and civil cases.
13. A lawyer who facilitates the travel of a person
to the U.S. using spurious travel documents was
DISBARRED. (Sebastian v. Calis, A.C. No. 5118,
09 Sept. 1999)
Q: In a case for disbarment against Atty. Ivan
Solidum, Jr., the IBP-CBD found that he
committed the following acts: (1) signing drawn
checks against the account of his son as if they
were from his account; (2) misrepresenting to
Navarro the identity of the lot he mortgaged to
her; (3) misrepresenting to Presbitero the true
value of the 263-square-meter lot he mortgaged
Acts NOT constituting gross immorality
1.
Turning the head of his client to kiss her on
the lips while in a public place and then
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Live-in relationship involving two unmarried
persons; or,
Failure to pay a loan.
`
6
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
to her; (4) conspiring with Yulo to obtain the
loans from complainants; (5) agreeing or
promising to pay 10% interest on his loans
although he knew that it was exorbitant; and (6)
failing to pay his loans because the checks he
issued were dishonored as the accounts were
already closed. Is Atty. Solidum guilty of
violating the CPR?
Canon 1. Atty. Rivera has no specialization in
immigration law. Atty. Rivera9s deception is not only
unacceptable, disgraceful, and dishonorable to the
legal profession; it reveals a basic moral flaw that
makes him unfit to practice law. (Agot v. Atty. Rivera,
A.C. No. 8000, 05 Aug. 2014)
Q: Atty. XX rented a house of his cousin, JJ, on a
month-to-month basis. He left for a 6-month
study in Japan without paying his rentals and
electric bills while he was away despite JJ's
repeated demands. Upon his return to the
Philippines, Atty. XX still failed to settle his
rental arrearages and electric bills, drawing JJ to
file an administrative complaint against Atty.
XX. Atty. XX contended that his non-payment of
rentals and bills to his cousin is a personal
matter which has no bearing on his profession
as a lawyer and, therefore, he did not violate the
CPR. Is Atty. XX's contention in order? Explain.
(2010 BAR)
A: YES. Atty. Solidum violated Rule 1.01 of the CPR.
Conduct is not confined to the performance of a
lawyer9s professional duties. A lawyer may be
disciplined for misconduct committed either in his
professional or private capacity. The test is whether
his conduct shows him to be wanting in moral
character, honesty, probity, and good demeanor, or
whether it renders him unworthy to continue as an
officer of the court.
Atty. Solidum is guilty of engaging in dishonest and
deceitful conduct, both in his professional capacity
with respect to his client, Presbitero, and in his
private capacity with respect to complainant
Navarro. Both Presbitero and Navarro allowed Atty.
Solidum to draft the terms of the loan agreements.
He drafted the MOAs knowing that the interest rates
were exorbitant. Later, using his knowledge of the
law, he assailed the validity of the same MOAs he
prepared. He issued checks that were drawn from
his son9s account whose name was similar to his
without informing complainants. Further, there is
nothing in the records that will show that he paid or
undertook to pay the loans he obtained from.
(Navarro v. Atty. Solidum, Jr., A.C. No. 9872, 28 Jan.
2014)
A: NO. Having incurred just debts, a lawyer has the
moral duty and legal responsibility to settle them
when they become due. <Verily lawyers must at all
times faithfully perform their duties to society, to
the bar, to the court and to their clients. As part of
their duties, they must promptly pay their financial
obligations= Their conduct must always reflect the
values and norms of the legal professionals
embodied in the CPR. On these considerations, the
Court may disbar or suspend lawyers for any
professional or private misconduct showing them to
be wanting in moral character, honesty, probity and
good demeanor 3 or to be unworthy to continue as
officers of the Court. (Cham v. Paita-Moya, A.C.
No.7494, 27 June 2008)
Q: Atty. Rivera misrepresented himself as an
immigration lawyer, which resulted in Agot
seeking his assistance to facilitate the issuance
of her US visa and paying him the amount of
NOTE: Just debts include unpaid rentals, electric
bills, claims adjudicated by a court of law, and
claims the existence and justness which are
admitted by the debtor. (Cham v. Paita-Moya, A.C.
No.7494, 27 June 2008)
services. However, Atty. Rivera was not able to
perform his obligation. Is Atty. Rivera
administratively liable?
Q: Carmelite has unpaid obligations to NHFMC
which is secured by a mortgage. To process the
redemption of the mortgaged property,
Carmelita9s children, Verlita and Raymond
called Atty. Ramon and expressed their
A. YES. As officers of the court, lawyers are bound to
maintain not only a high standard of legal
proficiency, but also of morality, honesty, integrity,
and fair dealing, as provided for under Rule 1.01,
7
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
intention to redeem the property by paying the
redemption price of 350,000. Atty. Ramon
informed them that the redemption was under
process, and that the certificate of redemption
would be issued in two to three week time.
Verlita and Raymond later found out that Atty.
Ramon had not deposited the redemption price
and had not filed the letter of intent for
redeeming the property. Atty. Ramon promised
to return the money but failed to do so. Should
Atty. Ramon be held administratively liable?
A: YES. The grant of authority by the DILG Secretary
cannot be unreasonably construed to have been
perpetual. Atty. A should have requested for
authority to engage in private practive from the
Secretary of the DILG for his second and third terms.
Hence, his failure to do so renders him liable for
unauthorized practice of profession and a clear
violation of Rule 1.01 of the CPR. (Arthur O. Monares
v. Atty. Levi P. MuArthur O. Monares v. Atty. Levi P.
Muñoz, A.C. No. 5582, 24 Jan. 2017, as penned by J.
Caguioa)
A: YES. Atty. Ramon is guilty of dishonesty and
deceit. Atty. Ramon certainly transgressed the
Lawyer's Oath by receiving money from Verlita and
Raymond after having made them believe that she
could assist them in ensuring the redemption on
their mother's behalf. She further misled them
about her ability to realize the redemption by falsely
informing them about having started the
redemption process. She took advantage of Verlita
and Raymond who had reposed their full trust and
confidence in her ability to perform the task by
virtue of her being a lawyer. As a lawyer, Atty.
Ramon was proscribed from engaging in unlawful,
dishonest, immoral or deceitful conduct in her
dealings with others, especially clients whom she
should serve with competence and diligence. Her
duty required her to maintain fealty to them,
binding her not to neglect the legal matter entrusted
to her. Thus, her neglect in connection therewith
rendered her liable. (Mercullo v. Atty. Ramon, AC. No.
11078, 19 July 2016)
Morality vs. Immoral Conduct
MORALITY
As to their Nature
Morality,
as
understood in law, is
a human standard
based on natural
moral law which is
embodied in man9s
conscience
and
which guides him to
do good and avoid
evil.
Immoral conduct has
been defined as that
conduct which is willful,
flagrant, or shameless
and which shows a moral
indifference
to
the
opinion of the good and
respectable members of
the community. (Arciga v.
Maniwang, A.M. No. 1608,
14 Aug. 1981)
Q: In 2003, Atty. Allan Contado and Crisanta
Hosoya met. He represented that he was already
separated-in-fact from his wife and that was
already working out the dissolution of his
marriage. In 2010, Crisanta agreed with Atty.
Contado9s proposal to live together as husband
and wife. She continued to live with him and
their cohabitation resulted in two children that
were born in 2011 and 2013. Eventually, they
terminated their relationship. Crisanta filed a
disciplinary case against Atty. Contado and
alleged that she and her children no longer
received support from him and that he failed to
return her vehicle despite repeated demands.
Did Atty. Contado9s acts violate the CPR?
Q: Atty. A, while serving as the Provincial Legal
Officer of Albay, engaged in the private practice
of law during his three (3) terms in said position.
During his first term, he submitted a request to
continue his private practice to the Secretary of
the Department of Interior and Local
Government (DILG), which was granted subject
to several conditions. However, during his
second and third terms, he claims that his
authority to engage in private practice was
renewed by the Governor. Is Atty. A liable for
violating the Code of Professional Responsibility
(CPR)?
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
IMMORAL CONDUCT
A: YES. It is well-setted that a married person9s
abandonment of his or her spouse to live and
cohabit with another constitutes gross immorality
`
8
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
as it amounts to either adultery or concubinage. In
other case law, the Court imposed the penalty of
disbarment on the erring lawyers for being guilty of
committing grossly immoral conduct in abandoning
the legal spouse in order to cohabit with another.
degree of irresponsibility. (Bunagan-Bansig v.
Celera, A.C. No. 5581, 14 Jan. 2014)
Q:
Maria
Victoria
Ventura
filed
an
administrative complaint against Atty. Danilo
Samson for allegedly raping her when she was
merely 13 years old. Atty. Samson admitted that
they had a sexual relationship but countered
that such was done with mutual agreement and
in consideration of money. Did Atty. Samson9s
act constitute <grossly immoral conduct= that
would warrant his disbarment?
Further, his refusal to return the property (vehicle)
despite lawful demand is akin to deliberate failure
to pay debt. Jurisprudence is clear that a lawyer9s
failure to pay debts despite repeated demands
constitutes dishonest and deceitful conduct and a
violation of Rule 1.01 of the CPR. The Court may
impose the penalty of disbarment or suspension
from the practice of law against the erring lawyer
for failure to pay debts. (Hosoya v. Atty. Contado, A.C.
No. 10731, 05 Oct. 2021, Per Curiam)
A: YES. Atty. Samson9s act of engaging in sex with a
young lass, the daughter of his former employee,
constitutes gross immoral conduct that warrants
sanction. He not only admitted he had sexual
intercourse with complainant but also showed no
remorse whatsoever when he asserted that he did
nothing wrong because she allegedly agreed, and he
gave her money. Indeed, his act of having carnal
knowledge of a woman other than his wife
manifests his disrespect for the laws on the sanctity
of marriage and his marital vow of fidelity.
Moreover, he procured the act by enticing a very
young woman with money, which showed his
utmost moral depravity and low regard for the
dignity of the human person and the ethics of his
profession. He has violated the trust and confidence
reposed on him by complainant, then a 13-year-old
minor, who for a time was under his care. Whether
the sexual encounter between him and complainant
was or was not with the latter9s consent is of no
moment. Such conduct is a transgression of the
standards of morality required of the legal
profession and should be disciplined accordingly.
(Ventura v. Samson, A.C. No. 9608, 27 Nov. 2012)
Q: Rose Bansig filed a complaint for disbarment
against Atty. Celera. Celera was legally married
to Bansig9s sister, Rosemarie Bunagan.
However, notwithstanding the marriage with
Bunagan, Atty. Celera contracted another
marriage with a certain Ma. Cielo Paz Torres
Alba, as evidenced by a certified copy of the
certificate of marriage. Despite numerous
efforts of Rose and the court, Atty. Celera, in his
defense, repetitively stated that he had no
knowledge of the complaint since he has yet to
receive a copy of it. Is the contention of Atty.
Celera tenable?
A: NO. He exhibited a deplorable lack of that degree
of morality required of him as a member of the Bar.
He made a mockery of marriage, a sacred institution
demanding respect and dignity. Likewise, we take
notice of Atty. Celera9s defiant stance against the
Court as demonstrated by his repetitive disregard of
its Resolution. Even assuming that indeed the copies
of the complaint had not reached him, he cannot,
however, feign ignorance that there is a complaint
against him that is pending before the Court which
he could have easily obtained a copy had he wanted
to. His acts were deliberate, maneuvering the
liberality of the Court in order to delay the
disposition of the case and to evade the
consequences of his actions. His cavalier attitude in
repeatedly ignoring the orders of the Supreme
Court constitutes utter disrespect to the judicial
institution. Respondent9s conduct indicates a high
Q: An administrative complaint for disbarment
was filed against Atty. Iris Bonifacio for
allegedly carrying an immoral relationship with
Carlos, the husband of complainant Leslie Ui.
Atty. Bonifacio contended that her relationship
was licit because they were married, but when
she discovered Carlos9 true civil status, she cut
off all her ties with him. Is Atty. Bonifacio guilty
of committing gross immoral conduct
warranting her disbarment?
9
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Moral Turpitude
A: NO. Her relationship with Carlos, clothed as it
was with what Atty. Bonifacio believed was a valid
marriage, cannot be considered immoral.
Immorality connotes conduct that shows
indifference to the moral norms of the community.
Moreover, for such conduct to warrant disciplinary
action, the same must be <grossly immoral=, that is
it must be so corrupt and false as to constitute a
criminal act or so unprincipled as to be
reprehensible to a high degree. Atty. Bonifacio9s act
of immediately distancing herself from Carlos upon
discovering his true civil status belies that alleged
moral indifference and proves that she had no
intention of flaunting the law and the high moral
standard of the legal profession. (Ui v. Atty.
Bonifacio, A.C. No. 3319, 08 June 2000)
It refers to <an act of baseness, vileness, or depravity
in the private duties which a man owes to his fellow
men or to society in general, contrary to justice,
honesty, modesty, or good morals.= (Garcia v.
Sesbreno, A.C. No. 7973 and A.C. No. 10457, 03 Feb.
2015)
NOTE: Moral turpitude is not involved in every
criminal act and is not shown by every known and
intentional violation of statute, but whether any
conviction involves moral turpitude may be a
question of fact and frequently depends on all the
surrounding circumstances.
While generally but not always, crimes mala in se
involve moral turpitude, while crimes mala
prohibita do not, it cannot always be ascertained
whether moral turpitude does or does not exist by
classifying a crime as malum in se or as malum
prohibitum, since there are crimes which are mala in
se and yet rarely involve moral turpitude and there
are crimes which involve moral turpitude and are
mala prohibita only.
Q: Patricia and Simeon were teen sweethearts. It
was after their child was born that Simeon first
promised he would marry her after he passes
the bar examinations. Their relationship
continued and Simeon allegedly made more
than twenty or thirty promises of marriage.
Patricia learned that Simeon married another
woman. Meanwhile, Simeon successfully passed
the 1970 Bar Examinations after four attempts.
Before he could take his oath, Patricia filed a
petition to disqualify Simeon to take the
Lawyer9s Oath on the ground of gross
immoral conduct. Did the act of Simeon in
engaging in premarital relations with Patricia
and making promises to marry her constitute
grossly immoral conduct?
It follows, therefore, that moral turpitude is
somewhat a vague and indefinite term, the meaning
of which must be left to the process of judicial
inclusion or exclusion as the cases are reached.
(Garcia v. Sesbreno, A.C. No. 7973 and A.C. No. 10457,
03 Feb. 2015)
Examples of Acts involving Moral Turpitude and
the Resulting Consequences
A: NO, the Supreme Court ruled that the facts do not
constitute grossly immoral conduct warranting a
permanent exclusion of Simeon from the legal
profession. His engaging in premarital sexual
relations with complainant and promises to marry
suggests a doubtful moral character on his part but
the same does not constitute grossly immoral
conduct. To justify suspension or disbarment the act
complained of must not only be immoral, but
grossly immoral. A grossly immoral act is one that is
so corrupt and false as to constitute a criminal act or
so unprincipled or disgraceful as to be
reprehensible to a high degree. (Figueroa v.
Barranco, Jr., SBC Case No. 519, 31 July 1997)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
1.
A lawyer who is convicted of Estafa and/or of
violating B.P. Blg. 22 was DISBARRED. (In the
Matter of Disbarment Proceedings v. Narciso N.
Jaramillo, En Banc A.C. No. 229, 30 April 1957);
2.
A lawyer who is convicted of bribery or
attempted bribery was DISBARRED. (In Re:
Dalmacio De los Angeles, A.C. No. L-350, 07 Aug.
1959; 7 C.J.S., p. 736; 5 Am. Jur. p. 428);
3.
A lawyer who is convicted of murder was
DISBARRED. (In Re: Disbarment Proceedings
Against Atty. Diosdado Q. Gutierrez, A.C. No. L-
`
10
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
A: YES. One of the grounds for disbarment under
Sec. 27, Rule 138 of the Rules of Court is conviction
of a crime involving moral turpitude. Estafa is a
crime involving moral turpitude.
363, 31 July 1962);
4.
5.
6.
A lawyer who, before being admitted to the Bar,
is convicted of illegal marriage was
DISQUALIFIED FROM BEING ADMITTED TO
THE BAR. (Villasanta v. Peralta, 101 Phil.313, 30
April 1957);
Q: If Atty. Simeon is acquitted of the estafa
charge, will the disbarment complaint be
dismissed? Explain. (2009 BAR)
A lawyer who is convicted of falsification of
public document was REMOVED FROM HIS
OFFICE/NAME ERASED FROM ROLL OF
ATTORNEYS. (De Jesus-Paras v. Vailoces, A.C.
No. 439,12 April 1961);
A: Not necessarily. If the acquittal is based on the
ground that no crime was committed, or that Simeon
is innocent, the administrative case may be
dismissed.
But if the acquittal is based merely on reasonable
doubt, the disbarment proceeding may continue.
A lawyer who is convicted of Estafa through
falsification of public document was
DISBARRED. (Villanueva v. Sta. Ana, CBD Case
No. 251, 11 July 1995);
7.
A lawyer who is convicted of abduction was
SUSPENDED FROM OFFICE FOR ONE (1)
YEAR. (In Re Basa, 41 Phil. 275, 07 Dec. 1920);
8.
A lawyer who is convicted of concubinage was
SUSPENDED FROM OFFICE FOR ONE (1)
YEAR. (In re Isada, 60 Phil. 915, 16 Nov. 1934);
9.
A lawyer who is convicted of smuggling was
DISBARRED. (In re Rovero, A.C. No. 126, 24 Oct.
1952); or,
The purpose of a disbarment proceeding is to
determine whether a lawyer deserves to remain a
member of the bar. For such determination, conduct
which merely avoids the penalty of the law is not
sufficient.
Q: Lehnert filed an administrative complaint
against Atty. Diño, praying that Atty. Dino be
permanently disbarred for violating Lawyer9s
oath, as well as the CPR, when he committed two
(2) violations of B.P. Blg. 22. Lehnert also
claimed that when a warrant of arrest was
issued against Atty. Dino, officers were unable to
locate him. Thus, considering that Atty. Diño was
hiding to evade arrest, Lehnert prayed for his
immediate disbarment. Is Atty. Dino guilty for
violation of the Lawyer9s Oath and the Code of
Responsibility when he issued post-dated
checks, which were subsequently dishonored?
10. A lawyer who is convicted of homicide was
DISBARRED. (Garcia v. Sesbreno, A.C. No. 7973
and A.C. No. 10457, 03 Feb. 2015).
NOTE: Psychological incapacity of a lawyer does not
necessarily make him an unfit member of the Bar, or
vice versa. (Paras v. Paras, G.R. NO. 147824, 02 Aug.
2007)
A: YES. Lawyers must at all times faithfully perform
their duties to society, to the bar, to the courts and
to their clients. As part of those duties, they must
promptly pay their financial obligations. Their
conduct must always reflect the values and norms of
the legal profession as embodied in the CPR. On
these considerations, the Court may disbar or
suspend lawyers for any professional or private
misconduct showing them to be wanting in moral
character, honesty, probity and good demeanor 4
or to be unworthy to continue as officers of the
Court. The issuance of worthless checks constitutes
Q: Atty. Simeon persuaded Armando, Benigno
and Ciriaco to invest in a business venture that
later went bankrupt. Armando, Benigno and
Ciriaco charged Atty. Simeon with estafa.
Simultaneously, they filed an administrative
complaint against the lawyer with the Supreme
Court. If Simeon is convicted of estafa, will he be
disbarred? Explain. (2009 BAR)
11
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
RULE 1.02, CANON 1
A lawyer shall not counsel or abet activities
aimed at defiance of the law or at lessening
confidence in the legal system. (1994, 1998
Bar)
gross misconduct and violates Canon 1 of the CPR.
(Lehnert vs. Diño, A.C. No. 12174, 28 Aug. 2018)
Q: Atty. De Vera borrowed 500,000.00 from
Teresita with interest of 20,000.00 per month
until fully paid. However, Teresita did not have
the full amount. Atty. De Vera persuaded her to
borrow the amount from a common friend, Mary
Jane, by mortgaging her property located in
Lucena City. Atty. De Vera issued a check for
500,000.00. Atty. De Vera also issued at least
two more checks to cover the interest agreed
upon. Teresita alleges that in June 2006, Atty. De
Vera obtained another loan from Teresita9s
sister in the amount of 100,000.00. Teresita
guaranteed the loan. Atty. De Vera issued
another post-dated check for 100,000.00 to
Teresita. Teresita claimed that she paid her
sister the amount borrowed by Atty. De Vera.
Upon maturity of the checks, Teresita presented
the checks for payment. However, the checks
bounced for being drawn against insufficient
funds. Teresita attempted to encash the checks
for a second time. However, the checks were
dishonored because the account was closed.
Teresita demanded payment from Atty. De Vera.
However, she failed to settle her obligations,
prompting Teresita to file complaints against
Atty. De Vera for violation of Batas Pambansa
Blg. 22 and Estafa. Should Atty. De Vera be held
administratively liable?
Examples of Activities aimed at Defiance of the
Law or at lessening Confidence in the Legal
System
Advising his clients to execute another Deed of
Sale antedated to evade payment of capital
gains taxes (Chua v. Mesina, A.C. No. 4904, 12
Aug. 2004);
2.
Engaging in the following activities:
a) prohibited campaigning;
b) use of government resources and
solicitation of votes; and
c) campaigning for national positions in the
IBP (Re: 1989 Elections of IBP, A.M. No. 491,
06 Oct. 1989); or,
3.
Repeatedly disobeying orders of SEC to appear
in its hearings and repeatedly failing to
substantiate his excuse for failing to appear.
(Batac et. al. v. Cruz, Jr., A.C. No. 5809, 23 Feb.
2004)
Q: Chu retained Atty. Guico as counsel to handle
labor disputes involving his company. In one
case, Atty. Guico asked Chu to prepare a
substantial amount of money to be given to the
NLRC Commissioner handling the appeal to
ensure a favorable decision. Chu was able to
A: YES. Being a lawyer, Atty. De Vera, was well
aware of the objectives and coverage of Batas
Pambansa Blg. 22. If not, he was nonetheless
presumed to know them, for the law was penal in
character and application. His issuance of the
unfunded check involved herein knowingly violated
B.P. Blg. 22, and exhibited his indifference towards
the pernicious effect of his illegal act to public
interest and public order. He thereby swept aside
his Lawyer9s Oath that enjoined him to support the
Constitution and obey the laws. (Enriquez v. Atty.
Trina De Vera, A.C. No. 8330, 16 Mar. 2015)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
1.
NLRC Commissioner to issue the decision. But
Chu could only produce
NLRC9s decision was adverse to Chu. Was the
advice given by Atty. Guico proper?
A: NO. A lawyer should not render any service or
give advice to any client that would involve defiance
of the laws he was bound to uphold and obey, for he
or she was always bound as an attorney to be law
abiding, and thus to uphold the integrity and dignity
of the legal profession.
`
12
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
RULE 1.03, CANON 1
A lawyer shall not, for any corrupt motive or
interest, encourage any suit or proceeding or
delay any man9s cause.
Verily, he or she must act and compose himself or
herself in such a manner that would promote public
confidence in the integrity of the legal profession.
Atty. Guico violated the law against bribery and
corruption. He compounded his violation by using
said illegality as his means of obtaining a huge sum
from the client that he soon appropriated for his
interest. His acts constituted gross dishonesty and
deceit and were a flagrant breach of his ethical
commitments under the Lawyer9s Oath not to delay
any man for money or malice; and under Rule 1.01
of the CPR. His deviant conduct eroded the faith of
the people in him as an individual lawyer as well as
in the Legal Profession as a whole. In doing so, he
ceased to be a servant of the law. (Chu v. Guico, Jr.,
A.C. No. 10573, 13 Jan. 2015)
The rule is aimed against the practice of barratry,
stirring up litigation, and ambulance chasing.
Barratry vs. Ambulance Chasing (1993 BAR)
AMBULANCE
CHASING
BARRATRY
As to the Manner of Commision
An
offense
of
frequently exciting and
stirring up quarrels
and suits, either at law
or otherwise; lawyer9s
act of fomenting suits
among individuals and
offering
his
legal
services to one of them.
Q: Atty. Asilo, a lawyer and a notary public,
notarized a document already prepared by
spouses Roger and Luisa when they approached
him. It is stated in the document that Roger and
Luisa formally agreed to live separately from
each other and either one can have a live-in
partner with full consent of the other. What is
the liability of Atty. Asilo, if any? (1998 BAR)
Barratry is not a crime
under the Philippine
laws. However, it is
proscribed by the rules
of legal ethics.
A: Atty. Asilo may be held administratively liable for
violating Rule 1.02 of the CPR which provides that
<a lawyer shall not counsel or abet activities aimed
at defiance of the law or at lessening confidence in
the legal system.=
An act of chasing
victims of accidents to
talk to the said victims
(or relatives) and to
offer
one9s
legal
services for the filing of
a case against the
person(s) who caused
the accident(s). It has
spawned a number of
recognized evils such
as (Fo-Su-Mu-D):
1.
2.
An agreement between two spouses to live
separately from each other and either one could
have a live-in partner with full consent of the other,
is contrary to law and morals. The ratification by a
notary public who is a lawyer of such illegal or
immoral contract or document constitutes
malpractice or gross misconduct in office. He should
at least refrain from its consummation. (In Re:
Santiago, A.C. No. 923, 21 June 1940; Panganiban v.
Borromeo, 58 Phil. 367; In Re: Bucana, A.C. No. 1637,
06 July 1976)
3.
4.
13
Fomenting
litigation with
resulting burdens
on the courts and
the public;
Subornation of
perjury;
Mulcting innocent
persons by
judgments, upon
manufactured
causes of action;
and,
Defrauding
injured persons
having proper
causes of action
but ignorant of
legal rights and
court procedures
by means of
contracts which
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
advice to a friend in need. It is natural for a person
to give advice to a friend in need.
retain exorbitant
percentages of
recovery and
illegal charges for
court costs and
expenses and by
settlement made
for quick returns
of fees and against
just rights of the
injured persons.
(Hightower v.
Detroit Edison Co.
247 NW 97, 1993)
Q: Atty. X advised complainant that to stop the
ejectment suit against him, Atty. X would file a
complaint with the Baguio CFI. Complainant
fees. However, the complaint was not filed. By
way of defenses, the lawyer presented
complainant9s affidavit of desistance; claimed
that upon perusal of the records of the ejectment
case, he found that complainant had already
filed a Third-Party complaint, thereby making
the proposed suit unnecessary. Is he liable for
misconduct?
Crime of Maintenance
A: YES. The lawyer is liable for misconduct. It is
clear from the facts that the lawyer had deceitfully
defrauded the complainant. By receiving the
amount of 5,863.00 from the complainant to
represent him, the lawyer violated Rule 1.01 of
Canon 1 of the CPR. He should have filed the
complaint before the CFI of Baguio. He acted in a
deceitful conduct by misrepresenting to file a
complaint in order to affect the ejectment suit. In
addition, the lawyer also encouraged the suit which
is groundless and unfounded to gain a financial
interest. (Munar v. Flores, A.C. No. 2112, 30 May
1983)
Maintenance is the intermeddling of an
uninterested party to encourage a lawsuit. It is a
taking in hand, a bearing up or upholding of quarrels
or sides, to the disturbance of the common right.
(Funa, 2009) A lawyer owes to society and to the
court the duty not to stir up litigation.
Impropriety of Voluntary Giving of Advice
It is improper to voluntarily give legal advice when
the lawyer, in giving such, is motivated by a desire
to obtain personal benefit, secure personal publicity,
or cause legal action to be taken merely to harass or
injure another. It is allowed in rare cases where ties
of blood, relationship or trust make it his duty to do
so. (Canon 28, Canon of Professional Ethics (CPE))
RULE 1.04, CANON 1
A lawyer shall encourage his clients to avoid,
end or settle a controversy if it will admit of a
fair settlement.
Q: Atty. Melissa witnessed the car accident that
resulted in injury to Manny, a friend of hers.
While visiting him at the hospital, she advised
him about what action he needed to take
regarding the accident. Is Atty. Melissa subject
to disciplinary action if she eventually handles
the case for him? (2011 BAR)
Lawyers are called upon to resist the whims and
caprices of their clients and to temper the latter9s
propensity to litigate because the Lawyer9s Oath to
uphold the cause of justice is superior to his duty to
his clients. (Visbal v. Buban, A.M. No. MTJ-02-1432,
03 Sept. 2004)
A: NO. It is unprofessional for a lawyer to volunteer
advice to bring a lawsuit, except in rare cases where
ties of blood, relationship or trust make it his duty
to do so. (Canon 28, CPE) In the case at hand, since
Atty. Melissa is a friend of the injured person, she
may not be admonished for extending some legal
A lawyer should be a mediator for concord and a
conciliator for compromise rather than an initiator
of controversy and a predator of conflict. It is the
duty of a lawyer in his exalted position as an officer
of the court not to be an instigator of any
controversy. (Pineda, 2009)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
14
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
EFFICIENT AND CONVENIENT LEGAL SERVICES
The rule requires that lawyers encourage
settlement only when the same is fair. It should be
noted that the duty and the right of the lawyer is
limited to encouraging the client to settle.
Ultimately, however, the final decision to settle a
claim rests upon the client. A lawyer cannot
compromise the case of his client without the
latter9s consent even if he believes that the
compromise is for the better interest of the client.
(Pineda, 2009, citing Philippine Aluminum Wheels Inc.
v. FASGI Enterprises Inc., G.R. No. 137378, 12 Oct.
2000)
CANON 2
A lawyer shall make his legal services
available in an efficient and convenient
manner compatible with the independence,
integrity and effectiveness of the profession.
NOTE: It is the lawyer9s prime duty to see to it that
justice is accorded to all without discrimination.
RULE 2.01, CANON 2
A lawyer shall not reject, except for valid
reasons, the cause of the defenseless or the
oppressed.
Q: Jon de Ysasi III was employed by his father in
their farm. During the entire period of his
illness, his father took care of his medical
expenses and he continued to receive
compensation. However, without due notice, his
father ceased to pay his salary. He made oral and
written demands through Atty. Sumbingco,
asked for an explanation for the withholding,
and for the remittance of, his salary. Both
demands were not acted upon. He filed a case in
court. Can the lawyers employed by the parties
be admonished for not trying to reconcile the
parties before the filing of the suit?
Definitions
1. Defenseless. It refers to those people who are
not in a position to defend themselves due to
poverty, weakness, ignorance or other similar
reasons.
2. Oppressed. It refers to those who are the
victims of cruelty, unlawful exaction,
domination or excessive use of authority.
A: YES. The conduct of the respective counsel of the
parties, as revealed by the records, sorely
disappoints the Court and invites reproof. Both
counsels may well be reminded that their ethical
duty as lawyers to represent their clients with zeal
goes beyond merely presenting their clients'
respective causes in court. It is just as much their
responsibility, if not more importantly, to exert all
reasonable efforts to smooth over legal conflicts,
preferably out of court and especially in
consideration of the direct and immediate
consanguineous ties between their clients.
A lawyer so appointed as counsel for an indigent
prisoner, as the Canons of Professional Ethics
demands, should always <exert his best efforts= in
the indigent9s behalf. (People v. Estebia, G.R. No. L26868, 27 Dec. 1972)
NOTE: The inability to pay for legal services is not a
valid reason to refuse acceptance of a case. This is
because the profession is a branch of the
administration of justice and not a mere moneygetting trade. (CPR Annotated, PhilJA)
Once again, the useful function of a lawyer is not
only to conduct litigation but to avoid it whenever
possible by advising settlement or withholding suit.
He is often called upon less for dramatic forensic
exploits than for wise counsel in every phase of life.
He should be a mediator for concord and a
conciliator for compromise, rather than a virtuoso
of technicality in the conduct of litigation. (De Ysasi
III v. NLRC, G.R. No. 104599, 11 March 1994)
15
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
AN ACT PROVIDING A MECHANISM FOR FREE
LEGAL ASSISTANCE AND FOR OTHER PURPOSES
(R.A. No. 9999)
23 FEB. 2010
lower: Provided, That the actual free legal services
herein contemplated shall be exclusive of the
minimum sixty (60)-hour mandatory legal aid
services rendered to indigent litigants as required
under the Rule on Mandatory Legal Aid Services for
Practicing Lawyers, under Bar Matter No. 2012,
issued by the Supreme Court. (Sec. 5, R.A. No. 9999)
Purposes/Objectives
R.A. No. 9999 is enacted in order to:
Salient Features
1.
2.
3.
4.
5.
encourage
lawyers
and
professional
partnerships to provide free legal assistance;
solicit the assistance of lawyers and
professional partnerships in the private
practice of law in providing quality legal
assistance to indigent litigants through a
system of tax incentives;
provide relief to the Public Attorney9s Office
(PAO) and other associations accredited by the
Supreme Court from the numerous cases it
handles;
provide indigent litigants the opportunity to
acquire the services of distinguished law firms
and legal practitioners of the country for free;
and,
ensure that the right of every individual to
counsel, as mandated in the Constitution, is
protected and observed.
1.
The law will allow indigent litigants to acquire
the services of renowned lawyers and law firms
for free.
2.
In exchange for the services rendered by the
lawyer or the law firm, they will be given tax
incentives equivalent to the cost of the services
rendered to the indigent litigant.
3.
It will help relieve the Public Attorney9s Office
(PAO) of its numerous caseloads involving
indigent litigants who shall be referred to
lawyers or law firms in private practice.
4.
It should entice renowned and distinguished
firms and lawyers in the practice as their
services shall be compensated commensurately
through the tax incentives.
Services Available
RULE 2.02, CANON 2
In such cases, even if the lawyer does not accept
a case, he shall not refuse to render legal
advice to the person concerned if only to the
extent necessary to safeguard the latter9s
rights.
Public Attorney's Office (PAO), Department of
Justice (DOJ), and other legal aid clinics accredited
by the Supreme Court shall refer pauper litigants to
identified lawyers and professional partnerships.
They shall issue a certification that services were
rendered by the lawyer or the professional
partnership under this act. The certification shall
include the cost of the actual services given. (Sec. 4,
R.A. No. 9999)
Rendering of Legal Advice includes preliminary
steps that should be taken, at least, until the person
concerned has obtained the services of a proper
counsel9s representation. Even though no attorneyclient relationship is created between the parties,
the lawyer, by providing interim advice, preserves
the dignity of the profession by inspiring public faith
in the profession. (CPR Annotated, PhilJA)
Incentives to Lawyers giving Free Service
A lawyer or professional partnerships rendering
actual free legal services shall be entitled to an
allowable deduction from the gross income, the
amount that could have been collected for the actual
free legal services rendered or up to ten percent
(10%) of the gross income derived from the actual
performance of the legal profession, whichever is
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Q: Wanda finally became pregnant in the 10th
year of her marriage to Horacio. As her
pregnancy progressed, she started experiencing
difficulty in breathing and was easily fatigued.
`
16
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Advertisements
The doctors diagnosed Wanda with a heart
congestion problem due to a valve defect, and
her chances of carrying a baby to a full term are
slim. Wanda is scared and contemplates the
possibility of abortion. She thus sought legal
advice from Diana, a lawyer-friend and fellow
church member, who has been informally
advising her on legal matters. What is Diana9s
best ethical response? (2013 BAR)
GR: Advertisement by lawyers is not allowed. The
most worthy and effective advertisement possible is
the establishment of a well-merited reputation for
professional capacity and fidelity to trust. (Director
of Religious Affaits v. Bayot, A.C. No. L-1117, 20 Mar.
1944)
REASON: The proscription against advertising of
legal services or solicitation of legal business rests
on the fundamental postulate that the practice of
law is a profession. (Ulep v. Legal Aid, Inc., B.M. No.
553, 17 June 1993)
A: Advise Wanda on the purely legal side of her
problem and assure her that abortion is allowed by
law if the pregnancy endangers the life of the
mother. (Rule 2.01 & 2.02, CPR)
Q: The rendition of free legal services is a
lawyer9s: (2014 BAR)
XPNs: (L-E-P-O-L-A-B-A-N-P-D) (2015 BAR)
1.
A: Moral duty is above social obligation and legal
mandate. The lawyer voluntarily imposes upon
himself higher duties and more noble obligations
enshrined in the Lawyer's Oath which goes beyond
commitment to social obligation and legal
mandates.
2.
RULE 2.03, CANON 2
A lawyer shall not do or permit to be done any
act designated primarily to solicit legal
business. (1997 Bar)
3.
Rationale behind the Rule that Legal Profession
is not considered a Business (2006 BAR)
4.
It is not a business because it is a:
1. duty of public service, of which the emolument
is a byproduct, and in which one may attain the
highest eminence without making much
money;
2. relation, as an <officer of the court=, to the
administration of justice involving thorough
sincerity, integrity and reliability;
3. fiduciary relation to clients of the highest
degree; and,
4. relation to the colleagues in the bar is
characterized by candor, fairness, and
unwillingness to resort to current business
methods of advertising and encroachment on
their practice or dealing directly with their
clients.
5.
6.
7.
8.
9.
17
Reputable Law lists, in a manner consistent
with the standards of conduct imposed by the
canons, stating brief biographical and
informative data;
Simple announcement of the Existence of a
lawyer or the law firm posted anywhere where
it is proper such as the place of business or
residence except courtrooms and government
buildings;
Ordinary, simple Professional Card. It may
contain only a statement of name, the name of
the law firm which is connected with, address,
telephone number and the special branch of law
practiced;
A simple announcement of the Opening of a law
firm or of changes in the partnership,
associates, firm name or office address, being
for the convenience of the profession;
Announcement in any Legal publication,
including books, journals, and legal magazines
and in telephone directories (Ulep v. Legal
Clinic, Inc., B.M. No. 553, 17 June 1993);
Writing legal Articles;
Engaging in Business and other occupations
except when such could be deemed improper,
be seen as indirect solicitation, or would be the
equivalent of a law practice;
Activity of an association for legal
representation;
Notice to other local lawyers and publishing in
a legal journal of one9s availability to act as an
associate for them;
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
10. Seeking a Public office, which can only be held
by a lawyer or, in a dignified manner, a position
as a full-time corporate counsel; and,
11. Listing in a phone Directory, but not under a
designation of a special branch of law. (Atty.
Khan Jr. v. Atty. Simbillo, A.C. No. 5299, 19 Aug.
2003)
presented in court. Is Atty. Tabalingcos guilty of
unlawful solicitation?
A: YES. He violated Rule 2.03 of the Code, which
prohibits lawyers from soliciting cases for profit. A
lawyer is not prohibited from engaging in business
or other lawful occupation. Impropriety arises,
though, when the business is of such a nature or is
conducted in such a manner as to be inconsistent
with the lawyer9s duties as a member of the bar. This
arises when the business is one that can readily lend
itself to the procurement of professional
employment for the lawyer; or that can be used as a
cloak for indirect solicitation on the lawyer9s behalf;
or is of a nature that, if handled by a lawyer, would
be regarded as the practice of law. It is clear from
the documentary evidence submitted by
complainant that Jesi & Jane Management, Inc.,
which purports to be a financial and legal
consultant, was indeed a vehicle used by Atty.
Tabalingcos as a means to procure professional
employment;
specifically,
for
corporate
rehabilitation cases. (Villatuya v. Tabalingcos, A.C.
No. 6622, 10 July 2012)
NOTE: For solicitation to be proper, it must be
compatible with the dignity of the legal profession.
If made in a modest and decorous manner, it would
bring no injury to the lawyer or to the bar. (Pineda,
2009)
Rationale for the Prohibition of Advertisements
1.
2.
3.
4.
5.
The profession is primarily for public service.
It commercializes the profession.
It involves self-praise and puffing.
It damages public confidence.
It may increase lawsuits and result in needless
litigation.
Examples of Indirect Solicitation
1.
2.
Q: Atty. David agreed to give one-half (½) of his
professional fees to an intermediary or
commission agent and he also bound himself not
to deal directly with the clients. Can he be
subject to disciplinary action?
Writing and selling for publication articles of
general nature on legal subjects; and,
Writing unsolicited articles on a legal subject.
NOTE: If engaged in another profession or
occupation concurrently with the practice of law,
the lawyer shall make clear to his client whether he
is acting as a lawyer or in another capacity. (Rule
15.08, CPR)
A: YES. The agreement is void because it constitutes
malpractice which is the practice of soliciting cases
of law for profit, either personally or through paid
agents or brokers. Malpractice ordinarily refers to
any malfeasance or dereliction of duty committed
by a lawyer. The meaning of malpractice is in
consonance with the notion that the practice of law
is a profession not a business. The lawyer may not
seek or obtain employment by himself or through
others, to do so would be unprofessional. (Tan Tek
Beng v. David, A. C. No. 1261, 29 Dec. 1983)
Q: Atty. Tabalingcos was charged with
unlawfully soliciting clients and advertising
legal services through various business entities.
He allegedly set up two financial consultancy
firms, Jesi and Jane Management, Inc. and
Christmel Business Link, Inc., and used them as
fronts to advertise his legal services and solicit
cases. However, he contended that his law firm
had an agreement with Jesi and Jane
Management, Inc., whereby the firm would
handle the legal aspect of the corporate
rehabilitation case; and that the latter would
attend to the financial aspect of the case such as
the preparation of the rehabilitation plans to be
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
NOTE: A general professional partnership with a
non-lawyer is void. In the formation of partnership
for the practice of law, no person should be
admitted or held out as a practitioner or member
who is not a member of the legal profession duly
authorized to practice, and amenable to
`
18
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
RULE 2.04, CANON 2
A lawyer shall not charge rates lower than
those customarily prescribed unless the
circumstances so warrant. (1997, 2005 BAR)
professional discipline. (Canon 33, CPE)
Q: Atty. Dulcinea writes a regular column in a
newspaper of general circulation and articles on
unforgettable legal stories in a leading magazine.
Her by-line always includes the name of her firm
where she is a named partner. Would you
consider this as improper advertising?
GR: A lawyer shall not charge rates lower than those
customarily prescribed.
XPN: When clients are relatives, co-lawyers, or are
indigents.
A: YES. Atty. Dulcinea9s by-line including the firm
name where she belongs is improper because it is
an indirect way of solicitation or is an advertisement
of the law firm.
What the rule prohibits is a competition in the
matter of charging professional fees to attract
clients in favor of the lawyer who offers lower rates.
The rule does not prohibit a lawyer from charging a
reduced fee or none at all to an indigent. (Comments
of the IBP Committee)
Q: A paid advertisement appeared in the July 5,
2000 issue of Philippine Daily Inquirer, which
reads: "ANNULMENT OF MARRIAGE Specialist
532-4333/521-2667." Similar advertisements
were published in the August 2 and 6, 2000
issues of the Manila Bulletin and August 5, 2000
issue of The Philippine Star. Does the
appearance of such in a newspaper, amount to
advertising and solicitation of legal services
prohibited by the CPR and the Rules of Court?
A: YES. It has been repeatedly stressed that the
practice of law is not a business. It is a profession in
which duty to public service, not money, is the
primary consideration. Lawyering is not primarily
meant to be a money-making venture, and law
advocacy is not a capital that necessarily yields
profits. The gaining of a livelihood should be a
secondary consideration.
The duty to public service and to the administration
of justice should be the primary consideration of
lawyers, who must subordinate their personal
interests or what they owe to themselves. (Atty.
Khan Jr. v. Atty. Simbillo, A.C. No. 5299, 19 Aug. 2003)
NOTE: The rule against solicitation applies to a
lawyer who offers monetary reward to those who
can serve as witness/es in the case, which he is
handling. (CPR Annotated, PhilJA)
19
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
TRUE, HONEST, FAIR, DIGNIFIED AND
OBJECTIVE INFORMATION ON LEGAL SERVICES
violation of Canon 3 of the CPR. The phrase <We also
offer financial assistance.= was clearly used to entice
clients who already had representation to change
counsels with a promise of loans to finance their
legal actions. Money was dangled to lure clients
away from their original lawyers, thereby taking
advantage of their financial distress and emotional
vulnerability. This crass commercialism degraded
the integrity of the bar and deserves no place in the
legal profession. (Linsangan v. Atty. Tolentino, A.C.
No. 6672, 04 Sept. 2009)
CANON 3
A lawyer in making known his legal services
shall use only true, honest, fair, dignified and
objective information or statement of facts.
Brazen commercialization of legal services is
not allowed.
The practice of law is not a trade like the sale of
commodities to the general public where "the usual
exaggerations in trade, when the proper party had
the opportunity to know the facts, are not in
themselves fraudulent.= (Art. 1340, New Civil Code
(NCC))
Q: As a new lawyer, Attorney Novato started
with a practice limited to small claims cases,
legal counseling, and notarization of documents.
He put up a solo practice law office and was
assisted by his wife who served as his
secretary/helper. He used a makeshift hut in a
vacant lot near the local courts and a local
transport regulatory agency. With this strategic
location, he enjoyed heavy patronage assisting
walk-in clients in the preparation and filing of
pleadings and in the preparation and
notarization of contracts and documents. He had
the foresight of investing in a good heavy -duty
copier machine that reproduces quality
documents, and charges a reasonable fee for this
service. He put up a shingle that reads: <Atty.
Novato, Specialist in Small Claims, Fastest in
Notarization; the Best and Cheapest in Copier
Services.= Is Attorney Novato9s manner of
carrying out his professional practice in keeping
with appropriate ethical and professional
practice? (2013 BAR)
Q: Atty. E has a daily 10-minute radio program
billed as a <Court of Common Troubles.= The
program is advertised by the radio station as a
public service feature for those who seek but
cannot afford to pay for legal advice. Its
sponsors include a food processing company
and a detergent manufacturing firm which share
with the radio station the monthly
renumeration of Atty. E.
Is there any
impropriety in Atty. E9s role under the above
arrangement? (1997 BAR)
A: YES. Giving advice on legal matters through the
medium of a newspaper column or radio station or
television broadcast is improper. It would involve
indirect advertising and violation of the confidential
relation between the lawyer and the client. (Agpalo,
2002; Canon 5, CPR)
A: NO. Attorney Novato9s manner of carrying out his
professional practice is not in keeping with
appropriate ethical and professional practice. He
has degraded the law profession which may result
in loss of respect to lawyers as a whole.
Q: Atty. Nelson recently passed the Bar and
wanted to specialize in marine labor law. He
gave out calling cards with his name, address
and telephone number in front, and the
following words at the back: <We provide legal
assistance to overseas seamen who are
repatriated due to accident, illness, injury, or
death. We also offer FINANCIAL ASSISTANCE.=
Does this constitute ethical misconduct? (2012
BAR)
The use of a makeshift hut standing alone would
create the impression that the lawyer does not have
a permanent address which is required to be stated
in all pleadings he signs as well as required to be
shown in documents he notarizes.
A: YES. The calling card contains advertisement in
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
20
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
His shingle shows that he has considered the law
profession as a business. He should have a separate
shingle for his copier services business.
4.
When he included in his shingle the phrases
<Specialist in Small Claims= and <Fastest in
Notarization= he has transgressed the rule that a
lawyer in making known his legal services shall use
only dignified information or statement of facts. He
has also violated the norm that a lawyer shall not
use or permit the use of any misleading, undignified,
self-laudatory or unfair statement or claim
regarding his qualifications or legal services. (Canon
3, CPR)
a lawyer; and
Representations concerning the quality of
service, which cannot be measured or verified.
(CPR Annotated, PhilJA)
RULE 3.02, CANON 3
In the choice of a firm name, no false,
misleading or assumed name shall be used.
The continued use of the name of a deceased
partner is permissible provided that the firm
indicates in all its communications that said
partner is deceased. (1994, 1996, 2001 BAR)
A lawyer is not authorized to use a name other than
the name inscribed in the Roll of Attorneys in his
practice of law. (Pangan v. Atty. Ramos, A.M. No. 1053,
07 Sept. 1979)
RULE 3.01, CANON 3
A lawyer shall not use or permit the use of any
false, fraudulent, misleading, deceptive,
undignified, self-laudatory or unfair statement
or claim regarding his qualifications or legal
services. (1997 BAR)
Rationale behind the Rule that the Name of
Deceased Partner may still be used
All the partners have, by their joint and several
efforts over a period of years contributed to the
goodwill attached to the firm name. In the case of a
firm having widespread connections, this goodwill
is disturbed by a change in firm name every time a
partner dies, and that reflects a loss in some degree
of the goodwill to the building up of which the
surviving partners have contributed their time, skill
and labor through a period of years. (CPR Annotated,
PhilJA)
Any false, exaggerating or untrue claims about his
qualification are unethical.
Example: When a lawyer represents to a
prospective client that he has never lost a single
case in his entire career. Certainly, this is impossible
for the best lawyers in the country have experienced
losing cases. (Antiquiera, 1992)
Self-laudation is prohibited.
NOTE: No name not belonging to any of the partners
or associates may be used in the firm name for any
purpose.
Certain self-laudatory information such as election
to a public office, scholastic honors and
achievements, and legal authorships may be
disseminated. What is prohibited is that which
<creates an unjustified expectation about results the
lawyer can achieve.= (Funa, 2009)
Examples of Advertisements
considered as deceptive
1.
2.
3.
which
Continued use of the name of a deceased partner is
permissible provided that the firm indicates in all its
communications that said partner is deceased. The
use of a cross after the name of the deceased partner
is sufficient indication. It is advisable though that
the year of the death be also indicated.
are
Misstatements of fact;
Suggestions that the ingenuity or prior record
of a lawyer rather than the justice of the claim
are the principal factors likely to determine the
result;
Inclusion of information irrelevant in selecting
The use of the firm name of a foreign law firm is
unethical. (Pineda, 2009)
Maintaining a disbarred lawyer9s name in the firm
name is different from using a deceased partner9s
name in the firm name. Canon 3, Rule 3.02 allows
21
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
injunction as threatened by Atty. Gatdula
despite the fact that the MTC Branch 37 had
issued an Order directing the execution of the
Decision in a prior civil case. Samonte filed an
administrative case for misconduct. Did Atty.
Gatdula violate the Code of Conduct and Ethical
Standards for the Public Officials and
Employees?
the use of a deceased partner9s name as long as
there is an indication that the partner is deceased.
This ensures that the public is not misled. On the
other hand, the retention of a disbarred lawyer9s
name in the firm name may mislead the public into
believing that the lawyer is still authorized to
practice law. The use of a deceased partner9s name
in a law firm9s name was allowed upon the
effectivity of the CPR, with the requirement that <the
firm indicates in all its communications that said
partner is deceased.= On the other hand, this court
has ruled that the use of the name of a person who
is not authorized to practice law constitutes
contempt of court. (Kimteng v. Young, G.R. No.
210554, 05 Aug. 2015)
A: YES. The card clearly gives the impression that he
is connected with the said law firm. The
inclusion/retention of his name in the professional
card constitutes an act of solicitation which violates
Section 7(b)(2) of R.A. No. 6713, otherwise known
as <Code of Conduct and Ethical Standards for the
Public Officials and Employees= which declares it
unlawful for a public official or employee to, among
others: (2) Engage in the private practice of their
profession unless authorized by the Constitution or
law, provided that such practice will not conflict or
tend to conflict with official functions. (Samonte v.
Gatdula, A.M. No. 99-1292, 26 Feb. 1999)
RULE 3.03, CANON 3
Where a partner accepts public office, he shall
withdraw from the firm and his name shall be
dropped from the firm name unless the law
allows him to practice law concurrently.
Name of a partner in law firm should be dropped if
appointed as judge since he is no longer allowed to
practice law. (Pineda, 2009)
RULE 3.04, CANON 3
A lawyer shall not pay or give anything of value
to representatives of the mass media in
anticipation of, or in return for, publicity to
attract legal business.
RATIONALE: To prevent the law firm or partners
from making use of the name of the public official to
attract business and to avoid suspicion of undue
influence.
RATIONALE: To prevent some lawyers from
gaining an unfair advantage over others through the
use of gimmickry, press pageantry or other artificial
means.
Q: Samonte alleges that when she went to
Branch 220, RTC-QC to inquire about the reason
for the issuance of the TRO, Atty. Rolando
Gatdula (Clerk of Court) blamed her lawyer for
writing the wrong address in the complaint for
ejectment. He told her that if she wanted the
execution to proceed, she should change her
lawyer and retain the law office of Atty. Gatdula,
at the same time giving his calling card with the
name "Baligod, Gatdula, Tacardon, Dimailig and
Celera" with office at Rm. 220 Mariwasa Bldg.,
717 Aurora Blvd., Cubao, Quezon City, otherwise,
she will not be able to eject the defendant.
Q: Fiscal Salva conducted the investigation of a
case concerning the killing of Monroy, in the
session hall of the Municipal Court of Pasay City
to accommodate the public and members of the
press. He also told the press that <if you want to
ask questions, I am allowing you to do so and the
questions will be reproduced as my own.= Is the
act of Fiscal Salva unethical?
A: YES. Fiscal Salva should be publicly censured for
the uncalled for, and wide, publicity and
sensationalism that he had given to, and allowed in
connection with, his investigation, whatever be his
motive, which is considered and found to be
contempt of court. (Cruz v. Salva, G.R. No. L-12871,
Samonte told Atty. Gatdula that she could not
decide because she was only representing her
sister. To her consternation, the RTC Branch 220
issued an order granting the preliminary
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
22
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
PARTICIPATION IN THE IMPROVEMENT AND
REFORMS IN THE LEGAL SYSTEM
25 July 1959)
CANON 4
A lawyer shall participate in the development
of the legal system by initiating or supporting
efforts in law reform and in the improvement
of the administration of justice.
By reason of education and experience, lawyers are
especially qualified to recognize deficiencies in the
legal system and to initiate corrective measures
therein.
Thus, they should participate in proposing and
supporting legislation and programs to improve the
system, without regard to the general interests or
desires of clients or former clients. (Ethical
Consideration 8-1, 1978, Model Code of Professional
Responsibility, American Bar Association)
Examples:
1.
2.
Presenting position papers or resolutions for
the introduction of pertinent bills in Congress;
or,
Petitions with the Supreme Court for the
amendment of the Rules of Court.
Endorsement by a Lawyer
A lawyer may, with propriety, endorse a candidate
and seek endorsement from other lawyers. A lawyer
should not use or attempt to use the power or
prestige of the judicial office to secure such
endorsement.
On the other hand, the lawyer whose endorsement
is sought should have the courage and moral
stamina to refuse the request for endorsement if he
believes the candidate lacks the essential
qualifications for the office or believes the opposing
candidate is better qualified. (ABA Opinion 189
(1938); Funa, 2009)
23
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
PARTICIPATION IN THE LEGAL EDUCATION
PROGRAM
Three-fold Obligation of a Lawyer under this
Canon
CANON 5
A lawyer shall keep abreast of legal
developments, participate in continuing legal
education programs, support efforts to achieve
high standards in law schools as well as in the
practical training of law students and assist in
disseminating information regarding the law
and jurisprudence.
The following are the obligations of a lawyer under
Canon 5:
1.
2.
3.
This duty carries with it the obligation to be wellinformed of the existing laws and to keep abreast
with legal developments, recent enactment, and
jurisprudence. It is imperative that they be
conversant with the basic legal principles.
He/She owes it to himself/herself to continue
improving his knowledge of the laws.
He/She owes it to his/her profession to take an
active interest in the maintenance of high
standards of legal education.
He/She owes it to the lay public to make the law
a part of their social consciousness. (Pineda,
2009)
Unless they faithfully comply with such duty, they
may not be able to discharge competently and
diligently their obligations as members of the Bar.
Worse, they may become susceptible to committing
mistakes. (Dulalia Jr. v. Cruz, A.C. No. 6854, 25 Apr.
2007, citing Santiago v. Rafanan, A.C. No. 6252, 05 Oct.
2004)
The latest circular of the Supreme Court provides
for the mandatory attendance of all lawyers in the
<Mandatory Continuing Legal Education= (MCLE)
program of the IBP. Law practitioners have to
comply with the thirty-six (36) hours of mandatory
legal education as a pre-condition to the nonrevocation of license to practice law. (Antiquiera,
1992)
A member who, for whatever reason, is in noncompliance at the end of the compliance period shall
pay a non-compliance fee. Any member who fails to
satisfactorily comply with Section 2 of Rule 12 shall
be listed as a delinquent members by the IBP Board
of Governors upon the recommendation of the
MCLE Committee, in which case, Rule 139-A of the
Rules of Court shall apply. (Mendoza-Arcega and
Dechavez, 2020)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
24
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
LAWYERS IN THE GOVERNMENT AND
DISCHARGE OF OFFICIAL TASKS
counsel or maintain such actions or proceedings
only as appear to him to be just and such defenses
only as he believes to be honestly debatable under
the law. (Sec. 20(c), Rule 138)
CANON 6
These canons shall apply to lawyers in
government service in the discharge of their
official tasks.
The Canons of The Code of Professional
Responsibility are applicable to government
lawyers in the performance of their official tasks.
(Canon 6, CPR)
Lawyers employed in the government should be
more sensitive in the performance of their
professional obligations as their conduct is subject
to constant scrutiny of the public. (Vitriolo v. Dasig,
A.C. No. 4984, 01 Apr. 2003)
RULE 6.01, CANON 6
The primary duty of a lawyer engaged in public
prosecution is not to convict but to see to it that
justice is done. The suppression of facts or the
concealment of witnesses capable of
establishing the innocence of the accused is
highly reprehensible and is cause for
disciplinary action.
Canon 6 of the Code of Professional Responsibility
laid down the rules to be observed by government
lawyers in the performance of thei functions. More
specifically, Canon 6 highlights the continuing
standarc of ethical conduct to be observed by
government lawyers in the discharge of their official
tasks. In addition to the standard of conduct laid
down under R.A. No. 6713 for government
employees, a lawyer in the government service is
obliged to observe the standard of conduct under
the Code of Professional Responsibility.
Q: From the viewpoint of legal ethics, why
should it be mandatory that the public
prosecutor be present at the trial of a criminal
case despite the presence of a private
prosecutor? (2001 BAR)
A: The public prosecutor must be present at the trial
of the criminal case despite the presence of a private
prosecutor in order to see to it that the interest of
the State is well-guarded and protected, should the
private prosecutor be found lacking in competence
in prosecuting the case. Moreover, the primary duty
of a public prosecutor is not to convict but to see to
it that justice is done (Rule 6.01, CPR). A private
prosecutor would be naturally interested only in the
conviction of the accused.
Since public office is a public trust, the ethical
conduct demanded upon lawyers in the government
service is more exacting than the standards for
those in private practice. Lawyers in the
government service are subject to constant public
scrutiny under norms of public accountability. They
also bear the heavy burden of having to put aside
their private interest in favor of the interest of the
public; their private activities should not interfere
with the discharge of their official functions.
(Mendoza-Arcega and Dechavez, 2020)
Q: When may a private prosecutor appear in
behalf of the State even without the presence or
supervision of a public prosecutor?
Q: Provincial Prosecutor Bonifacio refused to
represent the Municipality of San Vicente in a
case for collection of taxes. He explained that he
cannot handle the case with sincerity and
industry because he does not believe in the
position taken by the municipality. Can
Prosecutor
Bonifacio
be
sanctioned
administratively? (2006 BAR)
A: All criminal actions either commenced by
complaint or by information shall be prosecuted
under the direction and control of a public
prosecutor. In case of heavy work schedule of the
public prosecutor or lack of public prosecutors, the
private prosecutor may be authorized in writing by
the Chief of the Prosecution Office or the Regional
State Prosecutor to prosecute the case subject to the
approval of the court.
A: NO. A lawyer may refuse a case which he believes
to be unmeritorious, because it is <his duty to
25
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Note: Once so authorized to prosecute the criminal
action, the private prosecutor shall continue to
prosecute the case up to end of the trial even in the
absence of a public prosecutor, unless the authority
is revoked or otherwise withdrawn. (Sec. 5, Rule 110,
Rules of Court, as amended by A.M. No. 02-2-07-SC
effective 01 May 2002)
RULE 6.03, CANON 6
A lawyer shall not, after leaving government
service, accept engagement or employment in
connection with any matter in which he had
intervened while in said service. (1992, 1993,
2001 BAR)
The restriction provided under the rule covers
engagement or employment which means that he
cannot accept any work or employment from
anyone that will involve or relate to the matter in
which he intervened as a public official, except on
behalf of the body or authority which he served
during his public employment. (CPR Annotated,
PhilJA)
RULE 6.02, CANON 6
A lawyer in the government service shall not
use his public position to promote or advance
his private interests, nor allow the latter to
interfere with his public duties.
Restriction on Lawyers who are also Public
Officials
and
Employees
during
their
Incumbency
NOTE: Sec. 7(b) of R.A. No. 6713 prohibits a former
public official or employee for a period of 1 year
after retirement or separation from office to
practice his or her profession in connection with
any matter before the office he or she used to be
with.
They must NOT: (P-E-R-U)
1.
2.
3.
4.
engage in the Private practice of their
profession unless authorized by the
Constitution or law, provided that such practice
will not conflict or tend to conflict with their
official functions.
own, control, manage or accept Employment as
officer, employee, consultant, counsel, broker,
agent, trustee or nominee in any private
enterprise regulated, supervised or licensed by
their office unless expressly allowed by law.
Recommend any person to any position in a
private enterprise which has a regular or
pending official transaction with their office.
Use or divulge confidential or classified
information officially known to them by reason
of their office and not available to the public.
Q: Solicitor General Estelito Mendoza filed a
petition with the CFI praying for the assistance
and supervision of the court in the GenBank9s
liquidation. Mendoza gave advice on the
procedure
to
liquidate
the
GenBank.
Subsequently, President Aquino established the
PCGG to recover the alleged ill-gotten wealth of
former President Marcos, his family and cronies.
The PCGG filed with the Sandiganbayan a
complaint
for
reversion,
reconveyance,
restitution, accounting and damages against
Tan, et al. and issued several writs of
sequestration on properties they allegedly
acquired. Tan, et al. were represented by former
SolGen Mendoza, who has then resumed his
private practice of law. The PCGG filed motions
to disqualify Mendoza as counsel for Tan, et al.,
alleging that then SolGen and counsel to Central
Bank, <actively intervened= in the liquidation of
GenBank, which was subsequently acquired by
Tan, et al. Is Rule 6.03 of the CPR applicable to
Mendoza?
Rule 6.01 vs. Rule 6.02
Unlike Rule 6.01, 6.02 is not limited to public
prosecutors, or public lawyers engaged principally
in criminal prosecution cases. The restriction
applies particularly to lawyers in government
service, who are allowed by law to engage in private
law practice, and those who, though prohibited
from engaging in the practice of law, have friends,
former associates and relatives who are in the active
practice of law. (CPR Annotated, PhilJA)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
26
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
NOTE: <Congruent-interest representation conflict,=
unlike the <adverse-interest conflict,= is unique to
former
government
lawyers.
(PCGG
v.
Sandiganbayan, G.R. Nos. 151809-12. 12 Apr. 2005)
A: NO. The advice given by Mendoza on the
procedure to liquidate the GenBank is not the
<matter= contemplated by Rule 6.03 of the CPR.
ABA Formal Opinion No. 342 is clear in stressing
that the <drafting, enforcing or interpreting
government or agency procedures, regulations or
laws, or briefing abstract principles of law= are acts
which do not fall within the scope of the
term <matter=.
However, this concern does not cast shadow in the
case at bar. The act of Mendoza in informing the
Central Bank on the procedure on how to liquidate
the GenBank is a different from the subject matter
of the civil case about the sequestration of the
shares of Tan et al. in Allied Bank.
Consequently, the danger that confidential official
information might be divulged is still nil, if not
inexistent. Their interests coincide instead of
colliding. (PCGG v. Sandiganbayan, G.R. Nos. 15180912, 12 Apr. 2005)
Adverse-Interest Conflict vs. Congruent-Interest
Conflict
ADVERSEINTEREST
CONFLICTS
CONGRUENTINTEREST
REPRESENTATION
CONFLICTS
As to the Scenarios Applicable
Exist
where
the
matter in which the
former government
lawyer represents a
client
in
private
practice
is
substantially related
to the matter that the
lawyer dealt with
while employed by
the government and
the interests of the
government and the
interests
of
the
current and former
are adverse.
The
disqualification
does not involve a
conflict at all, because it
prohibits the lawyer
from representing a
private practice client
even if the interests of
the former government
client and the new client
are entirely parallel.
27
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
1999)
B. TO THE LEGAL PROFESSION
(CANONS 7 TO 9)
Fundamental Purposes of the IBP
The IBP is established in order to:
1. elevate the standards of the legal profession;
2. improve the administration of justice; and
3. enable the Bar to discharge its public
responsibility more effectively. (Sec. 2, Rule
139-A, Rules of Court, as amended)
INTEGRATED BAR OF THE PHILIPPINES (IBP)
CANON 7
A lawyer shall at all times uphold the integrity
and dignity of the legal profession and support
the activities of the integrated bar.
NOTE: The Philippines is divided into nine (9)
Regions of the Integrated Bar, with a Chapter
organized in every province. Each Chapter shall
have its own local government as provided for by
uniform rules to be prescribed by the Board of
Governors and approved by the Supreme Court.
(Secs. 3 and 4, Rule 139-A, Rules of Court, as
amended)
It is an official national body composed of all
persons whose names now appear or may hereafter
be included in the Roll of Attorneys of the Supreme
Court. (Sec. 1, Rule 139-A, Rules of Court, as
amended)
Statutory Basis
Constitutionality of the IBP Integration
R.A. No. 6397, otherwise known as <An Act
Providing for the Integration of the Philippine Bar,
and Appropriating Funds Therefor.= The Supreme
Court may adopt rules of court to effect the
Integration of the Philippine Bar under such
conditions as it shall see fit in order to raise the
standards of the legal profession, improve the
administration of justice and enable the bar to
discharge its public responsibility more effectively.
(Sec. 1)
The practice of law is not a vested right but a
privilege clothed with public interest. Hence, it is
fair and just that the exercise of that privilege be
regulated to assure compliance with the lawyer's
public responsibilities. Given existing bar
conditions, the most efficient means of doing so is
by integrating the Bar through a rule of court that
requires all lawyers to pay annual dues to the
Integrated Bar. (In the Matter of the Integration of
the Bar of the Philippines, 49 SCRA 22, 09 Jan. 1973)
NOTE: The Integrated Bar is a state-organized bar,
to which every lawyer must belong, as distinguished
from bar associations organized by lawyers
themselves, where membership is voluntary. It is a
national organization of lawyers created on 16 Jan.
1973 under Rule 139-A of the Rules of Court, and
constituted on 04 May 1973 into a body corporate
by P.D. No. 181.
Structure of the IBP Board
Nine (9) Governors shall be elected by the House of
Delegates from the nine (9) Regions on the
representation basis of one Governor from each
Region. Each Governor shall be chosen from a list of
nominees submitted by the Delegates from the
Region, provided that not more than one (1)
nominee shall come from any Chapter. The
President and the Executive Vice President, if
chosen by the Governors from outside of
themselves as provided in Section 7 of this Rule,
shall ipso facto become members of the Board. (Sec.
6, Rule 139-A, Rules of Court, as amended)
Integration of the Bar
The integration of the Philippine Bar means the
official unification of the entire lawyer population,
and this requires membership and financial support
of every attorney as condition sine qua non to the
practice of law and the retention of his name in the
Roll of Attorneys of the Supreme Court. (Pineda,
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
28
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Term of Members of the IBP Board
rotation by exclusion shall be adopted since the
elections would be more genuine as the opportunity
to serve as Governor at any time is once again open
to all chapters, unless, of course, a chapter has
already served in the new cycle.
The Governors shall hold office for a term of two (2)
years from July 1 immediately following their
election to June 30 of their second year in office and
until their successors shall have been duly chosen
and qualified. (Sec. 38, Art. VI, IBP By-Laws)
While predictability is not altogether avoided, as in
the case where only one chapter remains in the
cycle, still, as previously noted by the Court <the
rotation rule should be applied in harmony with,
and not in derogation of, the sovereign will of the
electorate as expressed through the ballot.= (In the
Matter of the Brewing Controversies in the Elections
of the IBP, A.M. No. 09-5-2-SC, 04 Dec. 2012)
Principle of Rotation
Under this principle, the governorship of a region
shall rotate once in as many terms as the number of
chapters there are in the region, to give every
chapter a chance to represent the region in the
Board of Governors. Thus, in a region composed of
5 chapters, each chapter is entitled to the
governorship once in every 5 terms, or once every
ten (10) years, since a term is two (2) years. (Atty.
Magsino et al. v. Atty. Vinluan, A.M. No. 09-5-2-SC, 14
Dec. 2010)
Transferring to another IBP Chapter is not a
ground for disqualification to run as IBP
Governor.
Transferring to another IBP Chapter is not a ground
for disqualification for the post of IBP Governor as
the same is allowed under Section 19 of the IBP ByLaws with the qualification only that the transfer be
made not less than three months immediately
preceding any chapter election. (Velez v. De Vera, A.C.
No. 6697, 25 July 2006)
NOTE: The principle on rotation shall be strictly
implemented. All prior elections for governor in the
region shall be reckoned with or considered in
determining who should be the governor to be
selected from the different chapters to represent
the region in the Board of Governors. (Bar Matter No.
586, 16 May 1991)
Board Meetings
Kinds of Rotation
1.
Rotation by Pre-ordained Sequence. It is
effected by the observance of the sequence of
the service of the chapters in the first cycle,
which is predictable.
2.
Rotation by Exclusion. It is effected by the
exclusion of a chapter who had previously
served until all chapters have taken their turns
to serve. It is not predictable as each chapter
will have the chance to vie for the right to serve,
but will have no right to a re-election as it is
debarred from serving again until the full cycle
is completed. (In the Matter of the Brewing
Controversies in the Elections of the Integrated
Bar of the Philippines, A.M. No. 09-5-2-SC, 04 Dec.
2012)
The Board shall meet regularly once every three
months, on such date and at such time and place as
it shall designate. A majority of all the members of
the Board shall constitute a quorum to do business.
Special meetings may be called by the President or
by five members of the Board. (Sec. 6, Rule 139-A,
Rules of Court, as amended)
IBP Officers
The Integrated Bar shall have a/an:
1.
2.
NOTE: In one case, the Supreme Court held that
29
President;
Executive Vice President who shall be chosen
by the Governors immediately after the latter9s
election; either from among themselves or from
other members of the Integrated Bar, by the
vote of at least five Governors. Each of the
regional members of the Board shall be ex
officio Vice President for the Region which he
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
3.
4.
5.
disability. Unless otherwise provided in these ByLaws, all other officers and employees appointed by
the President with the consent of the Board shall
hold office at the pleasure of the Board or for such
term as the Board may fix. (Sec. 49, Article VII, IBP
By-Laws)
represents;
Secretary;
Treasurer; and,
Such other officers and employees as may be
required by the Board of Governors, to be
appointed by the President with the consent of
the Board, and to hold office at the pleasure of
the Board or for such term as it may fix. Said
officers and employees need not be members of
the Integrated Bar. (Sec. 7, Rule 139-A, Rules of
Court, as amended)
Qualifications of a Regional IBP Governor
A regional IBP Governor shall be:
1. a member in good standing in the IBP;
2. included in the voters list of his/her chapter or
is not disqualified by the Integration Rule, by
the By-Laws of the Integrated Bar, or by the ByLaws of the Chapter to which he belongs;
3. not belong to a chapter from which a regional
governor has already been elected, unless the
election is the start of a new season or cycle;
and,
4. not be in the government service. (In Re:
Petition to disqualify Atty. De Vera, A.C. No. 6052,
11 Dec. 2003)
NOTE: No lawyer holding an elective, judicial, quasijudicial or prosecutory office in the Government or
any political subdivision or instrumentality thereof
shall be eligible for election or appointment to any
position in the Integrated Bar or any Chapter
thereof.
A Delegate, Governor, officer or employee of the
Integrated Bar, or an officer or employee of any
Chapter thereof shall be considered ipso facto
resigned from his position as of the moment he files
his certificate of candidacy for any elective public
office or accepts appointment to any judicial, quasijudicial, or prosecutory office in the Government or
any political subdivision or instrumentality thereof.
(Sec. 13, Rule 139-A, Rules of Court, as amended)
NOTE: Moral fitness is not an explicit qualification
in the IBP by-laws.
Vacancy occurring in the IBP Presidency
1.
In the event the President is absent or unable to
act, his duties shall be performed by the
Executive Vice President.
2.
In the event of the death, resignation, or
removal of the President, the Executive Vice
President shall serve as Acting President during
the remainder of the term of the office thus
vacated.
3.
In the event of the death, resignation, removal
or disability of both the President and the
Executive Vice President, the Board of
Governors shall elect an Acting President to
hold office until the next succeeding election or
during the period of disability. (Sec. 49, Article
VII, IBP By-Laws)
Term of Officers
The President and the Executive Vice President
shall hold office for a term of two years from July 1
following their election until June 30 of their second
year in office and until their successors shall have
been duly chosen and qualified.
In the event the President is absent or unable to act,
his functions and duties shall be performed by the
Executive Vice President, and in the event of the
death, resignation, or removal of the President, the
Executive Vice President shall serve as Acting
President for the unexpired portion of the term.
In the event of the death, resignation, removal or
disability of both the President and the Executive
Vice President, the Board of Governors shall elect an
Acting President to hold office for the unexpired
portion of the term or during the period of
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
NOTE: He shall serve only the unexpired term.
`
30
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Q: Atty. Ubano filed a motion seeking to nullify
the nomination of Atty. Chaguile as replacement
of IBP Governor for Northern Luzon, Atty.
Habawel, alleging that the IBP9s by-laws clearly
states that there must be first a vacancy or a
prior resignation before the delegates of the
Region can lawfully elect a successor. On the
other hand, the IBP-BOG alleges that it was not
necessary for a position to be absolutely vacant
before a successor may be appointed or elected
and that it has been the "tradition" of the IBP
that where the unexpired term is only for a very
short period of time, it is usually the BOG which
appoints a replacement or an officer in charge to
serve the unexpired term. Is the nomination
invalid?
3.
4.
5.
causing the distribution of such statement to be
done by persons other than those authorized by
the officer presiding at the elections;
campaigning for or against any candidate, while
holding an elective, judicial, quasi-judicial or
prosecutory office in the Government or any
political subdivision, agency or instrumentality
thereof;
formation of tickets, single slates, or
combinations of candidates as well as the
advertising thereof; and,
for the purpose of inducing or influencing a
member to withhold his vote, or to vote for or
against a candidate:
a.
A: NO. It is not only erroneous but also absurd to
insist that a vacancy must actually and literally exist
at the precise moment that a successor to an office
is identified. Where a vacancy is anticipated with
reasonable certainty4as when a term is ending or
the effectivity of a resignation or a retirement is
forthcoming4it is but reasonable that those who
are in a position to designate a replacement act
promptly. New officials are elected before the end of
an incumbent9s term; replacements are recruited
(and even trained) ahead of an anticipated
resignation or retirement. This is necessary to
ensure the smooth and effective functioning of an
office. Between prompt and lackadaisical action, the
former is preferable. It is immaterial that there is an
identified successor-in-waiting so long as there are
no simultaneous occupants of an office. (Re:
Nomination of Atty. Lynda Chauile, A.M. No. 13-0403-SC, 10 Dec. 2013)
b.
c.
payment of the dues or other indebtedness
of any member;
giving of food, drink, entertainment,
transportation or any article of value, or
any similar consideration to any person;
making a promise or causing an
expenditure to be made, offered or promise
to any person. (Sec. 4, IBP By-Laws; In the
Matter of the Inquiry into the 1989 Elections
of the Integrated Bar of the Philippines, A.M.
No. 491, 06 Oct. 1989).
MEMBERSHIP AND DUES
The following acts are prohibited in relation to
elections of IBP officers:
Q: The Integrated Bar of the Philippines adopted
a resolution recommending to the Court the
removal of the name Marcial A. Edillon, a duly
licensed practicing attorney, from its Roll of
Attorneys for stubborn refusal to pay his
membership dues to the IBP since its
constitution, notwithstanding due notice. Is
Edillon correct in his objection that the Court is
without power to compel him to become a
member of the IBP; hence, making Sec. 1 of Rule
139-A of the Rules of Court unconstitutional as it
infringes his constitutional right of freedom to
associate (and not to associate)?
distribution, except on election day, of election
campaign materials;
distribution, on election day, of election
campaign materials other than a statement of
the bio data of the candidate on not more than
one page of a legal size sheet of paper; or
A: NO. To compel a lawyer to be a member of the
Integrated Bar is not violative of his constitutional
freedom to associate. Integration does not make a
lawyer a member of any group of which he is not
already a member. He became a member of the Bar
when he passed the Bar Examinations. What
Prohibited Acts and Practices relative to the
Elections of IBP Officers
1.
2.
31
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
determine with the approval of the Supreme Court.
A fixed sum equivalent to ten percent (10%) of the
collections from each Chapter shall be set aside as a
Welfare Fund for disabled members of the Chapter
and the compulsory heirs of deceased members
thereof. (Sec. 9, Rule 139-A, Rules of Court, as
amended)
integration does is to provide an official national
organization for the well-defined but unorganized
group of which every lawyer is already a member.
Assuming that the questioned provision does in a
sense compel a lawyer to be a member of the
Integrated Bar, such compulsion is justified as an
exercise of the police power of the State. (In the
Matter of IBP Membership Dues Delinquency of Atty.
Edillon, A.C. No. 1928, 19 Dec. 1980)
NOTE: Membership dues are not prohibited by the
Constitution. The fee is imposed as a regulatory
measure, designed to raise funds for carrying out
the purposes and objectives of the integration. (In
the Matter of IBP Membership dues delinquency of
Atty. Marcial Edillon, A.M. No. 1928, 03 Aug. 1978)
NOTE: A lawyer does not automatically become a
member of the IBP chapter where he resides or
works after becoming a full-fledged member of the
Bar. He has the discretion to choose the IBP Chapter
he wants to join. (Garcia v. De Vera, A.C. 6052, 11 Dec.
2003)
Effect of Non-Payment of Dues
Default in the payment of annual dues for six (6)
months shall warrant suspension of membership in
the Integrated Bar, and default in such payment for
one (1) year shall be a ground for the removal of the
name of the delinquent member from the Roll of
Attorneys (Sec. 10, Rule 139-A, Rules of Court, as
amended) subject to the requirement of due process.
(Funa, 2009)
Unless he otherwise registers his preference for a
particular Chapter, a lawyer shall be considered a
member of the Chapter of the province, city, political
subdivision or area where his office is or, in the
absence thereof, his residence is located. In no case
shall any lawyer be a member of more than one
Chapter. (Sec. 4, Rule 139-A, Rules of Court, as
amended)
Procedure for
Membership
Voluntary
Termination
Q: Atty. Llamas, for a number of years, has not
indicated the proper PTR and IBP O.R. Nos. and
data in his pleadings. He only indicated <IBP
Rizal 259060= but he has been using this for at
least three (3) years. Atty. Llamas averred that
he is only engaged in a <limited= practice of law
and under R.A. No. 7432, as a senior citizen, he is
exempt from payment of income taxes,
including the payment of membership dues. Is
Atty. Llamas correct?
of
A member may terminate his membership by filing
a written notice to that effect with the Secretary of
the Integrated Bar, who shall immediately bring the
matter to the attention of the Supreme Court.
Forthwith he shall cease to be a member and his
name shall be stricken by the Court from the Roll of
Attorneys. (Sec.11, Rule 139-A, Rules of Court, as
amended)
Membership Dues
A: NO. Rule 139-A requires that every member of
the Integrated Bar shall pay annual dues and default
thereof shall warrant the appropriate penalties. It
does not matter whether or not Atty. Llamas is only
engaged in <limited= practice of law. Moreover, the
exemption invoked by Atty. Llamas does not include
exemption from payment of membership or
association dues. (Santos Jr. v. Atty. Llamas, A.C. No.
4749, 20 Jan. 2000)
Every member of the Integrated Bar shall pay such
annual dues as the Board of Governors shall
NOTE: R.A. No. 7432, or <An Act to Maximize the
Contribution of Senior Citizens to Nation Building,
NOTE: Re-instatement may be made by the Court in
accordance with rules and regulations prescribed
by the Board of Governors and approved by the
Court. (Sec. 11, Rule 139-A, Rules of Court, as
amended)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
32
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
No Retirement in the IBP
Grants Benefits, and Special Privileges=, providing
20% discount to Senior Citizens DOES NOT apply to
IBP Dues. (Santos Jr. v. Atty. Llamas, A.C. No. 4749, 20
Jan. 2000)
There is no such thing as retirement in the IBP as
understood in labor law. A lawyer, however, may
terminate his bar membership after filing the
required verified notice of termination with the
Secretary of the Integrated Bar. (In Re: Atty. Jose
Principe, Bar Matter No. 543, 20 Sept. 1990).
Q: Atty. Arevalo sought exemption from
payment of IBP dues for the alleged unpaid
accountability for the years 1977-2005. He
alleged that after being admitted to the
Philippine Bar in 1961, he became part of the
Philippine Civil Service then migrated to, and
worked in the USA from December 1986 until
his retirement in 2003. He maintained that he
cannot be assessed IBP dues for the years that he
was working in the Philippine Civil Service since
the Civil Service law prohibits the practice of
one9s profession while in government service,
and neither can he be assessed for the years
when he was working in the USA. Is Atty. Arevalo
entitled to exemption from payment of his dues
during the time that he was inactive in the
practice of law?
UPHOLDING THE DIGNITY AND INTEGRITY OF
THE PROFESSION
RULE 7.01, CANON 7
A lawyer shall be answerable for knowingly
making a false statement or suppressing a
material fact in connection with his
application for admission to the bar.
The concealment of an attorney in his application to
take the bar exams of the fact that he had been
charged with or indicted for an alleged crime, is
ground for revocation of his license to practice law.
(In re: Victorino Lanuevo, A.M. No. 1162, 29 Aug.
1975)
A: NO. The Integration of the Philippine Bar means
the official unification of the entire lawyer
population. This requires membership and financial
support of every attorney as condition sine qua non
to the practice of law and the retention of his name
in the Roll of Attorneys of the Supreme Court.
Honest Mistake as Excuse in making False
Statement
An honest mistake in making false statement may be
a valid excuse but the burden of proof lies on the one
who alleges it.
Payment of dues is a necessary consequence of
membership in the IBP, wherein no one is exempt.
This means that the compulsory nature of payment
of dues subsists for as long as one9s membership in
the IBP remains regardless of the lack of practice of,
or the type of practice, the member is engaged in.
There is nothing in the law or rules which allow
exemption from payment of membership dues
(even if the lawyer is staying abroad). He could have
informed the Secretary of the Integrated Bar of his
intention to stay abroad before he left. In such case,
his membership in the IBP could have been
terminated and his obligation to pay dues could
have been discontinued. (Letter of Atty. Arevalo, Jr.
requesting Exemption from Payment of Dues, B.M. No.
1370, 09 May 2005)
On the other hand, to be liable for suppressing a fact
or information in the application, the suppression
must be:
1.
2.
deliberately or knowingly made; and,
the fact or information suppressed must be
material. (CPR Annotated, PhilJA)
Discovery of False Statements or Supression of
Material Fact in the Application for Admission to
the Bar
33
1.
If such happens before the candidate could take
the bar examinations, then he will be denied
permission to take the examinations.
2.
If it happens after the candidate had passed the
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Q: Atty. Perenia got married in 2005. Then he
met another woman, Helen. They fell in love and
cohabitated. Atty. Perenia would even bring
Helen along to social functions and introduce
her as his second wife. Rule on the conduct of
Atty. Perenia.
examinations but before having been taken his
oath, then he will not be allowed to take his
oath as a lawyer.
3.
If it happens after the candidate had taken his
oath as a lawyer, then his name will be
stricken from the Roll of Attorneys.
A: It violates Rule 7.03 of the CPR. Shamelessly
flaunting his mistress constitutes an act which
embarrasses and discredits the law profession since
it is his duty and obligation to uphold the dignity
and integrity of the profession. The actuation of Atty.
Perenia is contrary to good morals. While it has
been held in disbarment cases that the mere fact of
sexual relations between two unmarried adults is
not sufficient to warrant administrative sanction for
such illicit behavior, it is not so with respect to
betrayals of the marital vow of fidelity. Even if not all
forms of extra-marital relations are punishable
under penal law, sexual relations outside marriage
is considered disgraceful and immoral as it
manifests deliberate disregard of the sanctity of
marriage and the marital vows protected by the
Constitution and affirmed by our laws. (Vitug v.
Rongcal, A.C. No. 6313, 07 Sept. 2006)
Effect of Concealment of a Crime which does not
involve Moral Turpitude
Concealment will be taken against him. It is not the
commission of the crime that makes him morally
unfit to become a lawyer, but it is the concealment
that he committed. When he made concealment he
perpetrated perjury. (In re: Victorino Lanuevo, A.M.
No. 1162, 29 Aug. 1975)
RULE 7.02, CANON 7
A lawyer shall not support the application for
admission to the bar of any person known by
him to be unqualified in respect to character,
education, or other relevant attribute.
The rationale behind the rule goes beyond the
personal responsibility to be upright and honest. It
further extends to the lawyer9s responsibility to
uphold the integrity and dignity of the profession,
by not blindly issuing certifications in support of
applications for admission to the bar of persons
known to him or her to have questionable character,
inadequate education or other relevant attributes
not consistent with any or all of the requirements
for admission (CPR Annotated, PhilJA).
Q: Atty. Kuripot was one of Town Bank9s valued
clients. In recognition of his loyalty to the bank,
he was issued a gold credit card with a credit
Kuripot exceeded his credit limit, and refused to
pay the monthly charges as they fell due. Aside
from a collection suit, Town Bank also filed a
disbarment case against Atty. Kuripot. In his
comment on the disbarment case, Atty. Kuripot
insisted that he did not violate the CPR since his
obligation to the bank was personal in nature
and had no relation to his being a lawyer. Is Atty.
Kuripot correct? Explain your answer. (2005
BAR)
RULE 7.03, CANON 7
A lawyer shall not engage in conduct that
adversely reflects on his fitness to practice law,
nor shall he, whether in public or private life,
behave in a scandalous manner to the discredit
of the legal profession. (2004 BAR)
A: NO. Atty. Kuripot is not correct. Section 7.03 of
the CPR provides that <a lawyer shall not engage in
conduct that adversely affects his fitness to practice
law, nor shall he, whether in public or private life,
behave in a scandalous manner to the discredit of
the legal profession.=
NOTE: A member of the Bar and officer of the court
is not only required to refrain from adulterous
relationships, or the keeping of mistresses, but must
also so behave himself as to avoid scandalizing the
public by creating the belief that he is flouting those
moral standards. (Zaguirre v. Castillo, A.C. No. 4921,
06 Mar. 2003)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
34
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
A: YES. Good character is a continuing qualification
for lawyers. The Court has the power to impose
disciplinary sanctions to lawyers who commit acts
of misconduct in either a public or private capacity
if the acts show them unworthy to remain officers of
the court.
Q: Should Atty. Kuripot be held administratively
liable for his refusal to settle his credit card bill?
(2005 BAR)
A: He may NOT be held administratively liable. The
Supreme Court has held that it does not have
original jurisdiction over complaints for collection
of debts. The creditor9s course of action is civil, not
administrative, in nature and proper reliefs may be
obtained from the regular courts. (Litigio v. Dicon,
A.M. No. MTJ-93-806, 13 July 1995)
Canon 7, Rule 7.03 of the CPR provides that <A
lawyer shall not engage in conduct that adversely
reflects on his fitness to practice law, nor shall he
whether in public or private life, behave in a
scandalous manner to the discredit of the legal
profession.=
Q: Atty. Capito was supposed to represent
Milagros in a claim for support against her
husband but no legal action was taken. He then
borrowed 4,000 from Milagros. He was also
permitted to stay in the house of Milagros for
two (2) weeks but he prolonged his stay to a
month and reneged on his promise to pay. Atty.
Capito continued to borrow money from her and
By itself, the act of humiliating another in public by
slapping him or her on the face hints of a character
that disregards the human dignity of another. Atty.
Medina9s question to Ricafort confirms such
character and his potential to abuse the profession
as a tool for bullying, harassment, and
discrimination. His act discredits the legal
profession by perpetuating a stereotype that is
unreflective of the nobility of the profession.
(Ricafort v. Medina, A.C. No. 5179, 31 May 2016)
met him to collect the debt, Atty. Capito, in the
presence of several others, told her <Eh kung
sabihin ko na sugar mommy kita=. Rule on the
conduct of Atty. Capito.
The defense of in pari delicto is a sufficient
ground for disbarment.
A: Atty. Capito is guilty of gross discourtesy
amounting to conduct unbecoming of a court
employee. By such violation, he failed to live up to
his oath of office as member of the Integrated Bar of
the Philippines and violated Rules 7.03 and 8.01 of
the CPR. He should not use abusive, offensive,
scandalous, menacing, and improper language. A
lawyer9s every act or word should be marked by
prudence, restraint, courtesy, and dignity. (In re:
Complaints of Mrs. Milagros Lee & Samantha Lee
against Atty. Gil Luisito R. Capito, A.M. No. 2008-19SC, 18 Aug. 2010)
In a disbarment proceeding, it is immaterial that the
complainant was also at fault, in pari delicto,
because this is not a proceeding to grant relief to the
complainant, but one to purge the law profession of
unworthy members, to protect the public and the
courts. Pari delicto is not always a complete defense.
(Mortel v. Aspiras, A.M. No. 145, 28 Dec. 1956)
Q: Ricafort filed a complaint for disbarment
against Atty. Medina. Ricafort alleged that his
tricycle sideswiped Atty. Medina9s car along
Sarvida Street in Surigao City. Atty. Medina then
alighted from his car and confronted Ricafort.
The latter allegedly snapped at him, saying: <Do
you not know me?" and proceeded to slap him,
and then left. Should Atty. Medina be held
administratively liable?
35
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
COURTESY, FAIRNESS, AND CANDOR TOWARDS
PROFESSIONAL COLLEAGUES
fellow lawyer. The Court has constantly reminded
lawyers to use dignified language in their pleadings
despite the adversarial nature of our legal system.
(Barandon v. Ferrer, Sr., A.C. No. 5768, 26 Mar. 2010)
CANON 8
A lawyer shall conduct himself with courtesy,
fairness and candor towards his professional
colleagues, and shall avoid harassing tactics
against opposing counsel.
Q: Atty. Y, in his motion for reconsideration of
the Decision rendered by the NLRC, alleged that
there
was
connivance
of
the
NLRC
Commissioners with Atty. X for monetary
considerations in arriving at the questioned
decision. He insulted the Commissioner for their
ineptness in appreciating the fact as borne by
the evidence presented. Atty. X files an
administrative complaint against Atty. Y for
using abusive language. Atty. Y posits that as a
lawyer for the down-trodden laborers, he is
entitled to express his righteous anger against
the Commissioners for having cheated them;
that his allegations in the motion for
reconsideration are absolutely privileged; and
that proscription against the use of abusive
language does not cover pleadings filed with the
NLRC, as it is not a court, nor are any of its
Commissioners Justices or Judges. Is Atty. Y
administratively liable under the CPR? Explain.
(2010 BAR)
The lawyer9s arguments, whether written or oral,
should be gracious to both the court and opposing
counsel and be of such words as may be properly
addressed by one gentleman to another. (National
Security Co. v. Jarvis, 278 U.S. 610)
A lawyer9s language should be forceful but dignified,
emphatic but respectful as befitting an advocate and
in keeping with the dignity of the legal profession.
The use of unnecessary language is proscribed if we
are to promote high esteem in the courts and trust
in judicial administration. (Lacurom v. Jacoba, A.C.
No. 5921, 10 Mar. 2006)
Q: Atty. Ferrer filed a reply with opposition to
motion to dismiss that contained abusive,
offensive, and improper language which
insinuated that Atty. Barandon presented a
falsified document in court. He also filed a
fabricated charge against Atty. Barandon in
another case for alleged falsification of public
document. Furthermore, at the courtroom
of MTC Daet before the start of hearing,
Atty. Ferrer, evidently drunk, threatened
Atty. Barandon saying, "Laban kung laban,
patayan kung patayan, kasama ang lahat ng
pamilya. Wala na palang magaling na abogado
sa Camarines Norte, ang abogado na rito ay mga
taga-Camarines Sur, umuwi na kayo sa
Camarines Sur, hindi kayo taga-rito." Is he guilty
of violation of the CPR?
A: YES. Atty. Y has violated Canons 8 and 11 of the
CPR; hence, is administratively liable. A lawyer shall
not, in his professional dealings, use language which
is abusive, offensive or otherwise improper. The
argument that the NLRC is not a court, is unavailing.
The lawyer remains a member of the Bar, an <oathbound servant of the law, whose first duty is not to
his client but to the administration of justice and
whose conduct ought to be and must be
scrupulously observant of the law and ethics.=
Moreover, the argument that labor practitioners are
entitled to some latitude of righteous anger is
unavailing. It does not deter the Court from
exercising its supervisory authority over lawyers
who misbehave or fail to live up to that standard
expected of them as members of the Bar. (Johnny Ng
v. Atty. Alar, A.C. No. 7252, 22 Nov. 2006)
A: YES. Canon 8 of the CPR commands all lawyers to
conduct themselves with courtesy, fairness, and
candor towards their fellow lawyers and avoid
harassing tactics against opposing counsel.
Atty. Ferrer9s actions do not measure up to this
Canon. Moreover, Atty. Ferrer could have aired his
charge of falsification in a proper forum and without
using offensive and abusive language against a
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
36
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Instances of Lack of Candor
The following instances indicate lack of candor or
dishonesty:
1.
5.
misquoting the contents of paper, testimony of
a witness, the language or the argument of
opposing counsel, or the language of the
decision or a textbook;
6.
7.
2.
with knowledge of its invalidity, to cite as
authority a decision that has been overruled or
a statute that has been repealed, or in the
argument to assert as a fact that which has not
been proved, or in those jurisdictions where the
side has the opening and closing arguments to
mislead his opponent by concealing or
withholding positions in his opening argument
upon which his side then intends to rely;
3.
offering evidence which he knows the court
should reject; or,
4.
introducing into an argument, addressed to the
court, remarks or statements intended to
influence the bystanders. (Pineda, 2009)
and disbarring lawyers <without due process.=
(Zaldivar v. Gonzales, G.R. Nos. 79690-707, 01
Feb. 1989);
calls an adverse counsel as <bobo= or using
the word <ay que bobo= in reference to the
manner of offering evidence (Castillo v. Padilla
Jr., A.M. No. 2339, 24 Feb. 1984);
calling an adverse counsel as <polpol= (Noble III
v. Atty. Ailes, A.C. No. 10628, 01 July 2015); and,
any other analogous cases.
NOTE: Although the Canon that the Rule
implements pertains to a lawyer9s dealings with his
fellow lawyers, the Rule is generally worded to
apply to anyone in the wider context of a
lawyer9s professional dealings, including his or her
clients and witnesses. (CPR Annotated, PhilJA)
Criticisms
Mere criticism or comment on the correctness or
wrongness, soundness or unsoundness of the
decision of the court in a pending case made in good
faith may be tolerated; but to hurl the false charge
that the Supreme Court has been committing
deliberately so many blunders and injustices would
tend necessarily to undermine the confidence of the
people in the honesty and integrity of its members,
and consequently to lower or degrade the
administration of justice, and it constitutes
contempt. (Bildner v. Ilusorio, G.R. No. 157384, 05
June 2009)
RULE 8.01, CANON 8
A lawyer shall not, in his professional dealings,
use language which is abusive, offensive or
otherwise improper.
Instances of Disrespectful Language
Criticism vs. Insult
The following acts are deemed to be disrespectful
language:
CRITICISM
INSULT
As to Extent And Limits
1.
2.
3.
4.
categorizes the Supreme Court decision as false,
erroneous and illegal (Surigao Mineral
Reservation Board v. Cloribel, G.R. No. L-27072,
09 Jan. 1970);
describes a judge9s attitude as <unjust, hostile,
vindictive and dangerous.= (Cornejo v. Judge Tan,
G.R. No. L-2217, 23 Mar. 1950);
states that <justice is not only blind, but also
deaf and dumb.= (In Re: Almacen, G.R. No. L27654, 18 Feb. 1970);
attributes to the Supreme Court acts of
dismissing judges <without rhyme and reason=
Confined to the
facts and is based
on the decisions of
the court.
37
Pass beyond that line and
charge that judicial conduct
was
influenced
by
improper, corrupt, or
selfish motives, or that
such conduct was affected
by political prejudice or
interest, the tendency is to
create distrust and destroy
the confidence of the
people in their courts.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
professional colleagues, and shall avoid harassing
tactics against opposing counsel." As a member of
the Bar, he shall not, in his professional dealings, use
language which is abusive, offensive or otherwise
improper. He shall also abstain from scandalous,
offensive or menacing language before the courts.
Thus, Tiongco is warned accordingly. (Tiongco
Yared v. Ilarde, G.R. No. 114732, 01 Aug. 2000)
As to the Effects
A criticism after a
case has been
disposed of can no
longer influence
the court, and on
that ground, it
does not constitute
contempt. (Bildner
v. Ilusorio, G.R. No.
157384, 05 June
2009)
An insult hurled to the
court, even after a case is
decided, can under no
circumstance be justified.
(Bildner v. Ilusorio, G.R. No.
157384, 05 June 2009)
NOTE: Lack of want of intention is no excuse for the
disrespectful language employed. Counsel cannot
escape responsibility by claiming that his words did
not mean what any reader must have understood
them as meaning. (Rheem of the Philippines v. Ferrer,
G.R. No. L-22979, 26 Jan. 1967)
Q: A complaint was filed against Atty. Zaide for
use of intemperate, offensive and abusive
language. Atty. Zaide referred to the
complainant as a <notorious extortionist= and to
his opposing counsel as someone suffering from
"serious mental incompetence" in one of his
pleadings. Did the act of Atty. Zaide violate the
CPR?
Q: In 2009, Atty. Guevarra wrote a series of posts
on his Facebook account, referring to Belo as a
quack doctor, that she bribes lawyers in the
Department of Justice, and that plastic surgery
procedures were done by doctors without
license and training, alleging such practice
nearly killed his client Norcio. Guevarra also
threatened Belo that she will be convicted for
criminal negligence and estafa for Norcio9s
operation. Belo asserted that the said posts,
written in vulgar and obscene language, were
designed to inspire public hatred, destroy her
reputation, close Belo Medical Group, Inc.
(BMGI) and all its clinics, and extort the amount
A: YES. More specifically, he violated Canon 8.01 of
the CPR. The act shows Atty. Zaide's lack of restraint
in the use and choice of his words -a conduct
unbecoming of an officer of the court. While a
lawyer is entitled to present his case with vigor and
courage, such enthusiasm does not justify the use of
offensive and abusive language. Language abounds
with countless possibilities for one to be emphatic
but respectful, convincing but not derogatory, and
illuminating but not offensive. (Gimeno v. Zaide, A.C.
No. 10303, 22 Apr. 2015)
demand letter. Atty. Guevarra, however, claimed
that the complaint was filed in violation of his
constitutionally-guaranteed right to privacy and
that he wrote the posts in the exercise of his
freedom of speech. Should Atty. Guevarra be
sanctioned for his acts?
Q: In the pleadings and motions filed by Atty.
Tiongco, he described Atty. Deguma as a love
crazed Apache, a horned spinster, man-hungry
virago and female bull of an Amazon who would
stop at nothing to injure defendant if only to
please and attract her client. Tiongco claims that
Atty. Deguma, as a lawyer in the PAO, is using the
PAO as a marriage bureau for her benefit. Is the
language employed by Tiongco improper and
unethical?
A: YES. A punctilious scrutiny of the Facebook
remarks complained of disclosed that they were
ostensibly made with malice tending to insult and
tarnish the reputation of complainant and BMGI. By
posting the subject remarks on Facebook directed at
complainant and BMGI, respondent disregarded the
fact that, as a lawyer, he is bound to observe proper
decorum at all times, be it in his public or private life.
He overlooked the fact that he must behave in a
manner befitting an officer of the court, that is,
respectful, firm, and decent. Moreover, the
A: YES. Atty. Tiongco has achieved a remarkable feat
of character assassination, in violation of Canon 8 of
the CPR, to wit, <a lawyer shall conduct himself with
courtesy, fairness, and candor toward his
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
38
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
RULE 8.02, CANON 8
A lawyer shall not, directly or indirectly,
encroach upon the professional employment of
another lawyer; however, it is the right of any
lawyer, without fear or favor, to give proper
advice and assistance to those seeking relief
against unfaithful or neglectful counsel (1995,
1997, 2001, 2005, 2006 BAR)
constitutional right of freedom of expression may
not be availed of to broadcast lies or half-truths,
insult others, destroy their name or reputation or
bring them into disrepute. (Belo-Henares v. Atty.
Guevarra, A.C. No. 11394, 01 Dec. 2016)
Q: Atty. A filed a Motion for Inhibition against
Judge B for the alleged abusive language of the
latter against the former inside the courtroom
and for corruption. In his Motion, Atty. A
included the words, <I never encouraged a Judge
who appears to be as corrupt as you are.= and
<&you are a disgrace to the Judicial system.=
Furthermore, a news article detailing the events
that precipitated the bribery charge against
Judge B was published with the participation of
Atty. A. Did Atty. A violate the Code of
Professional Responsibility and his oath to the
Bar?
A person without a retained lawyer is a legitimate
prospective client for any lawyer whom he
approaches for legal services. But, as soon as he had
retained one and had not dismissed the retained
counsel, efforts on the part of another lawyer to take
him as client constitutes an act of encroaching upon
the employment of another lawyer.
A: YES. It is a sworn duty of a lawyer to maintain
towards the Court a respectful attitude, <not for the
sake of the temporary incumbent of the judicial
office, but for the maintenance of its supreme
importance.= It is therefore incumbent upon Atty. A
to observe and maintain respect towards the
judicial office. However, in this case, he was the first
to cast doubt on the impartiality and independence
of the Court.
Any act which is aimed to ease out a previous lawyer
with the intention to grab the case is highly
unethical and should be avoided. (Antiquiera, 1992)
A lawyer should not in any way communicate upon
the subject of controversy with a party represented
by counsel, much less should he undertake to
negotiate or compromise the matter with him but
should deal with his counsel.
Exceptions
Additionally, a lawyer is obliged to abstain from
scandalous, offensive or menacing language before
the courts. Even granting that the bribery charges
were true, a lawyer is obliged to abstain mentioning
derogatory words to anyone. Lastly, Atty. A had no
reason to divulge his grievances before the public.
His action was highly irresponsible and is contrary
to his duty to submit grievances against judges to
the proper authorities only. (Judge Gregorio D.
Pantanosas, Jr. v. Atty. Elly L. Pamatong, A.C. No. 7330,
14 June 2016, as penned by J. Caguioa)
1.
A lawyer may properly interview any witness
or prospective witness for the opposing side in
any civil or criminal action without the consent
of opposing counsel or party (Canon 39 of
Canons of Professional Ethics); and,
2.
Any person who seeks relief against an
unfaithful or neglectful lawyer may approach
another lawyer for proper advice and
assistance. (Rule 8.02, Canon 8, Code of
Professional Responsibility)
Q: Myrna, in a case for custody of children
against her husband, sought advice from Atty.
Mendoza whom she met at a party. She informed
Atty. Mendoza that her lawyer, Atty. Khan, has
been charging her exorbitant appearance fees
when all he does is move for postponements
which have unduly delayed the proceedings;
and that recently, she learned that Atty. Khan
39
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
approached her husband asking for a huge
amount in exchange for the withdrawal of her
Motion for Issuance of Hold Departure Order so
that he and his children can leave for abroad. Is
it ethical for Atty. Mendoza to advise Myrna to
terminate the services of Atty. Khan and hire
him instead for a reasonable attorney9s fees?
(2006 BAR)
compromise the matter with him but should deal
only with his counsel.=
Q: Atty. Manuel is counsel for the defendant in a
civil case pending before the RTC. After
receiving the plaintiff's Pre-Trial Brief
containing the list of witnesses, Atty. Manuel
interviewed some of the witnesses for the
plaintiff without the consent of plaintiff's
counsel. Did Atty. Manuel violate any ethical
standard for lawyers? Explain. (2009 BAR)
A: NO. Such advice would be unethical. A lawyer
shall conduct himself with courtesy, fairness and
candor towards his professional colleagues (Canon
8, CPR). Specifically, he should not directly or
indirectly encroach upon the professional
employment of another lawyer. (Canon 8, CPR)
A: NO. Canon 39 of the Canons of Professional Ethics
provides that <a lawyer may interview any witness
or prospective witness from the opposing side in
any civil or criminal action without the consent of
opposing counsel or party.= This is because a
witness is supposed to be a neutral person whose
role is to tell the truth when called upon to testify.
Q: What should Atty. Mendoza do about the
information relayed to him by Myrna that Atty.
Khan approached her husband with an indecent
proposal? (2006 BAR)
Q: Will your answer be the same if it was the
plaintiff who was interviewed by Atty. Manuel
without the consent of plaintiff's counsel?
Explain. (2009 BAR)
A: He can advise her to terminate the services of
Atty. Khan and/or file an administrative case
against Atty. Khan. It is the right of any lawyer,
without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful
or neglectful counsel. (Rule 8.02, CPR)
A: NO. Canon 9 of the Canons of Professional Ethics
provides that <a lawyer should not in any way
communicate upon a subject of controversy with a
party represented by counsel, much less should he
undertake to negotiate or compromise the matter
with him, but should deal only with his counsel.= If
he communicates with the adverse party directly, he
will be encroaching into the employment of the
adverse party's lawyer.
Q: You are the counsel of K in his action for
specific performance against DEV, Inc., a
subdivision developer which is represented by
Atty. L. Your client believes that the president of
DEV Inc., would be willing to consider an
amicable settlement and your client urges you
to discuss the matter with DEV Inc., without the
presence of Atty. L whom he considers to be an
impediment to an early compromise. Would it
be alright for you to negotiate the terms of the
compromise as so suggested above by your
client? (1997 BAR)
A: NO. Rule 8.02, Canon 8 of the CPR provides that
<a lawyer shall not, directly or indirectly, encroach
upon the professional employment of another
lawyer.= Canon 9 of the Code of Professional Ethics
is more particular in stating that <A lawyer should
not in any way communicate upon the subject of the
controversy with a party represented by counsel,
much less should he undertake to negotiate or
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
40
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
NO ASSISTANCE IN UNAUTHORIZED PRACTICE
OF LAW
clerks of the MTCs, to administer oaths on matter
involving official business. As Clerk of Court of
MCTC, Tupas has the authority to administer oath of
affidavits of parties and witnesses which are to be
filed in court. (Sanchez v. Tupas, A.M. OCA IPI No. 031687-P, 01 Mar. 2004)
CANON 9
A lawyer shall not, directly or indirectly, assist
in the unauthorized practice of law.
Unauthorized Practice of Law
Q: The Supreme Court suspended indefinitely
Atty. Fernandez from the practice of law for
gross immorality. He asked the MCTC Judge of
his town if he can be appointed counsel de officio
for Tony, a childhood friend who is accused of
theft. The judge refused because Atty.
Fernandez9s name appears in the Supreme
Court9s list of suspended lawyers. Atty.
Fernandez then inquired if he can appear as a
friend for Tony to defend him. Xxx Supposing
Tony is a defendant in a civil case for a collection
of sum of money before the same court, can Atty.
Fernandez appear for him to conduct his
litigation? (2006 BAR)
Unauthorized practice of law is committed when a
person, not a lawyer, performs acts which are
exclusive to members of the bar. (Pineda, 2009)
REASON: To protect the public, the court, the client,
and the bar from the incompetence or dishonesty of
those unlicensed to practice law and not subject to
the disciplinary control of the court. (Cambaliza v.
Cristal-Tenorio, A.C. No. 6290, 14 July 2004)
There is no violation of this canon if a lawyer
employs a paralegal graduate to assist him in the
practice of law since the job of a paralegal is limited
to drafting of documents, case management, etc.
(Antiquiera, 1992)
A: NO. Even if Tony is a defendant in a civil case,
Atty. Fernandez cannot be allowed to appear for
him to conduct his litigation; otherwise, the judge
will be violating Canon 9 of the CPR which provides
that a <lawyer shall not, directly or indirectly, assist
in the unauthorized practice of law.=
Q: Will a lawyer violate the CPR if he forms a
partnership with professionals of other
disciplines like doctors, engineers, architects or
accountants? (2014 BAR)
A: YES. The CPR prohibits unauthorized practice of
law so that lawyers cannot directly or indirectly
assist said practice or delegate its practice to one
who is not qualified to do so. In partnership, the act
of a partner is the act of the partnership; hence, a
non-lawyer cannot perform an act that has a legal
effect and in the name of the partnership.
RULE 9.01, CANON 9
A lawyer shall not delegate to any unqualified
person the performance of any task which by
law may only be performed by a member of the
bar in good standing.
The qualifications to be a lawyer are personal and
the Bar is an exclusive group of professionals who
possess the requisite qualifications and for whom
defined functions are reserved. To delegate the
functions would violate the rationale behind
reserving defined functions exclusively for those
who are admitted to the bar. (Ulep v. The Legal Clinic,
Inc., B.M. No. 553, 17 June 1993)
Q: Sanchez alleged that the complaint against
him and the supporting affidavits were
subscribed and sworn to before Tupas, the Clerk
of Court, who is not a member of the IBP and
therefore engaged in unauthorized practice of
law. Is Tupas as Clerk of Court authorized to
administer oath?
Although the authority of a lawyer to represent a
client cannot be delegated to an unqualified person,
it does not follow however that the retained lawyer
is automatically authorized to make such delegation
to a qualified person because a client-lawyer
A: YES. The term <clerk of courts= in Sec. 41 of the
Administrative Code as amended is used as a
general term. The intention of the law is to authorize
all clerks of court regardless of whether they are
41
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
RULE 9.02, CANON 9
A lawyer shall not divide or stipulate to divide
a fee for legal services with persons not
licensed to practice law.
relationship is personal. (CPR Annotated, PhilJA)
Q: Lorenzo is a lawyer but was suspended from
the practice of law due to some unethical acts.
He worked for a law firm owned by one of his
friends. Since he has so many cases to handle,
Atty. Berenguer assigned a case to Lorenzo,
believing he can handle an easy case. Did Atty.
Berenguer violate any rule?
The interest promoted by the prohibition is that the
independence of the professional judgment of a
lawyer, which the client is paying for, could be at
risk if a non-lawyer has direct rights to share in the
legal fees resulting from the exercise of such
professional judgment. (CPR Annotated, PhilJA)
A: YES. He delegated the handling of a case to a
person suspended from the practice of law. Under
Rule 9.01 of CPR, a lawyer shall not delegate to any
unqualified person the performance of any task
which by law may only be performed by a member
of the bar in good standing. Therefore, Lorenzo shall
not be allowed to handle a case.
Exceptions to Rule 9.02
1.
Q: Atty. Monica Santos-Cruz registered the firm
name "Santos-Cruz Law Office" with the DTI as a
single proprietorship. In her stationery, she
printed the names of her husband and a friend
who are both non-lawyers as her senior
partners in light of their investments in the firm.
She allowed her husband to give out calling
cards bearing his name as senior partner of the
firm and to appear in courts to move for
postponements, Did Atty. Santos-Cruz violate
the CPR? (2010 BAR)
NOTE: This exception is in the nature of a
bequest. It is still, in substance, payment to the
deceased lawyer. His estate and/or assignee
could not claim entitlement to the money in
their own right but only by representation. (CPR
Annotated, PhilJA)
2.
A: YES. She violated Rule 9.01, Canon 9 of the CPR.
By allowing her husband to appear in courts to
move for the postponements of the cases of the firm,
she delegated her duty to appear, which a member
of the bar can only perform, to an unqualified
person.
Where a lawyer undertakes to complete
unfinished legal business of a deceased lawyer
(Rule 9.02, third par., Canon 9, CPR); or,
NOTE: The estate or the heir cannot be made a
member of the partnership with the surviving
partners. The legal fees in this case, no longer
represent past compensation. The one who
gets paid is also a lawyer.
The lawyer9s duty to prevent, or at the very least not
to assist in, the unauthorized practice of law is
founded on public interest and policy. Public policy
requires that the practice of law be limited to those
individuals found duly qualified in education and
character.
3.
Where a lawyer or law firm includes a nonlawyer employee in a retirement plan, even if
the plan is based in whole or in part, on a profitsharing agreement. (Rule 9.02, fourth par.,
Canon 9, CPR)
NOTE: This is not a division of legal fees but a
pension representing deferred wages for the
employees9 past services. This exception is an
implicit recognition of the incontestable fact
that lawyers need to, and in fact, depend on
The permissive right conferred on the lawyer is an
individual and limited privilege subject to
withdrawal if he fails to maintain proper standards
of moral and professional conduct. (Cambaliza v.
Cristal-Tenorio, A.C. No. 6290, 14 July 2004)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Where there is a pre-existing agreement with a
partner or associate that, upon the latter9s
death, money shall be paid over a reasonable
period of time to his estate to persons specified
in the agreement (Rule 9.02, second par., Canon
9, CPR);
`
42
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
non-lawyers for the administrative support
functions necessary to allow lawyers to
discharge their legal functions more efficiently.
(CPR Annotated, PhilJA)
Q: Atty. A and B entered into an agreement to
form a law office wherein B would solicit clients
and they would divide among themselves the
attorney9s fees. Pursuant to this, B filed a
complaint of disbarment against Atty. A for
unprofessional and immoral conduct. Will the
complaint prosper?
A: YES. Rule 9.02 of the Code of Professional
Responsibility prohibits not only the actual division
of attorney9s fees by a lawyer with a non-lawyer but
also the mere stipulation of such an agreement. The
mere execution of the agreement is in itself a
violation of Rule 9.02 of the CPR. (Marilyn Pabalan v.
Atty. Eliseo Magno C. Salva, A.C. No. 9298, 29 July
2019, as penned by J. Caguioa)
Q: You had just taken your oath as a lawyer. The
secretary to the president of a big university
offered to get you as the official notary public of
the school. She explained that a lot of students
lose their identification cards and are required
to secure an affidavit of loss before they can be
issued a new one. She claimed that this would be
lucrative for you, as more than 30 students lose
their identification cards every month. However,
the secretary wants you to give her one-half of
your earning therefrom. Will you agree to the
arrangement? Explain. (2005 BAR)
A: NO. I will not agree. Rule 9.02 of the CPR provides
that <a lawyer shall not divide or stipulate to divide
a fee for legal service with persons not licensed to
practice law=. The secretary is not licensed to
practice law. He is not entitled to a share of the fees
for notarizing affidavits, which is a legal service.
43
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
his right to custody of the children on the basis
of the alleged CA Resolution. His wife, however,
obtained a certification from the CA stating that
no such resolution had been issued. May Atty.
Florido be held administratively liable for his
reliance on and attempt to enforce a spurious
Resolution of the CA?
C. TO THE COURTS
(CANONS 10-13)
CANDOR, FAIRNESS & GOOD FAITH TO THE
COURTS
A: YES. Atty. Florido9s actions erode the public
perception of the legal profession. Candor and
fairness are demanded of every lawyer. The burden
cast on the judiciary would be intolerable if it could
not take at face value what is asserted by counsel.
The time that will have to be devoted just to the task
of verification of allegations submitted could easily
be imagined. (Hueysuwan-Florido v. Atty. Florido, A.C.
No. 5624, 20 Jan. 2004)
CANON 10
A lawyer owes candor, fairness and good faith
to the court.
The burden cast on the judiciary would be
intolerable if it could not take at face value what is
asserted by counsel. (Muñoz v. People, G.R. No. L33672, 28 Sept. 1973)
As officers of the court, lawyers have the primary
obligation towards the administration of justice. To
mislead the court is contumacious and clearly a
ground for disciplinary action. (Antiquiera, 1992)
RULE 10.01, CANON 10
A lawyer shall not do any falsehood, nor
consent to the doing of any in court; nor shall
he mislead, or allow the court to be misled by
any artifice.
Requirements of Candor
1.
A lawyer shall not suppress material and vital
facts which bear on the merit or lack of merit of
a complaint or petition.
2.
A lawyer shall volunteer to the court any
development of the case which has rendered
the issue raised moot and academic.
3.
Disclosure to the court of any decision adverse
to his position of which opposing counsel is
apparently ignorant and which court should
consider in deciding a case.
4.
A lawyer must be a disciple of truth. He should bear
in mind that as an officer of the court his high
vocation is to correctly inform the court upon the
law and the facts of the case and to aid it in doing
justice and arriving at a correct conclusion. The
courts on the other hand are entitled to expect only
complete honesty from lawyers appearing and
pleading before them. While a lawyer has the
solemn duty to defend his client9s cause, his conduct
must never be at the expense of truth. (Young v.
Batuegas, A.C. No. 5379, 09 May 2003)
NOTE: A lawyer owes fidelity to the cause of his
client but not at the expense of truth and the
administration of justice. (Garcia v. Francisco, A.C.
No. 3923, 30 Mar. 1993)
He shall not represent himself as a lawyer for a
client, appear in court and present pleadings in
the latter9s behalf only to claim later that he was
not authorized to do so.
Presenting false evidence is not justifiable. It is a
clear violation of Rule 10.01, Canon 10 of the CPR.
Aside from violations of the CPR, the lawyer is also
guilty of a crime under Art. 184, Revised Penal Code,
which states:
Q: Atty. Florido demanded from his wife that the
custody of their children be surrendered to him.
He showed her a photocopy of an alleged
Resolution issued by the CA supposedly granting
his motion for temporary child custody. His wife
refused. Atty. Florido filed a verified petition for
the issuance of a writ of habeas corpus asserting
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
<Any person who shall knowingly offer in
evidence a false witness or testimony in any
`
44
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
suits (Retuya v. Gorduiz, A.C. No. 1388, 28 Mar.
1980); and,
judicial or official proceeding, shall be punished
as guilty of false testimony and shall suffer the
respective penalties provided in this section.=
10. A lawyer making untruthful and false
statements before the court. (Molina v. Magat,
A.C. No. 1900, 13 June 2012)
Examples of Falsehood
1.
Lawyers falsely stating in a deed of sale that
property is free from all liens and
encumbrances when it is not (Sevilla v. Zoleta,
A.C. No. 31, 28 Mar. 1955);
2.
Lawyers making it appear that a person, long
dead, executed a deed of sale in his favor
(Monterey v. Arayata, Per. Rec. Nos 3527, 3408,
23 Aug. 1935);
3.
A lawyer encashing a check payable to a
deceased cousin by signing the latter9s name
on the check (In re: Samaniego, A.C. No. 74, 20
Nov. 1959);
4.
A lawyer falsifying a power of attorney and
using it in collecting the money due to the
principal and appropriating the money for his
own benefit (In re: Rusiana, A.C. No. 270, 29
Mar. 1974);
5.
A lawyer alleging in one pleading that his
clients were merely lessees of the property
involved, and in a later pleading claiming that
the same clients were the owners of the same
property (Chavez v. Viola, A.C. No. 2152, 19 Apr.
1991);
6.
A lawyer uttering falsehoods in a Motion to
Dismiss (Martin v. Moreno, A.C. No. 1432, 21
May 1984);
7.
A lawyer denying having received the notice to
file brief which is belied by the return card
(Ragasajo v. IAC, G.R. No. L-69129, 31 Aug.
1987);
8.
A lawyer presenting documents in court which
he knows to be falsified (Berenguer v.
Carranza, A.C. No. 716, 30 Jan. 1969; Umaguing
v. Atty. De Vera, A.C. No. 10451, 04 Feb. 2015);
9.
A lawyer filing false charges or groundless
Q: Dr. Maligaya, a doctor and retired colonel of
the Air Force, filed an action for damages against
several military officers for whom Atty.
Doronilla stood as a counsel. During the hearing,
Atty. Doronilla alleged that he and Dr. Maligaya
had an agreement that if the opposing party
withdraws the case against him, Dr. Maligaya
will also withdraw all the cases. However, Dr.
Maligaya swore that he never entered into any
such agreement. Atty. Doronilla then admitted
that there was no such agreement. He pointed
out that his main concern was to settle the case
amicably. Dr. Maligaya filed a case against Atty.
Doronilla charging him with unethical conduct
for having uttered falsehood in court. Is Atty.
Doronilla guilty as charged?
A: YES. Atty. Doronilla violated Rule 10.01, Canon
10 of the CPR. Not only that, he also violated the
lawyer9s oath to do no falsehood, nor consent to the
doing of any in court. His act infringed on every
lawyer9s duty to <never seek to mislead the judge or
any officer by an artifice or false statement of fact or
law.= (Maligaya v. Doronilla, A.C. No. 6198, 15 Sept.
2006)
Q: De Jesus alleged that Atty. Sanchez-Malit
drafted and notarized a Real Estate Mortgage of
a public market stall that falsely named the
former as its absolute and registered owner
despite the latter being the consultant of the
local government unit, and was therefore aware
that the market stall was government-owned.
Prior thereto, Atty. Sanchez-Malit also notarized
two contracts that caused De Jesus legal and
financial problems. One contract was a lease
agreement that was notarized without the
signature of the lessees. The other contract was
a sale agreement which Atty. Sanchez-Malit also
drafted and notarized, but did not advise De
Jesus that the property was still covered by the
period within which it could not be alienated.
45
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Did Atty. Sanchez-Malit violate Rule 10.01 of the
CPR?
13 Apr. 2007)
Instances when lawyers can be disciplined
based on the pleadings they filed
A: YES. In this case, respondent fully knew that
complainant was not the owner of the mortgaged
market stall. That complainant comprehended the
provisions of the real estate mortgage contract does
not make respondent any less guilty. If at all, it only
heightens the latter9s liability for tolerating a
wrongful act. A notary public should not notarize a
document unless the persons who signed it are the
same ones who executed it and who personally
appeared before the said notary public to attest to
the contents and truth of what are stated therein.
1.
2.
3.
They file an unsigned pleading in violation of
the rules.
They allege scandalous matters therein; or
They fail to promptly report to the court a
change of his address. (Sec. 3, Rule 7, Rules of
Court, as amended)
NOTE: A lawyer should not abuse his right of
recourse to the courts for the purpose of arguing a
cause that had been repeatedly rebuffed. Neither
should he use his knowledge of law as an instrument
to harass a party nor to misuse judicial processes, as
the same constitutes serious transgression of the
CPR. For while he owes fidelity to the cause of his
client, it should not be at the expense of truth and
the administration of justice. (Garcia v. Francisco,
A.C. No. 3923, 30 Mar. 1993)
Thus, in acknowledging that the parties personally
came and appeared before her, respondent also
violated Rule 10.01 of the CPR and her oath as a
lawyer that she shall do no falsehood. (De Jesus v.
Sanchez-Malit, A.C. No. 6470, 08 July 2014)
RULE 10.02, CANON 10
A lawyer shall not knowingly misquote or
misrepresent the contents of a paper, the
language or the argument of opposing
counsel, or the text of a decision or authority,
or knowingly cite as law a provision already
rendered
inoperative
by
repeal
or
amendment, or assert as a fact that which has
not been proved.
RULE 10.04, CANON 10
A lawyer shall, when filing a pleading, furnish
the opposing party with a copy thereof,
together with all the documents annexed
thereto. Unless a motion is ex parte, he should
set it for hearing, with sufficient notice to the
other party.
If not faithfully and exactly quoted, the decisions
and rulings of the court may lose their proper and
correct meaning, to the detriment of other courts,
lawyers, and the public who may thereby be misled.
RULE 10.03, CANON 10
A lawyer shall observe the rules of procedure
and shall not misuse them to defeat the ends
of justice.
Filing multiple actions constitutes an abuse of the
Court9s processes. Those who filed multiple or
repetitive actions subject themselves to disciplinary
action for incompetence or willful violation of their
duties as attorneys to act with all good fidelity to the
courts, and to maintain only such actions that
appear to be just and consistent with truth and
honor. (Olivares etc. v. Atty. Villalon Jr., A.C. No. 6323,
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
46
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
petition is called for under the Code of Judicial
Conduct which prohibits justices or judges from
participating in any partisan political activity.
According to him, the justices violated the said
rule by attending the 'EDSA 2 Rally' and by
authorizing the assumption of Vice- President
Macapagal-Arroyo to the Presidency. The
subsequent decision of the Court in Estrada v.
Arroyo (G.R. Nos. 146710-15, 02 Mar. 2001 and
G.R. Nos. 146710-15, 03 Apr. 2001) is a patent
mockery of justice and due process. He went on
to state that the act of the public officer, if lawful,
is the act of the public office. But the act of the
public officer, if unlawful, is not the act of the
public office. Consequently, the act of the
justices, if lawful, is the act of the Supreme Court.
But the act of the justices, if unlawful, is not the
act of the Supreme Court.
RESPECT FOR COURTS AND JUDICIAL OFFICERS
CANON 11
A lawyer shall observe and maintain the
respect due to the courts and to judicial officers
and should insist on similar conduct by others.
Disrespect towards the court would necessarily
undermine the confidence of the people in the
honesty and integrity of the members of the court,
and consequently, to lower or degrade the
administration of justice by the court. (In re Sotto, 82
Phil. 595, 21 Jan. 1949)
All lawyers are expected to recognize the authority
of the Supreme Court and obey its lawful processes
and orders. Despite errors which one may impute
on the orders of the Court, these must be respected,
especially by the bar or the lawyers who are
themselves officers of the courts. (Yap-Paras v. Atty.
Paras, A.C. No. 4947, 07 June 2007)
Further, he asserted that the decision in Estrada
v. Arroyo being patently unlawful in view of the
Code of Judicial Conduct, is not the act of the
Supreme Court but is merely the wrong of those
individual Justices who falsely spoke and acted
in the name of the Supreme Court. Are Atty.
Paguia9s comments within the bounds of
<fair and well-founded criticisms= regarding
decisions of the Supreme Court?
NOTE: The fact that a person is a lawyer does not
deprive him of the right, as enjoyed by every citizen,
to comment on and criticize the actuations of a
judge but it is the cardinal condition of all criticisms
that it shall be bona fide, and shall not spill over the
walls of decency and propriety. (Zaldivar v. Gonzales,
G.R. Nos. 79690-707, 01 Feb. 1989)
A: NO. Criticism or comment made in good faith on
the correctness or wrongness, soundness or
unsoundness, of a decision of the Court would be
welcome for, if well-founded, and such reaction can
enlighten the court and contribute to the correction
of an error if committed. (In re: Sotto, 82 Phil. 595)
What a lawyer can ordinarily say against a
concluded litigation and the manner the judge
handed the decision therein may not generally be
said to a pending action. The court, in a pending
litigation, must be shielded from embarrassment
and influence in performing the important duty of
deciding it (In re Almacen, G.R. No. L-27654, 18 Feb.
1970).
Attorney Paguia has not limited his discussions to
the merits of his client's case within the judicial
forum; indeed, he has repeated his assault on the
Court in both broadcast and print media.
On the other hand, once litigation is concluded, the
judge who decided on it is subject to the same
criticism as any other public official because then
his ruling becomes public property and is thrown
open to public consumption. (Strebel v. Figueras, G.R.
No. L-4722, 29 Dec. 1954; In re Almacen, G.R. No. L27654, 18 Feb. 1970)
The Supreme Court does not claim infallibility; it
will not denounce criticism made by anyone against
the Court for, if well-founded, can truly have
constructive effects in the task of the Court, but it
will not countenance any wrongdoing nor allow the
erosion of our people9s faith in the judicial system,
let alone, by those who have been privileged by it to
practice law in the Philippines.
Q: Atty. Paguia asserts that the inhibition of the
members of the Supreme Court from hearing the
47
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
13 and Rules 1.02 and 11.05 of the CPR. (Re: Letter
of the UP Law Faculty entitled <Restoring Integrity: A
Statement by the Faculty of the University of the
Philippines College of Law on the Allegations of
Plagiarism and Misrepresentation in the Supreme
Court=, A.M. No. 10-10-4-SC, 19 Oct. 2010)
Canon 11 of the CPR mandates that the lawyer
should observe and maintain the respect due to the
courts and judicial officers and, indeed, should insist
on similar conduct by others. In liberally imputing
sinister and devious motives and questioning the
impartiality, integrity, and authority of the
members of the Court, Atty. Paguia has only
succeeded in seeking to impede, obstruct and
pervert the dispensation of justice. (Estrada v.
Sandiganbayan, G.R. Nos. 159486-88, 25 Nov. 2003)
Q: The Court En Banc issued a Resolution
directing respondent Atty. De Vera to explain
why he should not be cited for indirect contempt
of court for uttering allegedly contemptuous
statements in relation to the then pending case
involving the constitutionality of the Plunder
Law. Atty. De Vera admitted the report in the
November 6, 2002 issue of the Philippine Daily
Inquirer where he <suggested that the Court
must take steps to dispel once and for all these
ugly rumors and reports= that <the Court would
vote in favor of or against the validity of the
Plunder Law to protect the credibility of the
Court=. Is the statement of Atty. De Vera
disrespectful to the courts?
Q: Members of the faculty of UP College of Law
published a statement on the allegations of
plagiarism and misrepresentation relative to
the Court9s decision in Vinuya v. Executive
Secretary. The authors directly accused the
Court of perpetrating extraordinary injustice by
dismissing the petition of the comfort women in
said case. The insult to the members of the Court
was aggravated by imputations of deliberately
delaying the resolution of the case, its dismissal
on the basis of <polluted sources,= the Court9s
alleged indifference to the cause of petitioners
and the supposed alarming lack of concern of
the members of the Court for even the most
basic values of decency and respect. Was the
criticism proper?
A: YES. Indeed, freedom of speech includes the right
to know and discuss judicial proceedings, but such
right does not cover statements aimed at
undermining the Court9s integrity and authority,
and interfering with the administration of justice.
Freedom of speech is not absolute, and must
occasionally be balanced with the requirements of
equally important public interests, such as the
maintenance of the integrity of the courts and
orderly functioning of the administration of justice.
A: NO. While most agree that the right to criticize
the judiciary is critical to maintaining a free and
democratic society, there is also a general
consensus that the healthy criticism only goes so far.
Many types of criticism leveled at the judiciary cross
the line to become harmful and irresponsible
attacks. These potentially devastating attacks and
unjust criticism can threaten the independence of
the judiciary. The court must <insist on being
permitted to proceed to the disposition of its
business in an orderly manner, free from outside
interference obstructive of its functions and tending
to embarrass the administration of justice.=
Thus, the making of contemptuous statements
directed against the Court is not an exercise of free
speech; rather, it is an abuse of such right.
Unwarranted attacks on the dignity of the courts
cannot be disguised as free speech, for the exercise
of said right cannot be used to impair the
independence and efficiency of courts or public
respect therefore and confidence therein. (In re:
Published Alleged Threats by Atty. Leonard de Vera,
A.M. No. 01-12-03-SC, 29 July 2002)
This runs contrary to their obligation as law
professors and officers of the Court to be the first to
uphold the dignity and authority of this Court, to
which they owe fidelity according to the oath they
have taken as attorneys, and not to promote distrust
in the administration of justice. Their actions
likewise constitute violations of Canons 10, 11, and
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Q: Jimmy and his siblings filed a case for
disciplinary action against Atty. Cefra for
notarizing a falsified Deed of Absolute Sale over
a parcel of land, where their signatures were
`
48
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
contemptuous for defying the September 3,
2008 Decision of the Supreme Court?
forged. As early as September 19, 2001, the
Supreme Court already required Atty. Cefra to
comment on the Complaint lodged against him,
but he did not comply until he was arrested by
the NBI. The disobedience to this court9s
directive issued in 2001 was not explained even
as he eventually filed his Comment on January
15, 2008, more than seven years after this
court9s order. Is Atty. Cefra guilty of violating the
CPR in ignoring the court9s order directing him
to comment on the complaint against him?
A: NO. The crucial in contempt proceedings is the
intent of the alleged contemnor to disobey or defy
the court. In contempt, the intent goes to the
gravamen of the offense. Thus, the good faith, or lack
of it, of the alleged contemnor is considered. To
constitute contempt, the act must be done willfully
and for an illegitimate or improper purpose. Here,
respondent justified his cognizance of the Petition
for Inclusion/Exclusion based on the Department's
exclusive prerogative in the identification, selection,
and subsequent re-evaluation of agrarian reform
beneficiaries. (POPARMUCO v. Inson, G.R. No. 189162,
30 Jan. 2019)
A: YES. The act of disobeying a court order
constitutes violation of Canon 11 of the CPR, which
requires a lawyer to <observe and maintain the
respect due to the courts.=
Q: Atty. Mortel, handling the case for his client
Angelita De Jesus, moved out of his office and
requested to use the address of his friend9s law
firm, MFV Jose Law Office, as his address on
record. Consequently, all notices and court
orders received by MFV on behalf of Atty. Mortel
was communicated to the latter by the law firm's
messenger. Among the Resolutions received by
MFV are the CA directives for Atty. Mortel to
submit his client's conformity to the Motion to
Withdraw Appeal and to show cause why it
should not suspend him from legal practice for
reapeatedly ignoring its issued Resolutions.
Despite having ignored 11 CA Resolutions, Atty.
Mortel did not show cause for him not to be
suspended. Is respondent Atty. Mortel guilty for
disobedience or defiance of lawful court orders,
amounting
to
gross
misconduct
and
insubordination or disrespect?
Under Rule 138, Section 27, paragraph 1 of the
Rules of Court, "wilful disobedience of any lawful
order of a superior court" constitutes a ground for
disbarment or suspension from the practice of law.
He contumaciously delayed compliance with this
court9s order to file a Comment. Clearly, his
disobedience was willful and inexcusable. Atty.
Cefra should be penalized for this infraction.
(Anudon v. Cefra, A.C. No. 5482, 10 Feb. 2015)
Q: A portion of the landholding owned by Polo
Coconut Plantation, Inc. was placed under the
coverage of the CARP. Polo Coconut's title was
canceled in favor of the Republic of the
Philippines and a collective Certificate of Land
Ownership Award (CLOA) was issued and
registered in favor of the POPARMUCO members
whom the DAR identified as agrarian reform
beneficiaries. The Supreme Court ruled with
finality on the qualification of the members of
POPARMUCO as beneficiaries in Polo Coconut9s
landholding. Subsequently, alleged regular
farmworkers of Polo Coconut filed a Petition for
Inclusion and Exclusion. They also filed a
Petition for Immediate Issuance of a Cease-andDesist Order and/or Injunction. Acting on the
Petition, respondent Regional Director Inson
issued a Cease-and-Desist Order and directed
the inclusion of the farmworkers as qualified
beneficiaries. Is the respondent9s cognizance of
the
Petition
for
Inclusion/Exclusion
A: YES. Atty. Mortel disrespected the lawful orders
of the court by ignoring twelve (12) Court of
Appeals Resolutions.
Here, Atty. Mortel failed to justify the long delay of
at least three (3) years in complying with the CA
Resolutions and show cause order. His acts clearly
constitute gross misconduct and insubordination or
disrespect of court. It also shows a glaring lack of the
competence and diligence required of every lawyer.
49
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
coat and tie. Female lawyers appear in semi-formal
attires. Judges also appear in the same attire in
addition to black robes. (Pineda, 2009)
For his gross misconduct, insubordination, and
disrespect of the Court of Appeals directives, and for
his negligence of his client9s case, respondent must
be suspended from the practice of law for one (1)
year, with a stern warning that a repetition of the
same or similar act shall be dealt with more severely.
(In Re: Resolution dated 14 Aug. 2013 of the Court of
Appeals in CA-G.R. CV No. 94656 v. Atty. Gideon D.V.
Mortel, A.C. No. 10117, 25 July 2016)
Q: Atty. Jesus Falcis appeared in a preliminary
conference before the Supreme Court wearing a
casual jacket, cropped jeans, and loafers without
socks. Did Atty. Falcis commit any ethical
impropriety?
A: YES. Atty. Falcis is reminded of the requirement
under Canon 11 of the CPR for lawyers to <observe
and maintain the respect due to the Courts and to
judicial officers and to insist on similar conduct by
others.= This duty encompasses appearances before
courts in proper attire. This Court does not insist on
sartorial pomposity. It does not prescribe
immutable minutiae for physical appearance. Still,
Professional courtesy demands that persons,
especially lawyers, having business before courts,
act with discretion and manifest this discretion in
their choice of apparel. (Falcis III v. Civil Registrar
General, G.R. No. 217910, 03 July 2018)
Q: Atty. A sent a letter to Judge B wherein he
allegedly threatened to file an administrative
and a criminal complaint for <knowingly
rendering an unjust judgment= over a writ of
possession/writ of demolition which the latter
issued. In the letter, Atty. A likewise stated that
Judge B was <stubbornly puruing= the
demolition operations <because of his desire to
please and satisfy and gratify= the mayor of his
LGU. Is Atty. A guilty of improper misconduct?
A: YES. Rule 11.04 of Canon 11 states that a lawyer
shall not attribute to a Judge motives not supported
by the record or have no materiality in the case.
While lawyers have the right, both as officer of the
court and as citizens, to criticize in properly
respectful terms and through legitimate channels
the acts of courts and judges, such criticisms, no
matter how truthful, shall not spill over the walls of
decency and propriety. (Presiding Judge Aida
Estrella Macapagal v. Atty. Walter T. Young, A.C. No.
9298, 29 July 2019, as penned by J. Caguioa)
RULE 11.02, CANON 11
A lawyer shall punctually appear at court
hearings.
Punctuality is demanded by the respect which a
lawyer owes to the court, the opposing counsel and
to all the parties to the case. (Funa, 2009)
RULE 11.03, CANON 11
A lawyer shall abstain from scandalous,
offensive, or menacing language or behavior
before the Courts.
RULE 11.01, CANON 11
A lawyer shall appear in court properly
attired.
Q: After the parties had filed their respective
briefs with the CA and before the latter's
resolution submitting the case for decision was
released, respondent lawyers including Atty.
Depasucat filed a pleading "Manifestation of
Usurpation of Authority of the Hon. Court of
Appeals from a Self-Confessed Briber of Judges",
which stated that plaintiff-appellant Uy had, in
fact, confessed to bribing two judges.
Respondents were not able to substantiate their
statement that Uy was involved in two bribing
incidents to be branded as <briber of judges=.
As an officer of the court and in order to maintain
the dignity and respectability of the legal profession,
a lawyer who appears in court must be properly
attired. Consequently, the court can hold a lawyer in
contempt of court if he does not appear in proper
attire. Any deviation from the commonly accepted
norm of dressing in court (barong or tie, not both) is
enough to warrant a citing for contempt. (Agpalo,
2009)
The traditional attires for male lawyers in the
Philippines are the long-sleeve Barong Tagalog or
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
50
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Consequently, Uy filed a verified complaint
against respondent lawyers for gross
misconduct. Should the respondent lawyers be
disciplined for having authored and filed the
<Manifestation of Usurpation of Authority of the
Hon. Court of Appeals from a Self-Confessed
Briber of Judges=?
of justice. (The Officers and Members of the
Integrated Bar of the Philippines, Baguio-Benguet
Chapter v. Pamintuan, A.M. No. RTJ-02-1691, 19 Nov.
2004)
Q: An administrative case for disbarment was
filed against MDS, a Lady Senator, for uttering
offensive remarks in her privilege speech
delivered in the Senate floor. She was quoted
as saying that she wanted <to spit on the face of
Chief Justice and his cohorts in the Supreme
Court,= and calling the Court a <Supreme Court of
idiots.= She alleged that it was considered as
part of her parliamentary immunity as such was
done during the session. Is she correct?
A: YES. The lawyers went overboard by stating in
the Manifestation that confessed to bribing judges,
which statement they failed to substantiate. It belied
their good intention and exceeded the bounds of
propriety, hence, not arguably protected; it is the
surfacing of a feeling of contempt towards a litigant;
it offends the court before which it is made.
A: YES. Her statements, being part of her privilege
speech as a member of Congress, were covered by
the constitutional provision on parliamentary
immunity. Her privilege speech is not actionable
criminally or in a disciplinary proceeding under the
Rules of Court.
A lawyer shall abstain from scandalous, offensive or
menacing language or behavior before the courts. It
must be remembered that the language vehicle does
not run short of expressions which are emphatic but
respectful, convincing but not derogatory,
illuminating but not offensive. It has been said that
a lawyer's language should be dignified in keeping
with the dignity of the legal profession.
However, as a member of the Bar, the Court wishes
to express its deep concern about the language
Senator MDS used in her speech and its effect on the
administration of justice. To the Court, the lady
senator has undoubtedly crossed the limits of
decency and good professional conduct.
It is the duty of Atty. Depasucat et al. as members of
the Bar to abstain from all offensive personality and
to advance no fact prejudicial to the honor or
reputation of a party or witness, unless required by
the justice of the cause with which he is charged. (Uy
v. Depasucat, A.C. No. 5332, 29 July 2003)
No lawyer who has taken an oath to maintain the
respect due to the courts should be allowed to erode
the people9s faith in the judiciary. In this case, the
lady senator clearly violated Canon 8, Rule 8.01 and
Canon 11 of the CPR. (Pobre v. Senator Santiago, A.C.
No. 7399, 25 Aug. 2009)
NOTE: The language of a lawyer, both oral and
written, must be respectful and restrained in
keeping with the dignity of the legal profession and
with his behavioral attitude toward his brethren in
the profession. The use of abusive language by
counsel against the opposing counsel constitutes at
the same time disrespect to the dignity of the court
justice. Moreover, the use of impassioned language
in pleadings, more often than not, creates more heat
than light. (Buenaseda v. Flavier, G.R. No. 106719, 21
Sept. 1993)
RULE 11.04, CANON 11
A lawyer shall not attribute to a judge motives
not supported by the record or have no
materiality to the case.
Every citizen has the right to comment upon and
criticize the actuations of public officers. This right
is not dismissed by the fact that the criticism is
aimed at a judicial authority, or that it is articulated
by a lawyer. (In Re: Almacen, G.R. No. L-27654, 18 Feb.
1970)
The duty to observe and maintain respect is not a
one-way duty from a lawyer to a judge. A judge
should also be courteous to counsel, especially
those who are young and inexperienced and to all
those appearing or concerned in the administration
51
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
of his letter?
Such right is especially recognized where the
criticism concerns a concluded litigation, because
the Court9s actuations are thrown open to public
consumption. Courts thus treat with forbearance
and restraint a lawyer who vigorously assails their
actuations for courageous and fearless advocates
are the strands that weave durability into the
tapestry of justice. (Id)
A: YES. Atty. Roxas9 letter contains defamatory
statements that impaired public confidence in the
integrity of the Judiciary. The making of
contemptuous statements directed against the
court is not an exercise of free speech; rather, it is an
abuse of such right. A letter furnished to all the
members of the Supreme Court, even if a copy was
not disseminated to the media, does not enjoy the
mantle of right to privacy. Letters addressed to the
individual justices in connection with the
performance of their judicial functions become part
of the judicial record and are matter of concern for
the entire court.
Post litigation utterances or publications made by
lawyers, critical of the courts and their judicial
actuations, whether amounting to a crime or not,
which transcend the permissible bounds of fair
comment and legitimate criticism and thereby tend
to bring them into dispute or to subvert public
confidence in their integrity and in the orderly
administration of justice, constitute grave
professional misconduct which may be visited with
disbarment or other lesser appropriate disciplinary
sanctions by the Supreme Court in the exercise of
the prerogatives inherent in it as the duly
constituted guardian of the morals and ethics of the
legal fraternity. (Id)
Atty. Roxas is guilty of indirect contempt of court for
an improper conduct tending, directly and
indirectly, to impede, obstruct or degrade the
administration of justice; and with his
contemptuous and defamatory statements, Atty.
Roxas likewise violated Canon 11 of the CPR
particularly Rules 11.03 and 11.04. (Roxas v.
Zuzuarregui, et al., G.R. No. 152072, 12 July 2007)
Q: Atty. Romeo Roxas was charged with indirect
contempt. In a letter addressed to Associate
Justice Chico-Nazario, he wrote that Justice
Nazario decided the cases in favor of
Zuzuarregui, ordering Attys. Roxas and Pastor
to pay the former on considerations other than
the pure merits of the case and called the
Supreme Court a <dispenser of injustice." He
ended his letter by mocking her when he said
<sleep well if you still can= and that <her earthly
life will be judged by the Supreme Dispenser of
Justice where only the merits of your Honor9s
life will be relevant and material and where
technicalities can shield no one from his
or her wrongdoings."
Q: When is public comment and criticism of a
court decision permissible and when would it be
improper? (1997 BAR)
A: A lawyer, like every citizen, enjoys the right to
comment on and criticize the decision of a court. As
an officer of the court, a lawyer is expected not only
to exercise that right but also to consider it his duty
to expose the shortcomings and indiscretions of
courts and judges. But such right is subject to the
limitations that it shall be bona fide. It is proper to
criticize the courts and judges, but it is improper to
subject them to abuse and slander, degrade them or
destroy public confidence in them. Moreover, a
lawyer shall not attribute to a judge motives not
supported by the record or have no materiality in
the case. (Rule 11.04, CPR)
In the written explanation of Atty. Roxas, he
extended apologies to Justice Nazario. He said he
was merely exercising his rights to express a
legitimate grievance or articulate fair criticisms
of the court9s ruling. Moreover, according to him,
instead of resorting to public criticisms, he
chose to ventilate his criticisms in a discreet and
private manner by writing a personal letter.
Should Atty. Roxas be punished for the contents
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
NOTE: A lawyer should be reminded of his primary
duty to assist the court in the administration of
justice. The relations between counsel and judge
should be based on mutual respect and on a deep
appreciation by one of the duties of the other. It is
upon their cordial relationship and mutual
`
52
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
ASSISTANCE IN THE SPEEDY AND EFFICIENT
ADMINISTRATION OF JUSTICE
cooperation that the hope of our people for speedy
and efficient justice rests. (Abiera v. Maceda, A.C. No.
RTJ-91-660, 30 June 1994)
CANON 12
A lawyer shall exert every effort and consider it
his duty to assist in the speedy and efficient
administration of justice
If the court official or employee or a lawyer is to be
disciplined, the evidence against him should be
substantial, competent and derived from direct
knowledge, not on mere allegations, conjectures,
suppositions or on the basis of hearsay. (Cervantes v.
Atty. Sabio, A.C. No. 7828, 11 Aug. 2008)
A lawyer is bound by his oath to serve his client with
utmost zeal and dedication and shall conduct
himself according to the best of his knowledge and
discretion. (Antiquiera, 1992)
RULE 11.05, CANON 11
A lawyer shall submit grievances against a
Judge to the proper authorities only.
The filing of another action concerning the same
subject matter, in violation of the doctrine of res
judicata, runs contrary to this Canon. (Lim v.
Montano, A.C. No. 5653, 27 Feb. 2006)
Proper Venue or Forum for the filing of the
following cases
NATURE OF THE
CASE
If administrative in
nature
If criminal and not
purely administrative
Q: Jardin engaged the services of Atty. Villar Jr.
to represent him in a collection case. Despite
several extensions of time given by the trial
court, Atty. Villar Jr. failed to file his formal offer
of exhibits and did not explain his inaction. The
case was dismissed, and this prompted Jardin to
file a complaint for disbarment against Atty.
Villar, Jr. Was Atty. Villar, Jr. remiss in his duties
as counsel when he failed to file his formal offer
of exhibits?
WHERE TO FILE
It shall be filed with the
Office of the Court
Administrator of the
Supreme Court.
It shall be filed with the
Office
of
the
Ombudsman, also with
the Office of the City
Prosecutor (OCP).
A: YES. The record clearly shows that Atty. Villar Jr.
has been languid in the performance of his duties as
counsel for the complainant. He was given by the
trial court several extensions of time.
If it involves a Justice
of the Supreme Court
based on impeachable
offenses
It must be coursed
through the House of
Representative and the
Senate in accordance
with the rules on
impeachment.
Source: (CPR Annotated, PhilJA)
Evidently, Atty. Villar Jr. has fallen short of the
competence and diligence required of every
member of the Bar. He committed a serious
transgression when he failed to exert his utmost
learning and ability and to give entire devotion to
his client's cause. His client had relied on him to file
the formal offer of exhibits among other things. But
he failed him. Resulting as it did in the dismissal of
the case, his failure constitutes inexcusable fault.
(Jardin v. Atty. Villar, Jr., A.C. No. 5474, 28 Aug. 2003)
NOTE: An administrative complaint is not an
appropriate remedy where judicial recourse is still
available, such as a motion for reconsideration, an
appeal, or a petition for certiorari, unless the
assailed order or decision is tainted with fraud,
malice, or dishonesty. (Santiago III v. Justice
Enriquez, Jr., A.M. No. CA-09-47-J, 13 Feb. 2009)
Q: Judgment was rendered against Eternal
Gardens ordering it to reconvey the cemetery to
the rightful owners. Despite the final decision of
the Supreme Court, Eternal Gardens was able to
53
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
NOTE: An "original" of a document is the document
itself or any counterpart intended to have the same
effect by a person executing or issuing it. An
"original" of a photograph includes the negative or
any print therefrom. If data is stored in a computer
or similar device, any printout or other output
readable by sight or other means, shown to reflect
the data accurately, is an "original." (Rule 130,
Section 4(a), Rules of Court, as amended)
prevent the execution for 17 years, rendering
the judgment ineffectual.
They filed several petitions and motions for
reconsideration with the trial court and the CA
despite the fact that it would never prosper as
the trial court9s decision had long become final
before the said petitions were filed. Did the
lawyers violate Canon 12 of the CPR?
A: YES. While lawyers owe their entire devotion to
the interest of the client and zeal in the defense of
their client9s right, they are also officers of the court,
bound to exert every effort to assist in the speedy
and efficient administration of justice. They should
not misuse the rules of procedure to defeat the ends
of justice or unduly delay a case, impede the
execution of a judgment or misuse court processes.
RULE 12.02, CANON 12
A lawyer shall not file multiple actions arising
from the same cause. (1991, 1997, 1998,
2002 BAR)
Forum Shopping
The mere filing of several cases based on the same
incident does not necessarily constitute forum
shopping. The question is whether the several
actions filed involve the same transactions,
essential facts and circumstances. If they involve
essentially different facts, circumstances and causes
of action, there is no forum shopping. (Paredes v.
Sandiganbayan, G.R. No. 108251, 31 Jan. 1996)
The facts and the law should advise them that a case
such as this should not be permitted to be filed to
merely clutter the already congested judicial
dockets. They do not advance the cause of law or
their clients by commencing litigations that for
sheer lack of merit do not deserve the attention of
the courts. (Eternal Gardens Memorial Park
Corporation v. CA, G.R. No. 123698, 05 Aug. 1998)
The essence of forum shopping is the filing of
multiple suits involving the same parties for the
same cause of action, either simultaneously or
successively, to obtain a favorable judgment.
(Foronda v. Atty. Guerrero, A.C. No. 5469, 10 Aug.
2004)
RULE 12.01, CANON 12
A lawyer shall not appear for trial unless he
has adequately prepared himself on the law
and the facts of his case, the evidence he will
adduce and the order of its profference. He
should also be ready with the original
documents for comparison with the copies.
NOTE: If same evidence supports both actions,
there is also forum shopping.
A newly hired counsel who appears in a case in the
midstream is presumed and obliged to acquaint
himself with all the antecedent processes and
proceedings that have transpired in the record prior
to his takeover. (Villasis v. CA, G.R. Nos. L- 36874-76,
30 Sept. 1974)
It is an act of malpractice for it trifles with the courts,
abuses their processes, degrades the administration
of justice and adds to the already congested court
dockets. What is critical is the vexation brought
upon the courts and the litigants by a party who asks
different courts to rule on the same or related
causes and grant the same or substantially the same
relief, which creates the possibility of conflicting
decisions being rendered by different forums upon
the same issues, regardless of whether the court, in
which one of the suits was brought, has no
jurisdiction over the action. (Top Rate Construction
and General Services v. Paxton Devt. Corp., G.R. No.
A lawyer who is presenting documentary exhibits
must also be ready with the originals thereof for
purposes of comparison with copies thereof to
avoid objections which ordinarily delay the
proceedings. (Rule 130, Section 3, Rules of Court, as
amended)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
54
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Compliance with the certification against forum
shopping is separate from the avoidance of
forum shopping itself
151081, 11 Sept. 2003)
Prevention against Forum Shopping
The Supreme Court, in several Circulars it had
issued, required the attachment to all initiatory
pleadings a sworn certification, that:
1.
2.
3.
The requirement to file a certificate of non-forum
shopping is mandatory. Failure to comply cannot be
excused by the fact that plaintiff is not guilty of
forum shopping. (Melo v. CA, G.R. No. 123686, 16 Nov.
1999; Ong v. CA, G.R. No. 144581, July 5, 2002;
Crisostomo v. Atty. Nazareno, A.C. No. 6677, 10 June
2014)
The initiating party has not therefore
commenced any action or filed any claim
involving the same issues in any court, tribunal
or quasi-judicial agency and, to the best of his
knowledge, no such other action or claim is
pending therein.
False Certification against Forum Shopping vs.
Forum Shopping
FALSE
CERTIFICATION
AGAINST FORUM
SHOPPING
If there is such other pending action or claim, a
complete statement of the present status
thereof.
If he should thereafter learn that the same or
similar action or claim has been filed or is
pending, he shall report that fact within his
aforesaid complaint or initiatory pleading has
been filed. (Sec. 5, Rule 7, Rules of Court, as
amended)
As to the Effects
Failure to comply
warrants:
1.
Possible Consequences
The following are the possible consequeces of a
forum shopping:
1.
A penalty for direct contempt of court may be
imposed on the party and his lawyer in cases of
willful and deliberate forum-shopping,
pursuant to Sec. 5, Rule 7 of the Rules of Court.
3.
A criminal action for a false certification of nonforum shopping and indirect contempt may be
instituted.
4.
2.
3.
There may be a summary dismissal without
prejudice unless there is a willful or deliberate
forum-shopping, pursuant to Sec. 5, Rule 7 of the
Rules of Court.
2.
FORUM SHOPPING
PROPER
Criminal action
for
a
false
certification of
non-forum
shopping;
Indirect
contempt;
Disciplinary
proceedings for
the
lawyer
concerned. (Sec.
5, Rule 7, Rules of
Court,
as
amended)
A disciplinary proceedings for the lawyer
concerned, pursuant to Sec. 5, Rule 7 of the Rules
of Court, may be held.
55
Commission
warrants:
1.
thereof
Summary dismissal
without prejudice
XPN: When there is
a
willful
or
deliberate forumshopping (Sec. 5,
Rule 7, Rules of
Court, as amended);
2.
Direct contempt of
court on the party
and his lawyer in
case of willful and
deliberate forumshopping (Sec. 5,
Rule 7, Rules of
Court, as amended);
3.
Disciplinary
proceedings for the
lawyer concerned.
(Sec. 5, Rule 7, Rules
of
Court,
as
amended)
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Q: BPI and LSDC had a Joint Venture Agreement.
LSDC misrepresented to have ownership over
the lots sold and failed to deliver the title to the
buyers. BPI filed a complaint against the LSDC
for termination of contract, recovery of
property and damages, with prayer for the
issuance of a TRO and a writ of preliminary
mandatory injunction before the RTC. With
Atty. Deloria as counsel, LSDC filed an answer
with counterclaim and a prayer for the
issuance of a writ of preliminary mandatory
injunction to direct BPI to execute the deeds of
absolute sale and release the titles to the lot
buyers. However, LSDC's application for a writ
of preliminary mandatory injunction was
denied. Representing Corazon Flores, a lot
buyer, Atty. Deloria filed a complaint for
execution of deeds of absolute sale and
delivery of title against BPI before the HLURB.
Should Atty. Deloria be administratively
liable?
lawyer is subject to discipline. (CPR Annotated,
PhilJA)
The same rule applies more forcefully to motion for
continuance. Postponement is not a matter of right
but of sound judicial discretion. (Edrial v. QuilatQuilat, G.R. No. 133625, 06 Sept. 2000)
RULE 12.04, CANON 12
A lawyer shall not unduly delay a case, impede
the execution of a judgment or misuse court
processes
It is understandable for a party to make full use of
every conceivable legal defense the law allows.
However, in case of attempts to evade liability to
which a party should respond, it must be kept in
mind that procedural rules are intended to aid
justice, not as means for its frustration. (Santiago v.
De Los Santos, G.R. No. L-20241, 22 Nov. 1974)
Once a judgment becomes final and executory, the
prevailing party should not be denied the fruits of
his victory by some subterfuge devised by the losing
party. Unjustified delay in the enforcement of a
judgment sets at naught the role of the courts in
disposing justiciable controversies with finality.
(Aguilar v. Manila Banking Corporation, G.R. No.
157911, 19 Sept. 2006)
A: YES. Atty. Deloria violated Rule 12.02, Canon 12
of the CPR on forum shopping when he lodged a
complaint before the HLURB praying for BPI to
execute deeds of absolute sale and deliver the
titles over the subdivided lots, which was the same
subject matter in the preliminary mandatory
injunction earlier denied by the RTC while the
main civil case was still pending (Buena Vista
Properties v. Atty. Deloria, A.C. No. 12160, 14 Aug.
2018).
Lawyers should not resort to nor abet the resort of
their clients to a series of actions and petitions to
thwart the execution of a judgment that has long
become final and executor. (Cobb-Perez v. Lantin,
G.R. No. L-22320, 22 May 1968)
RULE 12.03, CANON 12
A lawyer shall not, after obtaining extensions
of time to file pleadings, memoranda or briefs,
let the period lapse without submitting the
same or offering an explanation for his failure
to do so. (2003 BAR)
Note: The writs of amparo and habeas data are
extraordinary remedies which cannot be used as
tools to stall the execution of a final and executory
decision in a property dispute. (Castillo v. Cruz, G.R.
No. 182165, 25 Nov. 2009)
The court censures the practice of counsels who
secure repeated extensions of time to file their
pleadings and thereafter simply let the period lapse
without submitting the pleading or even an
explanation or manifestation of their failure to do so.
(Achacoso v. CA, G.R. No. L-35867, 28 June 1973)
Asking for extension of time must be in good faith.
Otherwise, it is an obstruction of justice and the
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
56
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
RULE 12.05, CANON 12
A lawyer shall refrain from talking to his
witness during a break or recess in the trial,
while the witness is still under examination.
testify as a witness unless it is necessary and that
they should withdraw from the active management
of the case. (PNB v. Uy Teng Piao, G.R. No. L- 35252,
21 Oct. 1932)
The rule is designed to uphold and maintain fair
play with the other party and to avoid any suspicion
that he is coaching the witness what to say during
the resumption of the examination. (Agpalo, 2009)
GR: A lawyer is not disqualified from being a
witness. (Santiago v. Rafanan, A.C. No. 6252, 05 Oct.
2004)
XPN: In certain cases pertaining to privileged
communication arising from an attorney-client
relationship. (Santiago v. Rafanan, A.C. No. 6252, 05
Oct. 2004)
Guidelines in interviewing witnesses (2001,
2005 BAR)
1.
2.
3.
4.
5.
A lawyer may interview a witness in advance of
the trial to guide him in the management of the
litigation.
A lawyer may also interview a <prospective
witness= for the opposing side in any civil and
criminal action without the consent of opposing
counsel or party.
A lawyer must properly obtain statements from
witnesses whose names were furnished by the
opposing counsel or interview the employees of
the opposing party even though they are under
subpoena to appear as witnesses for the
opposite side.
If after trial resulting in defendant9s conviction,
his counsel has been advised that a prosecution
witness has committed perjury, it is not only
proper but it is the lawyer9s duty to endeavor
honorable means to obtain such witness9
reaction, even without advising the public
prosecutor of his purpose and even though the
case is pending appeal.
An adverse party, though he may be used as a
witness, is not however a witness within the
meaning of the rule permitting a lawyer to
interview the witness of the opposing counsel.
RULE 12.06, CANON 12
A lawyer shall not knowingly assist a witness
to misrepresent himself or to impersonate
another.
Sanctions to a Lawyer who instructs a Witness to
perpetuate Misrepresentation
Art. 184 of the Revised Penal Code (RPC) provides
that <the lawyer who presented a witness knowing
him to be a false witness is criminally liable for
Offering False Testimony in Evidence.=
NOTE: The lawyer who is guilty of the above is both
criminally and administratively liable.
Criminal Liability of a Witness who commits
Misrepresentation
The witness who commits the misrepresentation is
criminally liable for <False Testimony= either under
Arts. 181, 182 or 183, Revised Penal Code,
depending upon the nature of the case.
RULE 12.07, CANON 12
A lawyer shall not abuse, browbeat or harass
a witness nor needlessly inconvenience him.
Q: May an attorney talk to his witnesses before
and during the trial? (2014 BAR)
A: An attorney can talk with his witnesses before the
trial, but it is unethical to do so if the client is already
on the witness stand during the trial. (Agpalo, 2009)
Q: Nolito Boras was convicted of statutory rape.
The victim, a minor, testified with the manner of
examination being excessive. The lawyer of
Boras
was
asking
questions
like,
<Did you have any opportunity at the time you
were raped to hold the penis of Nolito Boras?=, <At
the time, when you were raped by Nolito Boras, is
NOTE: Although the law does not forbid an attorney
to be a witness and at the same time an attorney in
a case, the courts prefer that counsel should not
57
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
his penis hard or soft?=, and <Did you see your
uncle Cerilo after the accused stop pushing and
pulling his penis to your vagina or while he was
still in the process of pushing and pulling his
penis to your vagina?= Did the lawyer of Nolito
Boras violate Rule 12.07?
2.
3.
4.
5.
A: YES. It must be stressed that in dealing with rape
cases of children, especially those below twelve (12)
years of age, due care must be observed by the trial
court in handling the victim. By subjecting her into
explaining whether she was forced or intimidated is
excessive.
When such would Adversely affect any lawful
interest of the client with respect to which
confidence has been reposed on him;
Having accepted a Retainer, he cannot be a
witness against his client;
He cannot serve Conflicting interests; and,
When he is to violate the Confidence of his
client.
Matters to which a lawyer CAN testify on:
1.
It is because proof of force and intimidation is
unnecessary in statutory rape. Considering that
there is a medical report substantiating the
allegations made by the victim, the manner of
examination of the victim must be tempered.
Especially in this case since the child is only six
years old who remains uncorrupted. (People v.
Boras, G.R. No. 127495, 22 Dec. 2000)
2.
On Formal matters, such as the mailing,
authentication or custody of instrument and the
like; and
On substantial matters in cases where his
Testimony is essential to the ends of justice, in
which event he must, during his testimony,
entrust the trial of the case to another counsel.
RULE 12.08, CANON 12
A lawyer shall avoid testifying in behalf of his
client, except:
a.
on formal matters, such as the
mailing, authentication or custody of
an instrument, and the like; or
b.
on substantial matters, in cases where
his testimony is essential to the ends
of justice, in which event he must,
during his testimony, entrust the trial
of the case to another counsel.
The function of a witness is to state the facts as he
recalls them in answer to questions. The function of
an advocate is that of a partisan. It is difficult to
distinguish between the zeal of an advocate and the
fairness and impartiality of a disinterested witness.
(Santiago v. Rafanan, A.C. No. 6252, 05 Oct. 2004)
Matters to which a Lawyer CANNOT testify on (TA-R-C-C)
1.
When, as an attorney, he is to Testify on the
theory of the case;
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
58
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
RELIANCE ON MERITS OF CASE AND
AVOIDANCE FROM ANY IMPROPRIETY WHICH
TENDS TO INFLUENCE OR GIVES THE
APPEARANCE OF INFLUENCE UPON THE
COURTS
to the case pending in the court of said judge.
(Austria v. Masaquel, G.R. No. 22536, 31 Aug. 1967)
It is highly improper for a judge to meet privately
with an accused who has a pending case before him
without the presence of the other party. (Gallo v.
Cordero, A.M. No. MTJ-95-1035, 21 June 1995)
CANON 13
A lawyer shall rely upon the merits of his cause
and refrain from any impropriety which tends
to influence, or gives the appearance of
influencing the court.
Q: Atty. J requested Judge K to be a principal
sponsor for the wedding of his son. Atty. J met
Judge K a month before during the IBPsponsored reception to welcome Judge K into
the community, and having learned that Judge K
takes his breakfast at a coffee shop near his
(Judge K's) boarding house, Atty. J made it a
point to be at the coffee shop at about the time
that Judge K takes his breakfast. Comment on
Atty. J's acts. Do they violate the CPR? (2000
BAR)
It is unethical for a lawyer to give an appearance as
if he is capable of influencing judges and court
personnel. Giving of gifts to the judges are
discouraged as it tends to give an appearance of
influencing the conduct of judicial function or
breeding familiarity with judges. (Antiquiera, 1992)
It is reprehensible for a lawyer to wrongfully use the
name of the law office for the purpose of <giving
more weight and credit to the pleading.= Motions
and pleadings filed in courts are acted upon in
accordance with their merits or lack of it, and not on
the reputation of the law firm or the lawyer filing
the same. (Rodica v. Atty. Lazaro, et al. A.C. No. 9259,
23 Aug. 2012)
A: YES. His actions violate Canon 13 of the CPR
which provides that a lawyer shall rely upon the
merits of his cause and refrain from any impropriety
which tends to influence, or gives the appearance of
influencing the court.
Rule 13.01 of the same Code provides that a lawyer
shall not extend extraordinary attention or
hospitality to, nor seek opportunity for cultivating
familiarity with judges.
RULE 13.01, CANON 13
A lawyer shall not extend extraordinary
attention or hospitality to, nor seek
opportunity for cultivating familiarity with
judges.
Atty. J obviously sought opportunity for cultivating
familiarity with Judge K by being at the coffee shop
where the latter takes his breakfast, and is
extending extraordinary attention to the judge by
inviting him to be a principal sponsor at the
wedding of his son.
The rule is designed to protect the good name and
reputation of the judge and the lawyer. (Pineda,
2009) Lawyers should not seek for opportunity to
cultivate familiarity with judges. A lawyer who
resorts to such practices of seeking familiarity with
judges dishonors his profession and a judge who
consents to them is unworthy of his high office.
RULE 13.02, CANON 13
A lawyer shall not make public statements in
the media regarding a pending case tending to
arouse public opinion for or against a party.
A lawyer should not communicate or argue
privately with the judge as to the merits of a pending
case. He should be rebuked and denounced for any
device or attempt to gain from a judge special
personal consideration or favor. (Canon 3, CPE)
Prejudicial Publicity
There must be an allegation and proof that the
judges have been unduly influenced, not simply that
they might be, by barrage of publicity. (CPR
Annotated, PhilJA)
It is improper for a litigant or counsel to see a judge
in chambers and talk to him about a matter related
59
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
NOTE: The restriction does not prohibit issuances
of statements by public officials charged with the
duty of prosecuting or defending actions in court.
(Lejano v. People, G.R. No. 176389, 14 Dec. 2010)
criticizing the judge9s decision, provided that such
comment or criticism shall be bona fide and not spill
over the bounds of decency and propriety.
RULE 13.03, CANON 13
A lawyer shall not brook or invite interference
by another branch or agency of the
government in the normal course of judicial
proceedings.
In a concluded litigation, a lawyer enjoys a wider
latitude of commenting on or criticizing the decision
of a judge of his actuation. Thus, it has been held that
a newspaper publication tending to impede,
obstruct, embarrass or influence the courts in
administering justice in a pending case constitutes
criminal contempt, but the rule is otherwise after
the litigation is ended. (In re: Lozano, 54 Phil. 801,
24 July 1930)
When a case is already within the jurisdiction of a
court, the lawyer should not cause or seek the
interference of another agency of the Government in
the normal course of judicial proceedings. (Pineda,
2009)
Q: Dumbledore, a noted professor of commercial
law, wrote an article on the subject of letters of
credit, which was published in the IBP Journal.
Assume that he devoted a significant portion of
the article to a commentary on how the Supreme
Court should decide a pending case involving
the application of the law on letters of credit.
May he be sanctioned by the Supreme Court?
Explain. (2008 BAR)
The reason for this rule is that such action will be
contrary to the principle of separation of powers.
All lawyers must uphold, respect and support the
independence of the judiciary. This independence
from interference is made to apply against all
branches and agencies of the government. (Funa,
2009)
A: YES. Professor Dumbledore may be sanctioned
by the Supreme Court. Rule 13.02 of the CPR
provides that <a lawyer shall not make public
statements in the media regarding a pending case
tending to arouse public opinion for or against a
party.= The Court in a pending litigation must be
shielded from embarrassment or influence in its
duty of deciding the case.
NOTE: In the case of De Bumanlag v. Bumanlag, the
Supreme Court reprimanded Atty. Bumanlag for
gross ignorance of law and of the Constitution in
having asked the President to set aside by decree
the Court9s decision which suspended him for two
years from the practice of law.
Q: Assume Dumbledore did not include any
commentary on the case. Assume further after
the Supreme Court decision on the case had
attained finality, he wrote another IBP Journal
article, dissecting the decision and explaining
why the Supreme Court erred in all its
conclusions. May he be sanctioned by the
Supreme Court? Explain. (2008 BAR)
A: He may not be sanctioned by the Supreme Court.
Once a case is concluded, the judge who decided it is
subject to the same criticism as any other public
official because his decision becomes public
property and is thrown open to public consumption.
The lawyer enjoys a wide latitude in commenting or
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
60
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
The absence of a written contract will not
preclude finding of an attorney-client
relationship.
D. TO THE CLIENTS
(CANONS 14-22)
Characteristics
Relationship
1.
of
an
The absence of a written contract will not preclude
a finding that there is a professional relationship.
Documentary formalism is not an essential element
in the employment of an attorney; the contract may
be express or implied. (Toledo v. Callos, A.M. No. RTJ05-1900, 28 Jan. 2005)
Attorney-Client
It is strictly personal. It means that the
delegation of work without the client9s consent
is prohibited.
2.
It is highly confidential. All communications
made in the course of lawyer9s professional
employment is confidential in nature.
3.
It fiduciary in nature. It means that (a) the
lawyer holds in trust all moneys and properties
of his client that may come into his possession;
(b) when a lawyer enforces a charging lien
against his client, the relationship is
terminated; and, (c) an attorney cannot
represent adverse interest unless the parties
consent to the representation after full
disclosure of facts.
It is sufficient to establish the professional relation,
that the advice and assistance of an attorney is
sought and received in any matter pertinent to his
profession. An acceptance of the relation is implied
on the part of the attorney from his acting on behalf
of his client in pursuance of a request from the latter.
(Hirach Bros. and Co. v. R. E. Kennington Co., 88 A. L.
R., 1. cited in Hilado v. David, G.R. No. L-961, 21 Sept.
1949)
Commencement
Relationship
of
an
Attorney-Client
Case law instructs that a lawyer-client relationship
commences when a lawyer signifies his agreement
to handle a client's case and accepts money
representing legal fees from the latter. (Egger v.
Duran, A.C. No. 11323, 14 Sept. 2016; Samonte v. Atty.
Jumamil, A.C. No. 11668, 17 July 2017)
Q: Lawyer A and client B were good friends while
maintaining an attorney-client relationship
imbued with trust and confidence, so much so
that A borrowed money from B. However, A was
remiss in his duties as a lawyer without
informing the court and his client on the cause.
B confronted A and demanded payment of the
loaned money. The lawyer failed to pay the same.
Did A violate the Code of Professional
Responsibility?
NOTE: If a person, in respect to his business affairs
or any troubles of any kind, consults with his
attorney in his professional capacity with the view
to obtaining professional advice or assistance and
the attorney voluntarily permits or acquiesce in
such consultation, as when he listens to his client9s
preliminary statement of his case or gives advice
thereon, then the professional employment is
regarded as established just as effective as when he
draws his client9s pleading or advocates his client9s
cause in court. (Dee v. CA, G.R. No. 77439, 24 Aug.
1989)
A: YES. The relationship between a lawyer and his
client is one imbued with trust and confidence
which may be prone to abuse. The rule against
borrowing of money by a lawyer from his client is
intended to prevent the lawyer from taking
adavantage of his influence over his client.
Formation of the Lawyer-Client Relationship
The rule presumes that the client is disadvantaged
by the lawyer9s ability to use all the legal
maneuverings to renege his obligation. (Frederick
Dalumay v. Atty. Ferdinand M. Agustin, A.C. No. 12836,
17 Mar. 2021)
The lawyer-client relationship is formed through
the following: (Im-Or-Ex)
61
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Atty. Gonzales the circumstances surrounding
the lost title and discussing the fees and costs,
Atty. Gonzales prepared, finalized, and
submitted to Uy a petition to be filed with the
RTC of Tayug, Pangasinan. However, when the
petition was about to be filed, Atty. Gonzales
went to Uy9s office and demanded a certain
amount from him other than what they had
previously agreed upon. Uy found out later that
instead of filing the petition for the issuance of a
new certificate of title, Atty. Gonzales filed a
letter- complaint against him with the Office of
the Provincial Prosecutor for <falsification of
public documents.= The letter-complaint
contained facts and circumstances pertaining to
the transfer certificate of title that was the
subject matter of the petition which Atty.
Gonzales was supposed to have filed. Should
Atty. Gonzales be suspended for violating the
lawyer-client relationship when he filed a
complaint for <falsification of public documents=
against his client using facts connected with the
latter9s petition?
1. Oral. It is when the counsel is employed
without a written agreement, but the conditions
and amount of attorney9s fees are agreed upon.
2. Express. It is when the terms and conditions
including the amount of fees are explicitly
stated in a written document, which may be a
private or public document. Written contract of
attorney9s fees is the law between the lawyer
and the client.
3. Implied. It is when there is no agreement,
whether oral or written, but the client allowed
the lawyer to render legal services not intended
to be gratuitous without objection and client is
benefited by reason thereof.
Rules
Protecting
the
Relationship (B-A-P-P-A)
1.
2.
3.
4.
5.
Attorney-Client
Best effort must be exerted by the attorney to
protect his client9s interest.
The attorney must promptly Account for any
fund or property entrusted by or received for
his client.
An attorney cannot Purchase his client9s
property or interest in litigation.
The Privacy of communications shall be upheld.
An attorney cannot represent a party whose
interest is Adverse to that of his client even
after the termination of the relation.
A: NO. Evidently, the facts alleged in the complaint
for <estafa through falsification of public documents=
filed by Atty. Gonzales against Uy were obtained by
Atty. Gonzales due to his personal dealings with Uy.
Whatever facts alleged by Atty. Gonzales against Uy
were not obtained by Atty. Gonzales in his
professional capacity but as a redemptioner of a
property originally owned by his deceased son and
therefore, when Atty. Gonzales filed the complaint
for estafa against Uy, which necessarily involved
alleging facts that would constitute estafa, Atty.
Gonzales was not, in any way, violating Canon 21.
Three (3) Principal Types of Professional
Activity of a Lawyer (L-A-P)
1.
2.
3.
Legal advice and instructions to clients to
inform them of their rights and obligations;
Appearance for clients before public tribunals
which possess power and authority to
determine rights of life, liberty, and property
according to law, in order to assist in proper
interpretation and enforcement of law; and,
Preparation for clients of documents requiring
knowledge of legal principles not possessed by
ordinary layman. (CPR Annotated, PhilJA)
Clearly, there was no attorney-client relationship
between Atty. Gonzales and Uy. The preparation
and the proposed filing of the petition was only
incidental to their personal transaction. (Uy v. Atty.
Gonzales, A.C. No. 5280, 30 Mar. 2004)
Q: Atty. Marie consulted Atty. Hernandez
whether she can successfully prosecute her case
for declaration of nullity of marriage that she
intends to file against her husband. Atty.
Hernandez advised her in writing that the case
will not prosper for the reasons stated therein.
Q: Uy engaged the services of Atty. Gonzales to
prepare and file a petition for the issuance of a
new certificate of title. After confiding with the
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
62
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Is Atty. Hernandez's subsequent acquiescence to
be Noel's counsel ethical? (2006 BAR)
AVAILABILITY OF SERVICE WITHOUT
DISCRIMINATION
A: NO. Atty. Hernandez's acquiescence to be Noel's
counsel will not be ethical. It will constitute a
conflict of interests. When Atty. Marie consulted
Atty. Hernandez' for advice on whether she can
successfully prosecute her case for declaration of
nullity of her marriage to Noel, and he advised her
that it will not prosper, a lawyer-client relationship
was created between them, although his advice was
unfavorable to her.
CANON 14
A lawyer shall not refuse his services to the
needy.
The poor and indigent should not be further
disadvantaged by lack of access to the Philippine
legal system.
Lawyer9s Right to decline Employment
GR: A lawyer is not obliged to act as legal counsel for
any person who may wish to become his client. He
has the right to decline employment. (Navarro v.
Meneses III, A.C. No. 313, 30 Jan. 1998)
From that moment, Atty. Hernandez is barred from
accepting employment from the adverse party
concerning the same matter about which she had
consulted him. (Hilado v. David, 84 Phil. 569, 1949)
XPNs:
Q: In the course of a drinking spree with Atty.
Holgado, who has always been his counsel in
business deals, Simon bragged about his recent
sexual adventures with socialites known for
their expensive tastes. When Atty. Holgado
asked Simon how he manages to finance his
escapades, the latter answered that he has been
using the bank deposits of rich clients of Banco
Filipino where he works as manager. Is Simon's
revelation to Atty. Holgado covered by the
attorney-client privilege? (2006 BAR)
1.
A lawyer shall not refuse his services to the
needy. (Canon 14)
2. He shall not decline to represent a person solely
on account of the latter9s race, sex, creed or
status in life or because of his own opinion
regarding the guilt of said person. (Rule 14.01)
3. He shall not decline, except for serious and
efficient cause like:
a. If he is not in a position to carryout
effectively or competently; and
b. If he labors under a conflict of interest
between him and the prospective client.
(Rule 14.03)
A: NO. Simon's revelation to Atty. Holgado is not
covered by the lawyer-client privilege. In the first
place, it was not made on account of a lawyer-client
relationship, that is, it was not made for the purpose
of seeking legal advice. In the second place, it was
not made in confidence. (Mercado v. Vitriolo, A.C. No.
5108, 26 May 2005).
Legal Aid Cases
Legal aid cases are those actions, disputes and
controversies that are criminal, civil and
administrative in nature in whatever stage, wherein
an indigent and pauper litigants need legal
representation. (Sec. 4(c), B.M. No. 2012)
In the third place, the attorney-client privilege does
not cover information concerning a crime or fraud
being committed or proposed to be committed.
Rationale for establishing Legal Aid Services
Legal aid is not a matter of charity. It is a means for
the correction of social imbalances that may and
often do lead to injustice, for which reason it is a
public responsibility of the Bar. The spirit of public
service should, therefore, underlie all legal aid
63
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
4.
offices. The same should be so administered as to
give maximum possible assistance to the indigent
and deserving members of the community in all
cases, matters and situations in which legal aid may
be necessary to forestall an injustice. (Public Service,
Sec. 1, Art. 1, IBP Guidelines on Legal Aid)
Q: Is there an instance when a lawyer may accept
losing case? (1996, 2001, 2002, 2005 BAR)
Q: Are there instances where a lawyer has the
duty to decline employment? (1993 BAR)
a. In criminal case?
b. In civil case?
A: A lawyer should decline no matter how attractive
the fee offered may be if its acceptance will involve:
(R-A-C-C-A-A)
1.
2.
3.
4.
5.
6.
A:
a. A lawyer may accept a <losing= criminal case
since an accused is presumed to be innocent
until his guilt is proven beyond reasonable
doubt. Furthermore, CPR provides that a lawyer
shall not decline to represent a person because
of his opinion regarding the guilt of said person.
Otherwise, innocent persons might be denied
proper defense. (Rule 14.01, CPR)
A violation of any of the Rules of the legal
profession;
Advocacy in any manner in which he had
intervened while in the government service;
Nullification of a Contract which he prepared;
Employment with a Collection agency which
solicits business to collect claims;
Employment, the nature of which might easily
be used as a means of Advertising his
professional services of his skill; or
Any matter in which he knows or has reason to
believe that he or his partner will be an
essential witness for the prospective client.
b.
Reasons why a Lawyer may not accept a <Losing
Case=
1.
It is the attorney9s duty to <counsel or maintain
such actions or proceedings only as appears to
him to be just and only such defenses as he
believes to be honestly debatable under the
law.=
3.
A lawyer is not to encourage either the
commencement or the continuance of an action
or proceeding, or delay any man9s cause, for any
corrupt motive or interest.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
A lawyer may also accept a losing civil case,
provided that, in so doing, he must not engage
in dilatory tactics and must advise his client
about the prospects and advantage of settling
the case through a compromise to the extent of
representing indigents, defenseless and the
oppressed.
SERVICES REGARDLESS OF PERSON9S STATUS
RULE 14.01, CANON 14
A lawyer shall not decline to represent a
person solely on account of the latter9s race,
sex, creed or status of life, or because of his
own opinion regarding the guilt of said person.
The attorney9s signature in every pleading
constitutes a certificate by him that there is
good cause to support it and that it is not
interposed for delay, and willful violation of
such rule shall subject him to disciplinary
action. (See also Sec. 7, Rule 7, Rules of Court, as
amended)
2.
A lawyer must decline to conduct a civil cause
or to make a defense when convinced that it is
intended merely to harass or injure the
opposite party or to work oppression or wrong.
Q: Atty. DD9s services were engaged by Mr. BB as
defense counsel in a lawsuit. In the course of the
proceedings, Atty. DD discovered that Mr. BB
was an agnostic and a homosexual. By reason
thereof, Atty. DD filed a motion to withdraw as
counsel without Mr. BB9s express consent. Is Atty.
DD9s motion legally tenable? Reason briefly
(2004 BAR)
A: NO. Atty. DD9s motion is not legally tenable as he
has no valid cause to terminate his services. His
client, Mr. BB, being an agnostic and homosexual,
`
64
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
should not be deprived of his
representation solely for that reason.
the province and of good repute for probity and
ability, in localities without lawyers. (Sec. 7, Rule 116,
Rules of Court)
counsel9s
Q: A is accused of robbery in a complaint filed by
B. A sought free legal assistance from the Public
Attorney9s Office (PAO) and Atty. C was assigned
to handle his case. After reviewing the facts as
stated in the complaint and as narrated by A,
Atty. C is convinced that A is guilty. May Atty. C
refuse to handle the defense of A and ask to be
relieved? Explain fully. (2014 BAR)
Considerations in appointing a Counsel de
Officio
The following matters should be considered in the
appointment of a counsel de officio:
1. gravity of offense
2. difficulty of questions that may arise; and,
3. experience and ability of appointee
A: NO. Rule 14.01 of the CPR provides that a lawyer
shall not decline to represent a person solely on
account of his own opinion regarding the guilt of the
said person. It is not the duty of the lawyer to
determine whether the accused is guilty or not, but
the judge9s. Besides, in a criminal case, the accused
is presumed innocent, and he is entitled to an
acquittal unless his guilt is proven beyond
reasonable doubt. The role of the lawyer is to see to
it that his constitutional right to due process is
observed.
Q: A criminal complaint was filed against
Bermas for rape. The Prosecutor issued a
certification that the accused has waived his
right to preliminary investigation. On
arraignment, the accused was brought before
the trial court without counsel. The Court
assigned a different counsel de officio to the case
for four times. Each counsel failed to appear
before the court. Despite the said events, the
lower court convicted the accused of death
penalty for the violation of the crime of rape.
The defense counsel claimed that the accused
was deprived of due process. Is he correct?
SERVICES AS COUNSEL DE OFFICIO
RULE 14.02, CANON 14
A lawyer shall not decline, except for serious
and sufficient cause, an appointment as
counsel de officio or as amicus curiae, or a
request from the Integrated Bar of the
Philippines or any of its chapters for rendition
of free legal aid.
A: YES. The right to counsel must be more than just
the presence of a lawyer in the courtroom or the
mere propounding of standard questions and
objections. The right to counsel means that the
accused is amply accorded legal assistance
extended by a counsel who commits himself to the
cause for the defense and acts accordingly. The right
assumes an active involvement by the lawyer in the
proceedings, particularly at the trial of the case, his
bearing constantly in mind of the basic rights of the
accused, his being well-versed on the case, and his
knowing the fundamental procedures, essential
laws and existing jurisprudence.
A court may assign an attorney to render
professional aid free of charge to any party in case,
if upon investigation it appears that the party is
destitute and unable to employ an attorney and that
the services of counsel are necessary to secure the
ends of justice and to protect the rights of the party.
It shall be the duty of the attorney so assigned to
render the required service, unless he is excused
therefrom by the court for sufficient cause shown.
(Sec. 31, Rule 138, Rules of Court, as amended)
It is never enough that accused be simply informed
of his right to counsel; he should also be asked
whether he wants to avail himself of one and should
be told that he can hire a counsel of his own choice
if he so desires or that one can be provided to him at
his request.
Counsel de Officio
A counsel de officio must be (a) a member of the bar
in good standing; and, (b) any person, resident of
A counsel de officio must take the case not as a
65
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
NOTE: A lawyer may refuse to handle cases due to
these valid reasons. However, Rule 2.02 requires
him to give advice on preliminary steps if he is asked
until the client secures the services of counsel. He
shall refrain from giving this preliminary advice if
there is conflict of interest between a present client
and a prospective one for extending such legal advice
will create and establish an attorney-client
relationship between them and may involve a
violation of the rule prohibiting a lawyer from
representing conflicting interest.
burden but as an opportunity to assist in the proper
dispensation of justice. No lawyer is to be excused
from this responsibility except only for the most
compelling and cogent reasons.
Obviously, in the instant case, the aforenamed
defense lawyers did not protect, much less uphold,
the fundamental rights of the accused. Instead, they
haphazardly performed their function as counsel de
officio to the detriment and prejudice of the accused
Sevilleno, however guilty he might have been found
to be after trial. (People v. Bermas, G.R. No. 120420,
21 Apr. 1999)
Q: Judge Climaco issued an order denying Atty.
Ledesma9s motion to withdraw as counsel de
officio. One of the grounds for such a motion was
his allegation that with his appointment as
Election Registrar by the COMELEC, he was not
in a position to devote full time to the defense of
the two accused. The denial by the Judge of such
plea, notwithstanding the conformity of the
defendants, was due to <its principal effect of
delaying the case." Is the denial of Judge Climaco
correct?
VALID GROUNDS FOR REFUSAL TO SERVE
RULE 14.03, CANON 14
A lawyer may not refuse to accept
representation of an indigent client unless:
a.
He is in no position to carry out the
work effectively or competently;
b.
He labors under a conflict of interest
between him and the prospective
client or between a present client and
a prospective client.
A: YES. The reluctance of Ledesma to comply with
his responsibilities as counsel de officio is not an
adequate ground for the motion of withdrawal.
Membership in the bar is a privilege burdened with
a condition. For some lawyers especially the
neophytes in the profession being appointed as a
lawyer is an irksome chore.
Grounds of Refusal of Appointment to be a
Counsel de Oficio
A lawyer may refuse to accept the appointment of
being a counsel de officio on the following grounds:
1.
2.
3.
4.
5.
6.
7.
Law is a profession dedicated to the ideal of service
and not a mere trade. Thus, is made manifest the
indispensable role of a member of the Bar in the
defense of an accused.
There are too many de officio cases assigned to
the lawyer. (People v. Daeng, G.R. No. L-34091,
30 Jan. 1973).
There exists a conflict of interest. (Rule 14.03,
CPR)
The lawyer is not in a position to carry out the
work effectively or competently. (supra)
The lawyer is prohibited from practicing law by
reason of his public office which prohibits
appearances in court.
The lawyer is preoccupied with too many cases
which will spell prejudice to the new clients.
The lawyer provides health-related reasons.
There is an extensive travel abroad.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Such a consideration could have sufficed for
Ledesma not being allowed to withdraw as counsel
de officio. For he did betray by his moves his lack of
enthusiasm for the task entrusted to him, to put
matters mildly. He did point though to his
responsibility as an election registrar. Assuming his
good faith, no such excuse could be availed. There is
not likely at present, and in the immediate future, an
exorbitant demand on his time. (Ledesma v. Climaco,
G.R. No. L-23815, 28 June 1974)
`
66
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Q: May a lawyer decline a request for free legal
aid to an indigent accused made by a chapter of
the IBP? Explain. (2002 BAR)
granted or that they will be granted the length of
time they prayed for.
Further, regardless of the agreement Atty. Dajoyag,
Jr. had with Ramos with respect to the payment of
his fees, Atty. Dajoyag, Jr. owed it to Ramos to do his
utmost to ensure that every remedy allowed by law
is availed of.
A: NO. Rule 14.02 of the CPR provides that <a lawyer
shall not decline, except for serious and sufficient
cause, an appointment as counsel de officio or as
amicus curiae or a request from the IBP or any of its
chapter for rendition of free legal aid.= He may,
decline such appointment only for <serious and
sufficient cause.=
Rule 14.04 of the CPR enjoins every lawyer to
devote his full attention, diligence, skills, and
competence to every case that he accepts. Pressure
and large volume of legal work do not excuse Atty.
Dajoyag, Jr. for filing the petition for certiorari out of
time. (Ramos v. Dajoyag, Jr., A.C. No. 5174, 28 Feb.
2002)
Q: Will your answer be different if the legal aid
is requested in a civil case? (2002 BAR)
A: The answer will not be exactly the same, because
in a civil case, the lawyer can also decline if he
believes the action or defense to be unmeritorious.
He is ethically bound to maintain only actions and
proceedings which appear to him to be just and only
such defenses which he believes to be honestly
debatable under the law.
NOTE: The fact that his services are rendered
without remuneration should not occasion a
diminution in his zeal. (Ledesma v. Climaco, G.R. No.
L-23815, 28 June 1974)
RULE 14.04, CANON 14
A lawyer who accepts the cause of a person
unable to pay his professional fees shall
observe the same standard of conduct
governing his relations with paying clients.
(2008 BAR)
Q: Atty. Mariano Dajoyag, Jr. is Ernesto Ramos9
counsel. He failed to perfect their appeal before
the Supreme Court. He filed the petition for
certiorari within the 20-day period of extension
that he sought in his 2nd motion for extension.
He learned that the period of extension granted
in his 1st motion for extension was inextendible
only after the expiration of the two (2) periods
of extension that he prayed for.
A complaint for negligence and malpractice was
filed against him, to which he pleaded good faith
and excusable neglect of duty. Is Atty. Dajoyag Jr.
guilty of neglect of duty?
A: YES. Motions for extension are not granted as a
matter of right but in the sound discretion of the
court, and lawyers should never presume that their
motions for extension or postponement will be
67
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
CANDOR, FAIRNESS, AND LOYALTY TO CLIENTS
control and is a task that a lawyer undertakes. The
preparation and the filing of the answer is a matter
of procedure that fell fully within the exclusive
control and responsibility of the lawyer. It was
incumbent upon him to execute all acts and
procedures necessary and incidental to the
advancement of his client9s cause of action.
CANON 15
A lawyer shall observe candor, fairness and
loyalty in all his dealings and transactions
with his clients
A lawyer owes absolute fidelity to the cause of his
client. He owes his client full devotion to his interest,
warm zeal in the maintenance and defense of his
rights.
Records further disclose that he omitted to update
himself of the progress of his client9s case with the
trial court, and neither did he resort to available
legal remedies that might have protected his client9s
interest. Although a lawyer has complete discretion
on what legal strategy to employ in a case entrusted
to him, he must present every remedy or defense
within the authority of law to support his client9s
interest. When a lawyer agrees to take up a client9s
cause, he covenants that he will exercise due
diligence in protecting the latter9s rights.
It demands of an attorney an undivided allegiance, a
conspicuous and high degree of good faith,
disinterestedness, candor, fairness, loyalty, fidelity
and absolute integrity in all his dealings and
transactions with his clients and an utter
renunciation of every personal advantage
conflicting in any way, directly or indirectly, with
the interest of his client. (Oparel Sr. v. Abaria, A.C. No.
959, 30 July 1971)
Evidently, the acts of the Atty. Sempio plainly
demonstrated his lack of candor, fairness, and
loyalty to his client as embodied in Canon 15 of the
Code. A lawyer who performs his duty with
diligence and candor not only protects the interest
of his client; he also serves the ends of justice, does
honor to the bar, and maintains the respect of the
community to the legal profession. (Baens v. Sempio,
A.C. No. 10378, 09 June 2014)
If they find that their client9s cause is defenseless,
then it is their bounden duty to advise the latter to
acquiesce and submit rather than to traverse the
incontrovertible. (Rollon v. Atty. Naraval, A.C. No.
6424, 04 Mar. 2005)
Q: Baens engaged the services of Atty. Sempio to
file a case for Declaration of Nullity of Marriage
Confidentiality Rule
legal expenses, Atty. Sempio failed to file the
petition, and it was Baens9 wife who filed the
same. Atty. Sempio filed an Answer only after
the 15-day period stated in the Summons. Atty.
Sempio also failed to make an objection on the
petition on the ground of improper venue as
neither Baens nor his wife were and are
residents of Dasmariñas, Cavite. He never
bothered to check the status of the case and thus
failed to discover and attend all the hearings set
for the case.
It means the relation between lawyer and client or
guardian and ward, or between spouses, with
regard to the trust that is placed in the one by the
other. (Black9s Law Dictionary 7th Edition 1990,
2004)
A lawyer shall preserve the confidences and secrets
of his client even after the attorney-client relation is
terminated. (Canon 21, CPR)
It is one of the duties of a lawyer, as provided for in
the Rules of Court, to maintain inviolate the
confidence, and at every peril to himself, to preserve
the secrets of his client. (Sec. 20(e), Rule 138, Rules
of Court, as amended)
As a result, the civil case was decided without
Baens being able to present his evidence. Did
Atty. Sempio violate the CPR?
A: YES. In the first place, securing a copy of such
notices, orders and case records was within his
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
68
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Requisites of Privileged Communication
PRIVILEGED COMMUNICATIONS
A privileged communication is one that refers to
information transmitted by voluntary act of
disclosure between attorney and client in
confidence and by means of which, in so far as the
client is aware, discloses the information to no third
person other than one reasonably necessary for the
transmission of the information or the
accomplishment of the purpose for which it was
given. (Mercado v. Vitriolo, A.C. No. 5108, 26 May
2005)
For the privileged communication to be
appreciated, the following requisites must be
present:
1.
2.
3.
RULE 15.02, CANON 15
A lawyer shall be bound by the rule on
privilege communication in respect of matters
disclosed to him by a prospective client. (2008
BAR)
There is attorney-client relationship or a kind of
consultancy requirement with a prospective
client.
The communication was made by the client to
the lawyer in the course of the lawyer9s
professional employment.
The communication must be intended to be
confidential.
NOTE: The party who avers that the communication
is privileged has the burden of proof to establish the
existence of the privilege unless from the face of the
document itself, it clearly appears that it is
privileged. The mere allegation that the matter is
privileged is not sufficient. (Lapeña Jr., 2009; People
v. Sleeper, G.R. No. 22783, 03 Dec. 1924)
Two-fold Purpose of the Rule
The purpose of this Rule is:
1. to encourage a client to make a full disclosure of
the facts of the case to his counsel without fear,
and,
2. to allow the lawyer freedom to obtain full
information from his client. (Pineda, 2009)
Client Identity
Client identity is privileged where a strong
probability exists that revealing the client9s name
would implicate that client in the very activity for
which he sought the lawyer9s advice. (Regala v.
Sandiganbayan, G.R. No. 105938, 20 Sept. 1996)
Disclosure of a Prospective Client
The foregoing disqualification rule applies to
prospective clients of a lawyer. Matters disclosed by
a prospective client to a lawyer are protected by the
rule on privileged communication even if the
prospective client does not thereafter retain the
lawyer or the latter declines the employment. It
covers crimes and offenses already committed by
the client. (Mercado v. Vitriolo, A.C. No. 5108, 26 May
2005)
Characteristics of Privileged Communication
1.
2.
3.
4.
REASON: To make the prospective client free to
discuss whatever he wishes with the lawyer without
fear that what he tells the lawyer will be divulged or
used against him, and for the lawyer to be equally
free to obtain information from the prospective
client. (Mercado v. Vitriolo, A.C. No. 5108, 26 May
2005)
5.
6.
69
Attorney-client privilege where legal advice is
professionally sought from an attorney.
The client must intend the above
communication to be confidential.
Attorney-client privilege embraces all forms of
communication and action.
As a general rule, attorney-client privilege also
extends
to
the
attorney9s
secretary,
stenographer, clerk or agent with reference to
any fact acquired in such capacity.
The
above
duty
is
perpetual
and
communication is absolutely privileged from
disclosure.
Persons entitled to claim privileges
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Coverage of the Attorney-Client Privilege
6.
7.
The attorney-client privilege covers the following:
1.
2.
3.
NOTE: Even if the communication is unprivileged,
the rule of ethics prohibits lawyers from voluntarily
revealing or using to his benefit or to that of a third
person, to the disadvantage of the client, the said
communication unless the client consents thereto.
(Sec. 3, Rule 138-A, Rules of Court, as amended)
Lawyer or persons reasonably believed to be
licensed to practice law;
Client; and
Third persons who by reason of their work have
acquired information about the case being
handled such as:
a. Attorney9s secretary, stenographer, and
clerk;
b. Interpreter, messengers and agents
transmitting communication, or others
assisting the attorney; and
c. An accountant, scientist, physician,
engineer who has been hired for effective
consultation. (Sec. 24(b), Rule 130, Rules of
Court, in relation to the Amendments to
Rules of Evidence, A.M. 19-08-15-SC)
Q: Atty. Vitriolo represented Rose Mercado in an
annulment case filed by her husband.
Thereafter, a criminal action against her was
filed by the former for falsification of public
document. According to Atty. Vitriolo, she
indicated in the Certificates of Live Birth of her
children that she is married to a certain
Ferdinand Fernandez, and that their marriage
was solemnized on April 11, 1979, when in truth,
she is legally married to Ruben Mercado and
their marriage took place on April 11, 1978.
Mercado claims that the criminal complaint
disclosed confidential facts and information
relating to the civil case for annulment handled
by Vitriolo as her counsel. Did Atty. Julito
Vitriolo violate the rule on privileged
communication between attorney and client?
Duration of Privileged ommunication
The privilege continues to exist even after the
termination of the attorney-client relationship.
(Mercado v. Vitriolo, A.C. No. 5108, 26 May 2005)
NOTE: The
privilege character of the
communication ceases only when waived by the
client himself or after his death, by his heir or legal
representative. (Lapeña Jr., 2009)
Instances
Privileged
when
Communication
is
A: NO. The evidence on record fails to substantiate
Mercado9s allegations. She did not specify the
alleged communication in confidence disclosed by
Atty. Vitriolo. All of Mercado9s claims were couched
in general terms and lacked specificity. Without any
testimony from Mercado as to the specific
confidential information allegedly divulged by Atty.
Vitriolo without her consent, it is difficult, if not
impossible to determine if there was any violation
of the rule on privileged communication. It is not
enough to merely assert the attorney-client
privilege. The burden of proving that the privilege
applies is placed upon the party asserting the
privilege. (Mercado v. Vitrilio, A.C. No. 5108, 26 May
2005)
not
A communication made by a client to a lawyer is not
privileged in the following instances:
1.
2.
3.
4.
5.
after pleading has been filed because such
becomes part of public records;
when communication was intended by the
client to be sent to a third person through his
counsel;
when the communication sought by client is
intended to aid future crime or perpetration of
fraud;
when communication between attorney and
client is heard by a third party;
when there is consent or waiver of the client;
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
when the law requires disclosure; and,
when disclosure is made to protect the lawyer9s
rights.
Q: Atty. Serafin Roto is the Corporate Secretary
of a construction corporation that has secured a
multi-million infrastructure project from the
government. In the course of his duties as
`
70
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
corporate secretary, he learned from the
company president that the corporation had
resorted to bribery to secure the project and had
falsified records to cut implementing costs after
the award of the project. The government filed a
civil action to annul the infrastructure contract
and has subpoenaed Atty. Roto to testify against
the company president and the corporation
regarding the bribery. Atty. Roto moved to
quash the subpoena, asserting that lawyerclient privilege prevents him from testifying
against the president and the corporation.
Resolve the motion to quash. (2013 BAR)
would come from the chain of testimony
necessary to convict him. (Regala v.
Sandiganbayan, G.R. No. 105938, 20 Sept. 1996)
Reasons why a Lawyer may not invoke
Privileged Communication to refuse revealing a
Client9s Identity
1.
2.
3.
A: The motion to quash should be granted. While it
is true that being a corporate secretary does not
necessarily constitute a lawyer-client relation, Atty.
Roto may nevertheless be considered in the practice
of law if part of his duties as a corporate secretary is
to give legal advice to or prepare legal documents
for the corporation. Thus, it is his duty as an
attorney <to maintain inviolate the confidence, and
at every peril to himself, to preserve the secrets of
his client. (Rule 138, Sec. 20(e), Rules of Court, as
amended)
4.
CONFLICT OF INTEREST
RULE 15.01, CANON 15
A lawyer, in conferring with a prospective
client, shall ascertain as soon as practicable
whether the matter would involve a conflict
with another client or his own interest, and if
so, shall forthwith inform the prospective
client.
Privileged Communication Rule, as to the client9s
identity
GR: A lawyer may not invoke privileged
communication to refuse revealing a client9s
identity. (Regala v. Sandiganbayan, G.R. No. 105938,
20 Sept. 1996)
RULE 15.02, CANON 15
A lawyer shall be bound by the rule on
privileged communication in respect of
matters disclosed to him by a prospective
client.
XPNs:
A lawyer, however, may invoke privileged
communication even if such would reveal his
client9s identity under the following circumstances:
1.
2.
3.
Due process considerations require that the
opposing party should know their adversary;
the privilege pertains to the subject matter of
the relationship;
the privilege begins to exist only after attorneyclient relationship has been established hence,
it does not attach until there is a client; and,
the court has a right to know that the client
whose privileged information is sought to be
protected is flesh and blood. (Regala v.
Sandiganbayan, G.R. No. 105938, 20 Sept. 1996)
Purpose of <Conflict Search=
By conducting a conflict search, the lawyer will be
able to determine, in the first instance, if he is barred
from accepting the representation through conflicts
with his present clients or the lawyer9s own interest.
(CPR Annotated, PhilJA)
when there is a strong possibility that revealing
the client9s name would implicate the client in
the activity for which he sought the lawyer9s
advice;
when disclosure would open the client to civil
liability; or,
when the government9s lawyers have no case
against an attorney9s client and revealing the
client9s name would furnish the only link that
71
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Three (3) Tests to determine Existence of
Conflict of Interest
connection.
2. Sequential or successive representation. It
usually involves representation by a law firm of
a present client who may have an interest
adverse to a prior or former client of the firm.
(CPR Annotated, PhilJA)
1. Conflicting Duties. When, on behalf of one
client, it is the attorney9s duty to contest for that
which his duty to another client requires him to
oppose or when possibility of such situation
will develop.
NOTE: What is material in determining whether
there is a conflict of interest in the representation is
probability, not certainty of conflict.
2. Invitation of Suspicion. Whether the
acceptance of the new relation will prevent a
lawyer from the full discharge of his duty of
undivided fidelity and loyalty to his client or
will invite suspicion of unfaithfulness or
double-dealing in the performance thereof.
(See discussion on disqualification or limitation of
public officials in practicing law, congruent-interest
representation conflict and adverse-interest conflict
3 pages 26-27)
3. Use of Prior Knowledge. Whether a lawyer
will be called upon in his new relation to use
against the first client any knowledge acquired
in the previous employment.
There is no conflict of interest in a situation where a
lawyer represents his present client against his
former client, so long as no confidential information
acquired during the previous employment was used
against the former client by the lawyer. The
prohibition does not cover a situation where the
subject matter of the present engagement is totally
unrelated to the previous engagement of the
attorney. Moreover, a mere allegation of the
professional misconduct would not suffice to
establish the charge, because accusation is not
synonymous with guilt. (Seares, Jr. v. Atty. GonzalesAlzate, A.C. No. 9058, 14 Nov. 2012)
Types of Conflict of Interest
1. Concurrent or multiple representations. It
generally occurs when a lawyer represents
clients whose objectives are adverse to each
other, no matter how slight or remote such
adverse interest may be.
The tests for concurrent
representations are:
or
multiple
Illustration (Existence of Conflict of Interest):
a.
b.
c.
d.
whether a lawyer is duty-bound to fight for
an issue or claim in behalf of one client and,
at the same time, to oppose that claim for
the other client;
whether the acceptance of a new relation
would prevent the full discharge of the
lawyer9s duty of undivided fidelity or
loyalty to the client;
whether the acceptance of new relation
would invite suspicion of unfaithfulness or
double-dealing in the performance of the
lawyer9s duty of undivided fidelity and
loyalty; and,
whether, in the acceptance of a new
relation, the lawyer would be called upon to
use against a client confidential
information acquired through their
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
1.
A v. B
A and B are present clients.
2.
C v. D; E v. D
C is the present client and D is not a present
client in the same case but is a present client in
another case.
3.
F v. G; H v. G
F is the present client and G was a former client
and the cases are related.
4.
I v. J; K v. J
I is the present client and J was a former client
in a case that is unrelated.
`
72
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
5.
L, M, N v. O, P, Q
L, M, N are present clients but L and M joins O,
P, Q. (People v. Davis)
counsel-of-record of the adverse party. He does not
have to publicly hold himself as the counsel of the
adverse party, nor make his efforts to advance the
adverse party's conflicting interests of record4
although these circumstances are the most obvious
and satisfactory proof of the charge. It is enough that
the counsel of one party had a hand in the
preparation of the pleading of the other party,
claiming adverse and conflicting interests with that
of his original client. To require that he also be
counsel-of-record of the adverse party would
punish only the most obvious form of deceit and
reward, with impunity, the highest form of
disloyalty. (Artueza v. Atty. Maderazo, A.C. No. 4354,
22 Apr. 22, 2002)
Other Instances of Conflict of Interest
1.
2.
3.
4.
5.
6.
A corporate lawyer cannot join a labor union of
employees in that corporation.
A lawyer of an insurance corporation who
investigated an accident cannot represent the
complainant/injured person.
As a receiver of a corporation, he cannot
represent the creditor.
As a representative of the obligor, he cannot
represent the obligee.
As a lawyer representing a party in a
compromise
agreement,
he
cannot,
subsequently, be a lawyer representing another
client who seeks to nullify the agreement.
A lawyer of a lawfirm cannot represent an
opposing party of a former client of another
lawyer of the same lawfirm. (Anglo v. Atty.
Valencia et. al, A.C. No. 10567, 25 Feb. 2015,)
Q: BPI and LSDC had a Joint Venture Agreement.
LSDC misrepresented itself to have ownership
over the lots sold and failed to deliver the title to
the buyers. Atty. Deloria represented Menguito,
the President of LSDC, in a criminal case for
estafa filed by Spouses Corazon and Roberto
Flores. Correspondingly, he filed a complaint for
delivery of title against BPI on behalf of Corazon
Flores before the HLURB. Should Atty. Deloria be
administratively liable?
Law firms must organize and implement a
system to keep track of all cases assigned to its
handling lawyers.
A: YES. Atty. Deloria violated Rules 15.01 and 15.03
of Canon 15 when he simultaneously represented
Menguito and Corazon despite their conflicting
interests, considering that Corazon's estafa case
against Menguito was premised on the latter's and
LSDC's alleged misrepresentation of ownership
over the lots sold and LSDC's eventual failure to
deliver the title.
It ensures that every engagement it accepts stands
clear of any potential conflict of interest. As an
organization of individual lawyers which, engaged
collectively, assigns legal work to a corresponding
handling lawyer, it behooves the law firm to value
coordination in deference to the conflict-of-interest
rule.
Thus, Atty. Deloria's simultaneous representation of
Menguito and Corazon sans their written consent
after a full disclosure of the facts, violated the rules
on conflict of interest. (Buena Vista Properties v.
Atty. Deloria, A.C. No. 12160, 14 Aug. 2018)
Lack of coordination would render its clients9
secrets vulnerable to undue and even adverse
exposure, eroding in the balance the lawyer-client
relationship9s primordial ideal of unimpaired trust
and confidence. (Anglo v. Atty. Valencia et. al, A.C. No.
10567, 25 Feb. 2015)
Q: Mr. X engaged the services of Atty. Y regarding
his brother9s indebtedness to Caesar9s Palace, a
casino in Las Vegas. His services were
It appeared
that the debt was incurred by Ramon Sy, with Mr.
X's brother merely signing for the chits. Atty. Y
was able to free Mr. X's brother from his
Being a counsel-of-record of the other party is
not a requisite to be guilty of representing
conflicting interests.
To be guilty of representing conflicting interests, a
counsel-of-record of one party need not also be
73
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Q: Six months ago, Atty. Z was consulted by A,
about a four-door apartment in Manila left by
her deceased parents. A complained that her
two siblings, B and C, who were occupying two
units of the apartment, were collecting the
rentals from the other two units and refuses to
give her any part thereof. Atty. Z advised A to
first seek the intervention of her relatives and
told her that if this failed, he would take legal
action as A asked him to do. B asks Atty. Z to
defend him in a suit brought by A against him (B)
and C through another counsel. Should Atty. Z
accept the case? (2002 BAR)
indebtedness. Having thus settled the account of
Mr. X's brother, Atty. Y sent several demand
letters to Mr. X demanding the balance of
pay and claimed, that at the time Atty. Y was
rendering his services to Mr. X, he was actually
working "in the interest" and "to the advantage"
of Caesar's Palace of which he was an agent and
a consultant. This being the case, Atty. Y is not
justified in claiming that he rendered legal
services to Mr. X in view of the conflicting
interests involved. Did Atty. Y violate the
conflict-of-interest rule?
A: NO. When A consulted him about her complaint
against B and C, a lawyer-client relationship was
created between A and Atty. Z. Atty. Z cannot
subsequently represent B against A in a matter he
was priorly consulted about. This constitutes
conflict of interest. It does not matter if Atty. Z is not
handling the case for A.
A: NO. Generally, an attorney is prohibited from
representing parties with contending positions.
However, at a certain stage of the controversy
before it reaches the court, a lawyer may represent
conflicting interests with the consent of the parties.
A common representation may work to the
advantage of said parties since a mutual lawyer,
with honest motivations and impartially cognizant
of the parties' disparate positions, may be better
situated to work out an acceptable settlement of
their differences, being free of partisan inclinations
and acting with the cooperation and confidence of
said parties.
Q: Should Atty. Z tell B that A consulted him
earlier about the same case? Why? (2002 BAR)
A: YES. Rule 21.07 of the CPR provides that "a
lawyer shall not reveal that he has been consulted
about a particular case except to avoid possible
conflict of interest.= In this case, owing to the
conflict of interest that might arise, Atty. Z has to
inform B that he had been consulted by A regarding
the very same issue that B was offering to retain his
services for. Atty. Z should not accept to represent B
in the said case.
A lawyer is entitled to have and receive the just and
reasonable compensation for services rendered at
the special instance and request of his client and as
long as he is honestly and in good faith trying to
serve and represent the interests of his client, the
latter is bound to pay his just fees. (Dee v. Court of
Appeals, G.R. No. 77439, 24 Aug. 1989)
RULE 15.03, CANON 15
A lawyer shall not represent conflicting
interests except by written consent of all
concerned given after a full disclosure of the
facts.
Rule when the Lawyer of the Corporation and
the Board of Directors of such Corporation is the
same
The interest of the corporate client is paramount
and should not be influenced by any interest of the
individual corporate officials. A lawyer engaged as
counsel for a corporation cannot represent
members of the same corporation's Board of
Directors in a derivative suit brought against them.
To do so would be tantamount to representing
conflicting interests which is prohibited by the CPR.
(Hornilla v. Atty. Salunat, A.C. No. 5804, 01 July 2003)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
GR: An attorney cannot represent diverse interests.
It is highly improper to represent both sides of an
issue. The proscription against representation of
conflicting interest finds application where the
conflicting interest arise with respect to the same
general matter and is applicable however slight
such adverse interest may be. It applies although the
attorney9s intention and motives were honest, and
`
74
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Effects of representing Adverse Interests
(Di-Ju-F-AC)
he acted in good faith.
XPN: Representation of conflicting interest may be
allowed where the parties consent to the
representation after full disclosure of facts. (Nakpil
v. Valdez, A.C. No. 2040, 04 Mar. 1998; Orola v. Atty.
Ramos, A.C. No. 9860; 11 Sept. 2013)
Representing adverse interests would produce the
following effects:
1.
NOTE: A lawyer may at a certain stage of the
controversy and before it reaches the court
represent conflicting interests with the express
written consent of all parties concerned given after
disclosure of the facts (Rule 15.03, CPR; Canon 6,
CPR). The disclosure should include an explanation
of the effects of the dual representation, such as the
possible revelation or use of confidential
information. (Nakpil v. Valdez, A.C. No. 2040, 04 Mar.,
1998; Orola v. Atty. Ramos, A.C. No. 9860; 11 Sept.
2013)
2.
3.
4.
An attorney owes loyalty to his client not only in
cases in which he has represented him but also even
after the attorney-client relationship has been
terminated. (Sumangil v. Romana, G.R. No. 25, 25 Oct.
1949)
Q: Huey Company and Dewey Corporation are
both retainer clients of Atty. Anama. He is the
corporate secretary of Huey Company.
Subsequently, he represents Dewey Corporation
in three pending litigation cases. Dewey
Corporation wants to file a civil case against
Huey Company and has requested Atty. Anama
to handle the case. What are the options
available to Atty. Anama? Explain your answer.
The termination of attorney-client relationship
provides no justification for a lawyer to represent
an interest adverse to or in conflict with that of the
former client. The client's confidence once reposed
should not be divested by mere expiration of
professional employment. (Anglo v. Atty. Valencia et.
al, A.C. No. 10567, 25 Feb. 2015)
A:
Instances when Lawyers cannot represent
Conflicting Interest even if the Consent of both
Clients were secured
Lawyers cannot represent conflicting interest
despite securing the consent of both clients in cases
where the conflict is:
1.
2.
Disqualification as counsel of new client on
petition of former client;
where such is unknown to, and becomes
prejudicial to the interests of the new client, a
Judgment against such may, on that ground, be
set aside;
the attorney9s right to Fees may be defeated if
found to be related to such conflict and such
was objected to by the former client, or if there
was a concealment and prejudice by reason of
the
attorney9s
previous
professional
relationship with the opposite party; and,
a lawyer can be held Administratively liable
through disciplinary action and may be held
Criminally liable for betrayal of trust.
between the attorney9s interest and that of a
client; or,
between a private client9s interests and that of
the government or any of its instrumentalities.
75
The options available to Atty. Anama are:
1.
to decline the case because to do so will
constitute
representing
conflicting
interests. It is unethical for a lawyer to
represent a client in a case against another
client in the same case; or,
2.
to accept to file the case against Huey
Company, after full disclosure to both
retained clients and upon their express and
written consent. The written consent may
free him from the charge of representing
conflicting interests because written
consent amounts to a release by the clients
of the lawyer9s obligation not to represent
conflicting interests.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Q: If you were Atty. Anama, which option would
you take? Explain.
former client on behalf of a new one. (Santos
Ventura Hocorma Foundation, Inc. v. Atty. Funk. A.C.
No. 9094, 15 Aug. 2012)
A: If I were Atty. Anama, I will choose the first option
and inhibit myself in accepting the case as both
entities are my clients. The conflict of interest
between the contending clients may reach such a
point that, notwithstanding their consent to the
common representation, the lawyer may be
suspected of disloyalty by one of the clients. His
continuing to act in a double capacity strikes deeply
in the foundation of the attorney-client relationship.
Q: R is a retained counsel of ABC Bank-Ermita
Branch. One day, his Balikbayan compadre B,
consulted him about his unclaimed deposits
with the said branch of ABC Bank, which the
bank had refused to give to him claiming that the
account had become dormant. R agreed to file a
case against the bank with the Regional Trial
Court (RTC) of Manila. B lost the case, but upon
the advice of R, he no longer appealed the
decision. B later discovered that R was the
retained counsel of ABC Bank-Ermita Branch.
Does B have any remedy? Discuss the legal and
ethical implications of the problem. (2014 BAR)
Q: Hocorma Foundation filed a complaint for
disbarment against Atty. Funk who used to work
as corporate secretary, counsel, chief executive
officer, and trustee of the foundation. He also
served as its counsel in several criminal and civil
cases. Complainant alleged that Atty. Funk filed
an action for quieting of title and damages
against Hocorma on behalf of Mabalacat
Institute using information he acquired while
working with the foundation. As a defense, Atty.
Funk contended that he was hired by Don Santos
to serve as director and legal counsel. He
emphasized that, in all these, the attorney-client
relationship was always between Santos and
him. He was more of Santos9 personal lawyer
than that as lawyer of Hocorma Foundation. Did
Atty. Funk betray the trust and confidence of a
former client?
A: Atty. R clearly violated the rule against
representing conflicting interests (Rule 15.03, CPR).
B may file an action to set aside the judgment on the
theory that if a lawyer is disqualified from
appearing as counsel for a party on account of
conflict of interests, he is presumed to have
improperly and prejudicially advised and
represented the party in the conduct of the litigation
from beginning to end. He may also file an action for
damages against Atty. R, aside from an
administrative complaint due to his misconduct.
Q: Mabini Colleges, Inc. (complainant), had a
Board of Trustees which was divided into two
opposing factions (Adeva Group and Lukban
Group). The Adeva Group issued an
unnumbered
Board
Resolution
which
authorized its members to apply for a loan with
the Rural Bank of Paracale (RBP) in favor of the
complainant. The Lukban Group opposed this.
However, Atty. Pajarillo (respondent), acting as
complainant9s corporate secretary, sent a letter
to RBP to assure them of complainant's financial
capacity to pay the loan. RBP eventually granted
the loan application which was secured by a Real
Estate Mortgage over the properties of the
complainant.
A: YES. An attorney owes his client undivided
allegiance. An attorney may not, without being
guilty of professional misconduct, act as counsel for
a person whose interest conflicts with that of his
present or former client.
This rule is so absolute that good faith and honest
intention on the erring lawyer9s part does not make
it inoperative. The primordial reason for this is that
a lawyer acquires knowledge of his former client9s
doings, whether documented or not, that he would
ordinarily not have acquired were it not for the trust
and confidence that his client placed on him in the
light of their relationship. It would simply be
impossible for the lawyer to identify and erase such
entrusted knowledge with faultless precision or
lock the same into an iron box when suing the
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Three (3) years after, RBP moved to foreclose
the Real Estate Mortgage. Complainant filed a
complaint for Annulment of Mortgage with a
`
76
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Prayer for Preliminary Injunction against RBP.
Respondent entered his appearance as counsel
for RBP. Is Atty. Pajarillo guilty of representing
conflicting interests when he entered his
appearance as counsel for RBP?
the same case. His previous appearances for and in
behalf of the Heirs of Antonio would constitute
representing conflicting interest even if was only a
friendly accommodation.
His contention cannot be given any credence since
the rule holds that even if the inconsistency is
remote or merely probable or even if the lawyer has
acted in good faith and with no intention to
represent conflicting interests, he shall be held
liable. Neither can his asseveration that his
engagement by Emilio was more of a mediator than
a litigator and for the purpose of forging a
settlement among the family members render the
rule inoperative.
A: YES. Indeed, respondent represented conflicting
interests in violation of Canon 15, Rule 15.03 of the
CPR which provides that <a lawyer shall not
represent conflicting interests except by written
consent of all concerned given after a full disclosure
of the facts.=
Clearly, complainant was respondent's former
client. However, respondent now appears as
counsel of RBP in a case filed by his former client
against the latter. This makes respondent guilty of
representing conflicting interests since respondent
failed to show any written consent of all concerned
(particularly the complainant) given after a full
disclosure of the facts representing conflicting
interests. (Mabini Colleges, Inc. v. Atty. Pajarillo, A.C.
No. 10687, 22 July 2015)
In fact, Rule 15.04, Canon 15 of the Code similarly
requires the lawyer to obtain the written consent of
all concerned before he may act as mediator,
conciliator or arbitrator in settling disputes. Atty.
Ramos was remiss in his duty to make a full
disclosure of his impending engagement as Emilio9s
counsel to all the Heirs of Antonio and equally
secure their express written consent before
consummating the same. Besides, it must be pointed
out that a lawyer who acts as such in settling a
dispute cannot represent any of the parties to it.
(Orola v. Atty. Ramos, A.C. No. 9860; 11 Sept. 2013)
RULE 15.04, CANON 15
A lawyer may, with the written consent of all
concerned, act as mediator, conciliator or
arbitrator in setting the disputes.
CANDID AND HONEST ADVICE TO CLIENTS
Q: Atty. Ramos was a collaborating counsel for
Heirs of Antonio Orola in seeking the removal of
Emilio as administrator. Subsequently, he
entered his appearance as collaborating counsel
for Emilio to seek his reinstatement as
administrator. In this case, he was able to secure
consent of some of the Heirs of Antonio.
RULE 15.05, CANON 15
A lawyer when advising his client, shall give a
candid and honest opinion on the merits and
probable results of the client9s case, neither
overstating nor understating the prospects of
the case.
However, the other Heirs of Antonio filed a
disbarment complaint against him. Atty. Ramos
contended that he had no knowledge of the fact
that the late Antonio had other heirs and
asserted that no information was disclosed to
him by Maricar, one of the heirs. He clarified that
his representation for Emilio in the subject case
was more of a mediator, rather than a litigator.
WIs the contention of Atty. Ramos valid?
Q: Consorcia Rollon engaged the services of Atty.
Naraval in a case for collection of sum of money
filed against her. After going over the documents
she brought with her, Atty. Naraval agreed to be
her lawyer and she was required to pay
as a partial service
fee. Atty. Naraval did not inform her that the said
civil suit has been decided against her and which
judgment has long become final and executory.
A: NO. There is an absolute prohibition from
representation with respect to opposing parties in
Atty. Naraval was not able to act on the case.
77
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Q: In a case for inhibition filed against Judge
Paas, it was found that her husband, Atty.
Renerio Paas, was using his wife's office as his
office address in his law practice. Judge Paas
admitted that Atty. Paas did use her office as his
return address for notices and orders in two
criminal cases, lodged at the Pasay City RTC, but
only to ensure and facilitate delivery of those
notices. According to him, upon the termination
of the two abovementioned criminal cases, all
notices were thereafter sent to his office address
in Escolta. Was Atty. Paas9 act of using his wife9s
office as his office address unprofessional and
dishonorable?
Because of this, Rollon wanted to withdraw the
amount she has paid and to retrieve the
documents
pertaining
to
said
case.
Unfortunately, despite several follow-ups, Atty.
Naraval always said that he cannot return the
documents because they were in their house,
and that he could not give her back the
Did Atty.
Naraval fail to fulfill his undertakings?
A: YES. Despite his full knowledge of the finality of
judgment on the case, based on the documents
furnished to him, Atty. Naraval withheld such vital
information and did not properly apprise Rollon. He
should have given her a candid and honest opinion
on the merits and the status of the case, but he
withheld such vital information. He did not inform
her about the finality of the adverse judgment.
Instead,
he
demanded
an
amout
of
as <filing and service fee= and thereby
gave her hope that her case would be acted upon.
A: YES. By allowing Atty. Paas to use the address of
her court in pleadings before other courts, Judge
Paas had indeed allowed her husband to ride on her
prestige for the purpose of advancing his private
interest.
Atty. Paas is guilty of simple misconduct for using a
fraudulent, misleading, and deceptive address that
had no purpose other than to try to impress either
the court in which his cases are lodged, or his client,
that he has close ties to a member of the judiciary,
thereby violating the CPR. The need for relying on
the merits of a lawyer's case, instead of banking on
his relationship with a member of the bench which
tends to influence or gives the appearance of
influencing the court, cannot be overemphasized. It
is unprofessional and dishonorable, to say the least,
to misuse a public office to enhance a lawyer's
prestige. Public confidence in law and lawyers may
be eroded by such reprehensible and improper
conduct. (Paas v. Almarvez, A.M. No. P-03-1690, 04
Apr. 2003)
Rule 15.05 of the CPR requires that lawyers give
their candid and best opinion to their clients on the
merit or lack of merit of the case, neither overstating
nor understating their evaluation thereof. Knowing
whether a case would have some prospect of
success is not only a function, but also an obligation
on the part of lawyers. If they find that their client's
cause is defenseless, then it is their bounden duty to
advise the latter to acquiesce and submit, rather
than to traverse the incontrovertible. (Rollon v.
Naraval, A.C. No. 6424, 04 Mar. 2005)
RULE 15.06, CANON 15
A lawyer shall not state or imply that he is able
to influence any public official, tribunal or
legislative body.
RULE 15.07, CANON 15
A lawyer shall impress upon his client
compliance with the laws and the principles of
fairness.
Influence-Peddling
It is improper for a lawyer to show in any way that
he has connections and can influence any tribunal
or public official, judges, prosecutors, congressmen
and others, especially so if the purpose is to enhance
his legal standing and to entrench the confidence of
the client that his case or cases are assured of
victory. (Agpalo, 2009)
Q: Maria Cielo Suzuki entered into contracts of
sale and real estate mortgage with several
persons. The sale and mortgage transactions
were facilitated by Atty. Erwin Tiamson, counsel
in the expenses for registration. He retained in
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
78
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
his possession the subject deeds of absolute sale
and mortgage and the owner's copy of the title.
However, he never registered the said
documents and did not cause the transfer of the
title over the subject property in the name of
Suzuki. Atty. Tiamson said that he did not
register the deed of sale to protect the interest
of his client and if the same has been registered,
he cannot give him the owner's duplicate copy
until purchase price for the subject property has
been fully paid and the real estate mortgage
cancelled. Is Atty. Tiamson justified in not
registering the transaction?
<a lawyer shall not counsel or abet activities aimed
at defiance of the law or at lessening confidence in
the legal system.= Rule 15.07, on the other hand,
states that <a lawyer shall impress upon his client
compliance with the laws and the principles of
fairness.=
Atty. Mendoza9s improper advice only lessens the
confidence of the public in our legal system. Judges
must be free to judge, without pressure or influence
from external forces or factors according to the
merits of a case. Atty. Mendoza9s careless remark is
uncalled for. (Areola v. Atty. Mendoza, A.C. No. 10135,
15 Jan. 2014)
A: NO. Rule 15.07 obliges lawyers to impress upon
their client9s compliance with the laws and the
principle of fairness. To permit lawyers to resort to
unscrupulous practices for the protection of the
supposed rights of their clients is to defeat one of
the purposes of the State, the administration of
justice. While lawyers owe their entire devotion to
the interest of their clients and zeal in the defense of
their client's right, they should not forget that they
are, first and foremost, officers of the court, bound
to exert every effort to assist in the speedy and
efficient administration of justice. The client's
interest is amply protected by the real estate
mortgage executed by complainant. Thus, Atty.
Tiamson failed to live up to this expectation. (Suzuki
v. Tiamson, A.C. No. 6542, 30 Sept. 2005)
CONCURRENT PRACTICE OF ANOTHER
PROFESSION
RULE 15.08, CANON 15
A lawyer who is engaged in another profession
or occupation concurrently with the practice
of law shall make clear to his client whether he
is acting as a lawyer or in another capacity.
This rule is intended to avoid confusion; it is for the
benefit of both the client and the lawyer. (Funa,
2009)
The lawyer should inform the client when he is
acting as a lawyer and when he is not, as certain
ethical considerations governing the client-lawyer
relationship may be operative in one case and not in
the other. (IBP Committee Report)
Q: Areola alleged that during Prisoners9 Week,
Atty. Mendoza visited the Antipolo City Jail and
called all detainees with pending cases before
the RTC where she was assigned, to attend her
speech/lecture. Areola claimed that Atty.
Mendoza stated the following during her
speech: <Kayong mga detenidong mga babae na
no bail ang kaso sa drugs, iyak-iyakan lang ninyo
si Judge Martin at palalayain na kayo. Malambot
ang puso noon.= Did Atty. Mendoza commit any
unethical act?
A party9s engagement of his counsel in another
capacity concurrent with the practice of law is not
prohibited, so long as the roles being assumed by
such counsel is made clear to the client. (New
Sampaguita Builder Construction, Inc. v. Philippine
National Bank, G.R. No. 148753, 30 July 2004)
A: YES. Atty. Mendoza made it appear that the judge
is easily moved if a party resorts to dramatic antics
such as begging and crying in order for their cases
to be dismissed. Atty. Mendoza made irresponsible
advices to her clients in violation of Rules 1.02 and
15.07 of the CPR. It is the mandate of Rule 1.02 that
79
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Guzman?
CLIENT9S MONEY AND PROPERTIES
A: YES. He is guilty of gross misconduct. Where a
client gives money to his lawyer for a specific
purpose, such as to file an action or appeal an
adverse judgment, the lawyer should, upon failure
to take such step and spend the money for it,
immediately return the money to his client. His
unjustified withholding of Luis9 money is a gross
violation of the general morality and professional
ethics. (De Guzman v. Atty. Emmanuel Basa, A.C. No.
5554, 29 June 2004)
CANON 16
A lawyer shall hold in trust all moneys and
properties of his client that may come into his
possession.
Money collected by the lawyer on a judgment
favorable to his client constitutes trust funds and
should be immediately paid over to the client.
(Palencia v. Linsangan, A.C. No. 10557, 10 July 2018)
While Sec. 37, Rule 138 of the Rules of Court grants
the lawyer a lien upon the funds, documents and
papers of his client, which have lawfully come into
his possession, such that he may retain the same
until his lawful fees and disbursements have been
paid, and apply such funds to the satisfaction
thereof, the lawyer still has the responsibility to
promptly account to his client for such moneys
received. Failure to do so constitutes professional
misconduct. (Tanhueco v. De Dumo, A.M. No. 1437, 25
Apr. 1989)
Q: Complainants engaged the services of
respondent to facilitate the transfer of title in
the name of Isabel Azcarraga Marcaida, to
complainants.
Complainants
then
gave
respondent a check for 68,250.00 for the
payment of transfer taxes. They also gave
respondent a check for
13,800.00 for
respondent9s professional fee. Respondent
failed to produce the title despite complainants9
repeated follow-ups. Several letters were sent
by respondent explaining the delay in the
transfer of title. However, respondent still failed
to produce the title. Is the respondent guilty of
violating Canon 16 of the CPR for failing to hold
in trust the money of his clients?
The lawyer9s failure to turn over such funds,
moneys, or properties to the client despite the
latter9s demands would give rise to the presumption
that the lawyer had converted the money for his
personal use and benefit. This failure also renders
the lawyer vulnerable to judicial contempt under
Sec. 25, Rule 138 of the Rules of Court. (CPR
Annotated, PhilJA)
A: YES. It has been said that the practice of law is a
privilege bestowed on lawyers who meet the high
standards of legal proficiency and morality. Any
conduct that shows a violation of the norms and
values of the legal profession exposes the lawyer to
administrative liability. Respondent9s assertion of a
valid lawyer9s lien is also untenable. Respondent did
not satisfy all the elements of a valid retaining lien.
He did not present evidence as to an unsatisfied
claim for attorney9s fees. The enumeration of cases
he worked on for complainants remains
unsubstantiated. When there is no unsatisfied claim
for attorney9s fees, lawyers cannot validly retain
their client9s funds or properties. Furthermore,
assuming that respondent had proven all the
requisites for a valid retaining lien, he cannot
appropriate for himself his client9s funds without
the proper accounting and notice to the client. The
rule is that when there is <a disagreement, or when
the client disputes the amount claimed by the
Q: An adverse judgment was rendered in a civil
case against Luis de Guzman. His counsel was
Atty. Emmanuel Basa and he wanted to
challenge the decision through a Petition for
Certiorari before the Court of Appeals. It was
service. Atty. Basa collected a down payment of
However, he did not seasonably file with
the CA the required appellant9s brief resulting in
the dismissal of the appeal. Despite several
extensions to file the appellant9s brief, Atty. Basa
failed to do so. Instead, he filed two more
motions for extension. When he filed the
appellant9s brief, it was beyond the last
extension granted by the appellate court. Was
Atty. Emmanuel Basa negligent in the
performance of his professional duty to Luis de
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
80
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
instances where the property is still the subject of
the litigation. The prohibition does not apply to
instances, such as in the problem, where the
conveyance takes place after the judgment because
the property can no longer be said to be the <subject
of litigation.= (Director of Lands v. Ababa, G.R. No. L26096, 27 Feb. 1979)
lawyer, the lawyer should not arbitrarily apply the
funds in his possession to the payment of his fees.=
(Sps. San Pedro v. Atty. Mendoza, A.C. No. 5440, 10
Dec. 2014)
Prohibition of a Lawyer acquiring client9s
property
FIDUCIARY RELATIONSHIP
Pursuant to Canon 16 of the CPR.
RULE 16.01, CANON 16
A lawyer shall account for all money or
property collected or received for or from the
client.
Furthermore, Article 1491 of the Civil Code states
that:
The following persons cannot acquire
or purchase, even at public or judicial
auction, either in person or through the
mediation of another:
xxx
A lawyer must be careful in handling money
entrusted to him in his professional capacity,
because of the high degree of fidelity and good faith
expected on his part. (Medina v. Bautista, A.C. No.
190, 26 Sept. 1964)
(5) lawyers, with respect to the property
and rights which may be the object of any
litigation in which they take part by virtue
of their profession.=
Lawyer9s inexcusable act of withholding the
property of client and imposing unwarranted fees in
exchange for release of documents deserve the
imposition of disciplinary action. (Miranda v. Carpio,
A.C. No. 6281, 26 Sept. 2011)
NOTE: This prohibition is entirely independent of
fraud and such need not be alleged or proven. Art.
1491 (5) of the NCC applies only if the sale or
assignment of the property takes place during the
pendency of the litigation involving the client9s
property. (Ramos v. Ngaseo, A.C. No. 6210, 09 Dec.
2004)
Q: Sorongon, Jr. engaged the legal services of
Atty. Gargantos, Sr. Under their agreement,
covering all fees until the resolution of the cases.
They further argued that if there would be court
hearings outside of Quezon City, the
complainant would provide the respondent9s
plane tickets, meals, and hotel accommodation,
but, should the hearing be at the Sandiganbayan,
they would just meet in the court. They
eventually had scheduled hearings at
Sandiganbayan.
Q: In an action to prevent the condominium
developer from building beyond ten (10) floors,
Judge Cerdo rendered judgment in favor of the
defendant developer. The judgment became
final after the plaintiffs failed to appeal on time.
Judge Cerdo and Atty. Cocodrilo, counsel for the
developer, thereafter separately purchased a
condominium unit each from the developer. Did
Judge Cerdo and Atty. Cocodrilo commit any act
of impropriety or violate any law for which they
should be held liable or sanctioned? (2013 BAR)
Despite their prior agreement, Atty. Gargantos,
Sr. demanded pocket money from Sorongon
otherwise, he would resign. Failing to deliver
the said pocket money, Atty. Gargantos, Sr.
abandoned Sorongon right before the scheduled
hearing. Further, he failed to return the
documents relative to Sorongon9s case despite
repeated demands. Now, Atty. Gargantos, Sr.
alleges that should he be found guilty, he is
A: NO. The prohibition imposed by the Civil Code,
Art. 1491(3), prohibiting judges and attorneys, and
that contained in the Canons of Professional Ethics,
Canon 10, with regard to purchase of any interest in
the subject matter of litigation both refer only to
81
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
NOTE: The principle that <an attorney derives no
undue advantage that may operate to the prejudice
or cause an occasion for loss of a client= refers to
fiduciary duty. The relationship between the lawyer
and the client is one of mutual trust and confidence
of the highest degree. (Maturan v. Gonzales, A.C. No.
2597, 12 Mar. 1998)
already of old-age, being 82 years old; hence, his
penalty should be mitigated. Will his contention
prosper?
A: YES. Atty. Gargantos, Sr. failed to return, despite
demand, the documents relative to the case after he
withdrew as his counsel. This is in violation of Rule
16.01, Canon 16 of the CPR. Moreover, despite his
legal services having been allegedly paid in the
amount of
fees until the resolution of the case, he abandoned
his client when the latter did not give him <pocket
money= he had demanded.
Q: Gabriel engaged the services of Atty. Reyes in
handling his case. Atty. Reyes required the
10,000,
of whatever amount collected from the case as
success fee. After paying the acceptance fee,
Gabriel requested for updates regarding the
case from Atty. Reyes but was advised that he
would first file a Notice of Entry of Appearance.
Upon discovering that Atty. Reyes had not filed
such in relation to his case, he again asked for
updates from him but did not receive any
response to his calls and text messages. Gabriel
then wrote another letter to Atty. Reyes
demanding him to return the acceptance fee and
all the documents he sent pertaining to his case.
Because of Atty. Reyes9 continued failure to
update Gabriel about the case and failure to
render any service, Gabriel filed a complaint
before the Commission on Bar Discipline of the
Integrated Bar of the Philippines (CBD-IBP),
praying that Atty. Reyes be disciplined and
disbarred from the practice of law. Did Atty.
Reyes violate the Code of Professional
Responsibility?
Nevertheless, the Court in several cases, in
determining or tempering the penalty to be
imposed, has considered mitigating factors, such as
Atty. Gargantos9 advanced age, health, humanitarian
and equitable considerations, as well as whether the
act complained of was his first infraction. In this
case, in view of the advanced age of Atty. Gargantos,
and the fact that this is his first offense, he is
suspended from the practice of law for six (6)
months. (Pelagio Sorongan, Jr. v. Atty. Ramon
Gargantos, Sr., A.C. No. 11326, 27 June 2018, J.
Caguioa)
Q: X sought assistance to the President of the IBP
to enable him to talk to Atty. U who had allegedly
been avoiding him for more than a year. Atty. U
failed to turn3over to his client the amount given
to him by X as settlement for a civil case. Is Atty.
U guilty for violating Canon 16 of the CPR?
A: YES. Atty. Reyes9 refusal to return Gabriel9s
money upon demand and his failure to respond to
Gabriel9s calls, text messages, and letters asking for
a status update on the case filed before the DOJ
reveal Atty. Reyes9 failure to live up to his duties as
a lawyer in consonance with the structures of his
Oath and the Code of Professional Responsibility
(CPR).
A: YES. The CPR mandates every lawyer to hold in
trust all money and properties of his client that may
come into his possession. A lawyer9s failure to
return upon demand the funds or property held by
him on behalf of his client gives rise to the
presumption that he has appropriated the same for
his own use to the prejudice of and in violation of
the trust reposed in him by his client. The relation
between attorney and client is highly fiduciary in
nature. Being such, it requires utmost good faith,
loyalty, fidelity and disinterestedness on the part of
the attorney. Its fiduciary nature is intended for the
protection of the client. (Espiritu v. Atty. Ulep, A.C. No.
5808, 04 May 2005)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
The acts committed by Atty. Reyes fall squarely
within the prohibition of Rule 16.01 of Canon 16 of
the CPR. Under this rule, a lawyer is required to
account for all money or property collected or
received for or from his client. After receiving the
`
82
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
failed to render any legal service in relation to the
case. Despite Gabriel9s repeated follow-ups, Atty.
Reyes unjustifiably failed to update his client of the
status of the case and to return to him the
documents the latter gave him in connection with
the case pending before the DOJ. (Martin J. Sioson v.
Atty. Dionisio B. Apoya, Jr., A.C. No. 12044, 23 July
2018, J. Caguioa)
Criminal Liability of Lawyers
1.
He causes prejudice to the client thru malicious
breach of professional duty or through
inexcusable negligence or ignorance.
Instances when Civil Liability of Lawyers arises
2.
He reveals his client9s secrets learned in his
professional capacity through malicious breach
of professional duty or inexcusable negligence
or ignorance.
3.
A lawyer who has undertaken the defense of a
client or has received confidential information
from said client in a case may be criminally
liable for undertaking defense of opposing
party in same cause without consent of first
client. (Art. 209, RPC)
4.
A lawyer who shall knowingly introduce in
evidence in any judicial proceeding or to the
damage of another or who, with intent to cause
such damage, shall use any false document may
be held criminally liable therefore. (Art. 172,
RPC)
5.
A lawyer who appropriates his client9s funds
may be held liable for estafa.
A lawyer may be held criminally liable if he commits
any of the following:
The civil liability of lawyers arises when:
1.
2.
3.
4.
5.
6.
the client is prejudiced by lawyer's negligence
or misconduct;
there is breach of fiduciary obligation;
there is civil liability to third persons;
there are libelous words in pleadings;
there is a violation of communication privilege;
and,
there is liability for costs of suit (Treble Costs),
where a lawyer is made liable for insisting on
client's patently unmeritorious case or
interposing appeal merely to delay litigation.
Remedy of the Client
Recover property from lawyer, together with its
fruits, subject to client9s returning to his lawyer the
purchase price thereof and the legal interests
thereon. (Sotto v. Samson, G.R. No. 16917, 31 July
1962)
NOTE: When a lawyer collects or receives money
from his client for a particular purpose, he should
promptly account to the client how the money was
spent. His failure either to render an accounting or
to return the money (if the intended purpose of the
money does not materialize) constitutes a blatant
disregard of Rule 16.01 of the CPR. (Belleza v.
Malaca, A.C. No. 7815, 23 July 2009)
Exemption from Liability
A lawyer is exempted from liability for slander, libel
or for words otherwise defamatory, published in the
course of judicial proceedings, provided the
statements are connected with, relevant, pertinent,
and material to the cause in hand or subject of
inquiry. (Tolentino v. Baylosis, G.R. No. L-15742, 31
Jan. 1961)
Costs of Suit
GR: The losing client, and not the lawyer, is liable for
costs of suit in favor of prevailing party, the lawyer
not being a party-litigant. (Agpalo, 2009)
NOTE: Under the Test of Relevancy, the matter to
which the privilege does not extend must be
palpably wanting in relation to the subject of
controversy, that no reasonable man can doubt its
relevancy or propriety. (Uy v. Depasucat, A.C. No.
5332, 29 July 2003)
XPN: Where the lawyer insisted on a client9s
patently unmeritorious case or interposed an
appeal to delay litigation or thwart prompt
83
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Additionally, Atty. B frequently borrowed
money from A. Atty. B issued postdated checks
as security for the borrowed money. However,
these were subsequently dishonored. Is Atty. A
liable for violating the Code of Professional
Responsibility?
satisfaction of prevailing party9s just and valid claim,
the court may adjudge lawyer to pay treble costs of
suit. (Agpalo, 2009)
CO-MINGLING OF FUNDS
RULE 16.02, CANON 16
A lawyer shall keep the funds of each client
separate and apart from his own and those of
others kept by him.
A: YES. Respondent violated Canon 16 when she
obtained loans from a client. In this instant case,
there is no dispute that the respondent obtained
several loans from the complainant after they
established a lawyer-client relationship, and before
they terminated the same. (Aurora AguilarDyquiangco v. Atty. Diana Lynn M. Arellano, A.C. No.
10541, 12 July 2016, J. Caguioa)
Failure of the lawyer to account all the funds and
property of his client which may come into his
possession would amount to misappropriation
which may subject him to disbarment on the ground
of grave misconduct or a criminal prosecution for
estafa under Art. 315(1b) of the RPC.
RULE 16.03, CANON 16
A lawyer shall deliver the funds and property
of his client when due or upon demand.
However, he shall have a lien over the funds
and may apply so much thereof as may be
necessary to satisfy his lawful fees and
disbursements, giving notice promptly
thereafter to his client. He shall also have a lien
to the same extent on all judgments and
executions he has secured for his client as
provided for in the Rules of Court.
Q: BPI filed two complaints for replevin and
damages against Esphar Medical Center Inc. and
its President Cesar Espiritu. Espiritu engaged
the services of Atty. Juan Cabredo IV. While these
cases were pending, the latter advised Esphar to
remit money and update payments to the bank
through the trial court. Accordingly, Esphar's
Atty.
Cabredo's
office.
However,
the
management of Esphar found out that he did not
deliver the said money to the court or to the
bank. Did Atty. Caredo commit a breach of trust?
Counsel cannot unilaterally retain as a lawyer9s
lien the property of his client.
A: YES. His act amounted to deceit in violation of his
oath. The relationship between a lawyer and a client
is highly fiduciary; it requires a high degree of
fidelity and good faith. Hence, in dealing with trust
property, a lawyer should be very scrupulous.
Money or other trust property of the client coming
into the possession of the lawyer should be reported
by the latter and account any circumstances, and
should not be commingled with his own or be used
by him. (Espiritu v. Cabredo IV, A.C. No. 5831, 13 Jan.
2003)
A counsel has no right to retain or appropriate
unilaterally as lawyer9s lien any amount belonging
to his client which may come into his possession.
(Cabigao v. Rodrigo, 57 Phil. 20)
NOTE: While this rule provides that the lawyer has
the right to retain the funds of his client as may be
necessary to satisfy his lawful fees and
disbursements known as attorney9s lien and his lien
to the same extent on all judgments and executions
he has secured for his client called charging lien, he
is still duty bound to render an accounting of his
client9s funds and property which may come into his
possession in the course of his professional
employment In the application of attorney9s lien, a
lawyer shall give notice to his client otherwise, the
same might be construed as misappropriation
which may subject him to disciplinary action.
Q: A engaged the services of Atty. B for a case of
collection of sum of money. A advanced the filing
fees and part of the attorney9s fees. However,
Atty. B failed to file the case. Upon discovery of A,
she demanded the return of the advanced fees
from Atty. B, but the latter refused to do so.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
84
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
intending to honor his word to secure the U.S.
tourist visas that he promised to get for them
constitutes a breach of his professional
responsibility. Rule 16.03 of the CPR provides that a
lawyer shall deliver the funds and property of his
client when due or upon demand. By mismanaging
the fund of his client and failure to return the money
intended for securing U.S. visas, Atty. Estebal failed
to observe honesty and good faith in his dealings
with them. (Campos, Jr., Atty. Estebal, A.C. No. 10443,
08 Aug. 2016)
(Antiquiera, 2007)
Q: Fernandez engaged the services of Atty.
Cabrera II to handle the cases of her associates
in Baguio City. After taking hold of the records of
the cases that Fernandez entrusted to him and
after getting initially paid for the services he
would render, Atty. Cabrera II suddenly
disappeared and could no longer be located in
his given address or in the addresses that
Fernandez gathered. Did Atty. Cabrera II violate
the CPR when he accepted the records and
money of the complainant and thereafter failed
to render his services?
Q: Soliman engaged the services of Atty. Amboy
in connection with a partition case. No case was
filed as the other co-owners were amenable to
the partition. Instead, Atty. Amboy just
facilitated the issuance of the titles to the said
property. Atty. Amboy then told Soliman that
someone from the Register of Deeds can help
expedite the issuance of the titles for a fee of
. The said amount was deposited by
Soliman to Atty. Amboy9s bank account as
payment for the latter9s contact. However, Atty.
Amboy failed to deliver the respective
certificates of title. Soliman claimed that Atty.
Amboy thereafter refused to release the
pertinent documents she gave to her for the
processing of the titles to the property as well as
to
paid to her. Did Atty. Amboy violate the CPR?
A: YES. Acceptance of money from a client
establishes an attorney-client relationship and gives
rise to the duty of fidelity to the client's cause. The
Canons of Professional Responsibility require that
once an attorney agrees to handle a case, he should
undertake the task with zeal, care, and utmost
devotion.
Atty. Cabrera9s action projects his appalling
indifference to his client's cause and a brazen
disregard of his duties as a lawyer. Not only did he
fail to render service of any kind, he also absconded
with the records of the cases with which he was
entrusted. Then to top it all, he kept the money
complainant paid to him. Such conduct is
unbecoming of a member of the bar, for a lawyer's
professional and personal conduct must at all times
be kept beyond reproach and above suspicion.
(Fernandez v. Atty. Cabrera II, A.C. No. 5623, 11 Dec.
2003)
A: YES, Atty. Amboy violated the CPR. Upon inquiry,
the supposed contact denied having received any
amount from Atty. Amboy. In not returning the
money to Soliman after a demand therefor was
made following her failure to procure the issuance
of the certificates of title, Atty. Amboy violated
Canon 16, particularly Rule 16.03 thereof, which
requires that a lawyer shall deliver the funds and
property of his client upon demand. A lawyer9s
failure to return upon demand the funds held by him
on behalf of his client gives rise to the presumption
that he has appropriated the same for his own use
in violation of the trust reposed in him by his client.
(Soliman v. Amboy, A.C. No. 10568, 13 Jan. 2015)
Q: Campos engaged the services of Atty. Estebal
in securing tourist visas to the United States.
Atty.
Estebal failed to apply or secure for him the U.S.
tourist visa that he promised. Thus, he
demanded for the return of his money. For
failure to return his money, Campos instituted
an administrative case against Atty. Estebal. Will
the case prosper?
A: YES it will prosper. There is hardly any doubt that
Atty. Estebal9s act of receiving such substantial sum
of money from complainants without in the least
85
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
backed out from the sale and filed a case against
Frias for the return of the purchase price. Frias
claimed that her failure to return the money was
because of Atty. Lozada9s refusal to give back
the 1,000,000.00 she took as commission. A
case was filed by Frias against Atty. Lozada but
despite the favorable decision, Atty. Lozada
refused to return the money.
RULE 16.04, CANON 16
A lawyer shall not borrow money from his
client unless the client's interest are fully
protected by the nature of the case or by
independent advice. Neither shall a lawyer
lend money to a client except, when in the
interest of justice, he has to advance necessary
expenses in a legal matter he is handling for
the client.
A lawyer who takes advantage of his client9s
financial plight to acquire the latter9s properties for
his own benefit is destructive of the confidence of
the public in the fidelity, honesty and integrity of the
legal profession. (Hernandez, Jr. v. Go A.C. No. 1526,
31 Jan. 2005)
Atty. Lozada claimed that since she did not have
enough money, Frias requested her to sell or
mortgage the property and offered her a loan,
commission and attorney9s fees on the basis of
the selling price. Did Atty. Lozada commit a
violation of the CPR in asking for a loan from her
client?
Prohibition from BORROWING Money from
Client
A: YES. Her act of borrowing money from a client
was a violation of Canon 16.04 of the CPR.
GR: A lawyer is not allowed to borrow money from
his client.
A lawyer9s act of asking a client for a loan, similar to
what respondent did in this case, is unethical. It
comes within those acts considered as abuse of
client9s confidence. The canon presumes that the
client is disadvantaged by the lawyer9s ability to use
all the legal maneuverings to renege on her
obligation. (Frias v. Lozada, A.C. NO. 6656, 13 Dec.
2005)
XPN: The client9s interests are fully protected by the
nature of the case or by independent advice.
Prohibition of LENDING Money to Client
GR: A lawyer is not allowed to lend money to his
client.
NOTE: The principle behind Rule 16.04 is to prevent
the lawyer from taking advantage of his influence
over the client or to avoid acquiring a financial
interest in the outcome of the case. (Agpalo, 2009;
Junio v. Grupo, A.C. No. 5020, 18 Dec. 2001)
XPN: When in the interest of justice, he has to
advance necessary expenses in a legal matter he is
handling for the client. (Rule 16.04, CPR)
Return of Money in an Administrative Case
NOTE: The prohibition of lending money to client is
intended to assure the lawyer9s independent
professional judgment, for if the lawyer acquires a
financial interest in the outcome of the case, the free
exercise of his judgment may be adversely affected.
(Linsangan v. Tolentino, A.C. No. 6672, 04 Sept. 2009)
1. If the money is received in a transaction separate
and distinct from, and not intrinsically linked to his
professional engagement, the Court cannot order the
return of the money. The clients must institute a
separate civil action to recover it.
Q: Atty. Lozada was the retained counsel and
legal adviser of Frias. Atty. Lozada persuaded
Frias to sell her house, the former acting as
broker since she was in need of money. The
prospective buyer paid 3,000,000.00 where
Atty. Lozada took
1,000,000.00 as her
commission without Frias9 consent. The buyer
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
E.g. Money from a loan
2. If the money is received in a transaction
intrinsically linked to his professional engagement,
the Court can order the return of the money.
`
86
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
FIDELITY TO CLIENT9S CAUSE
E.g. Filing fees, acceptance fees, attorney9s
fees
CANON 17
A lawyer owes fidelity to the cause of his client
and he shall be mindful of the trust and
confidence reposed in him.
Q: Matias Lagramada residing with his uncle,
Apolonio Lagramada, was invited by the latter to
accompany him to the police station, supposedly
to pick up a refrigerator they were to repair.
Upon their arrival there, Matias was
immediately taken in and locked behind bars.
Two sets of information were filed against him
only 10 months after the first day of his
incarceration. With the assistance of counsel,
Matias pleaded not guilty when arraigned,
without raising the invalidity of the arrest. Was
the case properly handled?
A: NO. Lawyers owe fidelity to the cause of their
clients and must be mindful of the trust and
confidence reposed in them. Matias9 counsel, in the
spirit of safeguarding his client9s rights, should have
taken the necessary steps to correct the situation.
However, he allowed his client to enter a plea during
the latter9s arraignment without raising the
invalidity of arrest. Thus, the former effectively
waived his client9s right to question its validity.
Defense counsels are expected to spare no effort to
save the accused from unrighteous incarcerations.
Matias9 counsel should have not only perfunctorily
represented his client during the pendency of the
case, but should have kept in mind his duty to
render effective legal assistance and true service by
protecting the latter9s rights at all times. (People v.
Lagramada, G.R. Nos. 146357 & 148170, 29 Aug.
2002)
Q: Complainants engaged the services of Atty.
Guaren for the titling of a residential lot they
acquired in Bonbon, Nueva Caseres. They
alleged that Atty. Guaren took all the pertinent
documents relative to the titling of their lot; that
they always reminded Atty. Guaren about the
case and each time he would say that the titling
was in progress; that they became bothered by
the slow progress of the case so they demanded
87
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
the return of the money they paid. Despite the
COMPETENCE AND DILIGENCE
perform his obligation and allowing 5 years to
elapse without any progress in the titling of
complainants9 lot. Did Atty. Guaren violate the
CPR?
CANON 18
A lawyer shall serve his client with competence
and diligence.
Diligence is the attention and care required of a
person in a given situation and is the opposite of
negligence. It is axiomatic in the practice of law that
the price of success is eternal diligence to the cause
of the client. (Edquibal v. Ferrer, A.C. No. 5687, 03 Feb.
2005)
A: YES. The Supreme Court reiterated that the
profession in which duty to public service, not
money, is the primary consideration. Lawyering is
not primarily meant to be a money-making venture,
and law advocacy is not a capital that necessarily
yields profits. The gaining of a livelihood should be
a secondary consideration.
Degree of Diligence required in the Profession
The duty to public service and to the administration
of justice should be the primary consideration of
lawyers, who must subordinate their personal
interests or what they owe to themselves. Atty.
Guaren breached his duty to serve his client with
competence and diligence when he neglected a legal
matter entrusted to him. Thus, Atty. Guaren violated
Canons 17 and 18 of the CPR and was suspended
from the practice of law for six months. (Brunet v.
Guaren, A.C. No. 10164, 10 Mar. 2014)
The legal profession demands of a lawyer that
degree of vigilance and attention of a good father of
a family (Lapeña Jr., 2009) or ordinary pater familias
(Pineda, 2009). He is not required to exercise
extraordinary diligence. (Edquibal v. Ferrer, Jr., A.C.
No. 5687, 03 Feb. 2005)
Q: Atty. A failed to submit a position paper as
required by the RTC for his client B, prompting
the latter to file an administrative complaint for
disbarment. Atty. A alleged that he did not
proceed to prepare and file the said position
paper on account of the continued refusal of B to
pay her accumulated legal fees. Is the argument
of Atty. A tenable?
A: NO. Canon 18 clearly mandates that a lawyer is
duty-bound to competently and diligently serve his
client once the former takes up the latter9s cause.
The lawyer owes fidelity to such cause and must
always be mindful of the trust and confidence
reposed upon him. Hence, his neglect of a legal
matter entrusted to him amounts to inexcusable
negligence for which he must be administratively
liable. (Carlos V. Lopez v. Atty. Milagros Isabel A.
Cristobal, A.C. No. 12146, 10 Oct. 2018, J. Caguioa)
Q: In a criminal case for rape with homicide, the
accused pleaded guilty. However, the three PAO
lawyers assigned as counsel de oficio did not
advise their client of the consequences of
pleading guilty; one PAO lawyer left the
courtroom during trial and thus was not able to
cross-examine the prosecution witnesses. The
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
88
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
other postponed the presentation of evidence
for the defense, and when he appeared, he said
he would rely solely on the plea of guilty,
believing that it would lower the penalty to
reclusion perpetua. Should the three PAO
lawyers be disciplined?
parties and for which his services was engaged, was
no other than an action for annulment of the
complainant's marriage with her husband with the
intention of marrying her British fiancée. They did
not contemplate legal separation at all, for legal
separation would still render her incapacitated to
re-marry. That the respondent was insisting in his
answer that he had prepared a petition for legal
separation, and that she had to pay more as
attorney's fees if she desired to have the action for
annulment was, therefore, beyond comprehension
other than to serve as a hallow afterthought to
justify his claim for services rendered. Aguilos failed
to live up to the standards imposed on him as an
attorney. He thus transgressed Canon 18, and Rules
18.01, 18.02 and 18.03 of the CPR (Sanchez v.
Aguilos, A.C. No. 10543, 16 Mar. 2016).
A: YES. All three (3) of them manifest disinterest on
the plight of their client. They lacked vigor and
dedication to their work. Canon 18 of the CPR
requires every lawyer to serve his client with
utmost dedication, competence and diligence. He
must not neglect a legal matter entrusted to him,
and his negligence in this regard renders him
administratively liable. Obviously, in the instant
case, the defense lawyers did not protect, much less
uphold, the fundamental rights of the accused.
Instead, they haphazardly performed their function
as counsel de officio to the detriment and prejudice
of the accused Sevilleno, however guilty he might
have been found to be after trial. (People v. Sevilleno,
G.R. No. 129058, 29 Mar. 1999)
Q: Ferrer was accused of raping his 11-year-old
stepdaughter. Ferrer9s counsel of record was
PAO's Atty. Macabanding. During the pre-trial,
both of them failed to appear. Ferrer was
considered by the court as having jumped bail.
Trial in absentia followed where Ferrer was
assisted by another PAO lawyer, Atty. Alonto.
Atty. Macabanding did not appear in all the
subsequent hearings of the case. He did not
inform the court of his whereabouts. Ferrer was
found guilty beyond reasonable doubt of the
crime charged and imposed upon him the death
penalty. Did Atty. Macabanding live up to the
demands expected from a counsel de officio?
Q: Sanchez charged Atty. Aguilos with
misconduct for the latter9s refusal to return the
amount she had paid for his professional
services. She avers that Atty. Aguilos demanded
the full payment of his fee before working on the
case; that the lawyer contemplated to file a
petition for legal separation instead of petition
for annulment, of which the latter is the main
consideration for his professional employment
yet Atty. Aguilos further asked for a higher
acceptance fee for the latter. Sanchez
subsequently withdrew the case and demanded
the refund of the amounts paid less the amounts
corresponded to the services he already
performed but Atty. Aguilos refused. Is Atty.
Aguilos liable for misconduct?
A: NO. Canon 18 of the CPR requires every lawyer to
serve his client with utmost dedication, competence
and diligence. He must not neglect a legal matter
entrusted to him. For all intents, purposes and
appearances, Atty. Macabanding abandoned his
client, an accused who stands to face the death
penalty. Ferrer was not properly and effectively
accorded the right to counsel.
A: YES. Aguilos was liable for misconduct and he
should be ordered to return the entire amount
received from the client. As the foregoing findings
reveal, he did not know the distinction between the
grounds for legal separation and for annulment of
marriage. Such knowledge would have been basic
and expected of him as a lawyer accepting a
professional engagement for either causes of action.
The case unquestionably contemplated by the
While he faced the daunting task of defending an
accused that had jumped bail, this unfortunate
development is not a justification to excuse him
from giving his heart and soul to the latter's defense.
The exercise of their duties as counsel de oficio
meant rendering full meaning and reality to the
constitutional precepts protecting the rights of the
89
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
accused. (People v. Ferrer, G.R. No. 148821, 18 July
2003)
should be in a position to render efficient and
effective legal assistance. (Agpalo, 2009)
Instances of Lawyer9s Lack of Diligence and their
Resulting Consequences
He is therefore directed not to take legal services
which he knows or should know he is not qualified
or competent to render except if his client consents,
the lawyer can take as collaborating counsel
another lawyer who is competent on the matter.
(Agpalo, 2009)
1.
Lawyer failed to file his client9s position
paper which caused the client to be in
default in an ejectment case. The
complainant9s appeal was also denied since
the lawyer failed to file an appeal
memorandum.
The
lawyer
was
DISBARRED. (Enriquez v. Atty. Lavadia, A.C.
No. 5686, 16 June 2015)
2.
Lawyer failed to file his client9s position
paper and he did not inform the
complainant that his case was dismissed by
the court. The lawyer was suspended from
practice of law for three years. (Olvida v.
Atty. Gonzales, A.C. No. 5732, 16 June 2015)
3.
Lawyer failed to file a motion for
reconsideration on behalf of his client and
further neglected to regularly update his
clients on the status of the case. The lawyer
was SUSPENDED for two years. (Ramiscal v.
Atty. Orro, A.C. No. 10945, 23 Feb. 2016)
Q: When is professional incompetence a ground
for disbarment under the Rules of Court?
Explain. (2010 BAR)
A: Professional incompetence of a lawyer may be a
special ground for disbarment if his incompetence
is so total, gross and serious that he cannot be
entrusted with the duty to protect the rights of his
clients. <A lawyer shall not undertake a legal service
where he knows or should know that he is not
qualified to render= (Rule 18.01, CPR). If he does so,
it would constitue malpractice or gross misconduct
in office which are grounds for suspension or
disbarment under Sec. 27, Rule 138 of the Rules of
Court.
NOTE: The handling lawyer cannot just take
another counsel without the consent of the client.
The new lawyer on the other hand cannot just enter
his appearance as collaborating counsel without the
conformity of the first counsel.
COLLABORATING COUNSEL
A collaborating counsel is one who is subsequently
engaged to assist a lawyer already handling a
particular case for a client. (Pineda, 2009)
ADEQUATE PREPARATION
RULE 18.02, CANON 18
A lawyer shall not handle any legal matter
without adequate preparation.
RULE 18.01, CANON 18
A lawyer shall not undertake a legal service
which he knows or should know that he is not
qualified to render. However, he may render
such service if, with the consent of his client, he
can obtain as collaborating counsel a lawyer
who is competent on the matter.
A lawyer should prepare his pleadings with great
care and circumspection. He should refrain from
using abrasive and offensive language, for it merely
weakens rather than strengthens the force of legal
reasoning and detracts from its persuasiveness.
The lawyer9s acceptance, whether for a fee or not, is
an implied representation that he possesses the
requisite degree of academic learning, skill and
ability to handle the case.
In preparing a complaint for damages, counsel for
plaintiff should allege and state the specific amounts
claimed not only in the body of the complaint but
also in the prayer, so that the proper docket fees can
be assessed and paid. (Fernandez v. Atty. Novero, Jr.,
A lawyer who accepts professional employment
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
90
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
A.C. No. 5394, 02 Dec. 2002)
1.
The counsel must constantly keep in mind that his
actions or omissions, even malfeasance and
nonfeasance would be binding to his client. Verily, a
lawyer owes to the client the exercise of utmost
prudence and responsibility in representation.
(Fernandez v. Atty. Novero Jr., A.C. No. 5394, 02 Dec.
2002)
He fails to appeal to CA despite instructions
by the client to do so constitutes inexcusable
negligence on the part of the counsel. (Abiero
v. Juanino, A.C. No. 5302, 18 Feb. 2005)
2.
Even if a lawyer was "honestly and sincerely"
protecting the interests of his client, the
former still had no right to waive the appeal
without the latter's knowledge and consent.
(Abay v. Atty. Montesino, A.C. No. 5718, 04 Dec.
2003)
NEGLIGENCE
Q: Are the mistakes or negligence of a lawyer
binding upon the client? (1998, 2000, 2002 BAR)
RULE 18.03, CANON 18
A lawyer shall not neglect a legal matter
entrusted to him and his negligence in
connection therewith shall render him liable.
(1998, 2002 BAR)
GR: Client is bound by attorney9s conduct,
negligence and mistake in handling a case or in the
management of litigation and in procedural
technique, and he cannot complain that the result
might have been different had his lawyer proceeded
differently.
A lawyer is enjoined not to neglect a legal matter
entrusted to him, and his negligence in connection
therewith shall render him liable. It is the duty of the
lawyer to serve his client with competence and
diligence and he should exert his best efforts to
protect within the bounds of the law, the interest of
his client. (Vda. De Enriquez v. San Jose, A.C. No. 3569,
23 Feb. 2007)
XPNs: (L-I-P-I-G)
1.
2.
Diligence Required
Prone to err like any other human being, he is not
answerable for every error or mistake, and will be
protected as long as he acts honestly and in good
faith to the best of skill and knowledge. An attorney
is not expected to know all the laws. He is not liable
for disbarment for an honest mistake or error. He is
not an insurer of the result in a case where he is
engaged in as counsel. Only ordinary care and
diligence are required of him. (Pineda, 2009)
3.
4.
5.
Lack of acquaintance with technical aspect of
procedure;
When
adherence
thereto
results
in
outright deprivation of a client9s liberty or
property or where Interest of justice so
requires;
Where error by counsel is Purely technical
which does not substantially affect client9s
cause;
Ignorance, incompetence, or inexperience of
lawyer is so great and error so serious that the
client, who has a good cause, is prejudiced and
denied a day in court; and,
Gross negligence of lawyer.
NOTE: If by reason of the lawyer9s negligence,
actual loss has been caused to his client, the latter
has a cause of action against him for damages.
However, for the lawyer to be held liable, his failure
to exercise reasonable care, skill and diligence must
be the proximate cause of the loss.
NOTE: What amounts to carelessness or negligence
in a lawyer9s discharge of his duty to client is
incapable of exact formulation. It will depend upon
the circumstances of the case.
Instances of Negligence by Attorneys
Q: Atty. Macalalad was introduced to Atty.
Solidon by a mutual acquaintance. Solidon
asked Atty. Macalalad to handle the judicial
A lawyer is deemed to be negligent under the
following circumstances:
91
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
titling of a parcel of land located in Samar and
owned by Atty. Solidon9s relatives. For a
co
accepted the task to be completed within a
period of eight months. Atty. Macalalad received
that a previous motion had been filed but <due to the
health condition of the undersigned counsel&he
was not able to finish said Appellant9s Brief within
the fifteen-day period earlier requested by him.= It
is clear that Atty. Jimenez was indeed in charge of
the case. A lawyer representing a client bears the
responsibility of protecting the client9s interest with
utmost diligence. (Figueras v. Jimenez, A.C. No. 9116,
12 Mar. 2014)
Solidon received the certificate of title to the
property. Atty. Macalalad has not filed any
petition for registration over the property
sought to be titled up to the present time. Is he
guilty of violating the CPR?
DUTY TO APPRISE CLIENT
RULE 18.04, CANON 18
A lawyer shall keep the client informed of the
status of his case and shall respond within a
reasonable time to the client9s request for
information.
A: YES. He is guilty of violating Rule 18.03, Canon 18
of the CPR. The mere failure of the lawyer to
perform the obligations due to the client is
considered per se a violation. A lawyer so engaged to
represent a client bears the responsibility of
protecting the latter9s interest with utmost
diligence. Accordingly, competence, not only in the
knowledge of law, but also in the management of the
cases by giving these cases appropriate attention and
due preparation, is expected from a lawyer. Atty.
Macalalad failed to act as he committed when he
failed to file the required petition. (Solidon v.
Macalalad, A.C. No. 8158, 24 Feb. 2010)
A lawyer should notify his client of the adverse
decision while within the period to appeal to enable
the client to decide whether to seek an appellate
review. He should communicate with him
concerning the withdrawal of appeal with all its
adverse consequences. The client is entitled to the
fullest disclosure of the mode or manner by which
his interest is defended or why certain steps are
taken or omitted.
Q: Spouses Santander filed a civil suit for
damages
against
Congressional
Village
Homeowner9s Association and Ely Mabanag.
Atty. Jimenez was the counsel of record and
handling lawyer for the association. The RTC
rendered a decision in favor of the Sps.
Santander. The CA dismissed the appeal on the
ground that the original period to file the
appellant9s brief had expired 95 days before the
first motion for extension of time to file said
brief was filed. Some members of the association
filed a Complaint for Disbarment against Atty.
Jimenez. In his defense, Atty. Jimenez alleged
that the members have no personality to file the
disbarment complaint as they were not his
clients. Is Atty. Jimenez liable for violating Rule
18.03 and Canon 18 of the CPR?
As an essential part of their highly fiduciary
relationship, the client is entitled to the periodic and
full updates from the lawyer on the developments of
the case. (Ramiscal v. Orro, A.C. No. 10945, 23 Feb.
2016)
Q: Spouses Garcia engaged the services of Atty.
Rolando Bala to appeal to the CA the adverse
decision of the Department of Agrarian
Relations Adjudication Board (DARAB). Instead,
he erroneously filed a Notice of Appeal. During
one instance when the spouses had called on
him to ask for a copy of the supposed appeal,
Atty. Bala uttered unsavory words against them.
Because of his error, the prescribed period for
filing the petition lapsed, to the prejudice of his
clients. Did Atty. Bala violate any ethical rules?
A: YES, Atty. Jimenez is liable. His failure to file the
appellant9s brief within the period provided by law
violates Canon 18 of the CPR. Atty. Jimenez had filed
with the CA an Urgent Motion for Extension stating
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
A: YES. Rule 18.04 states that a <lawyer shall keep
the client informed of the status of his case and shall
respond within a reasonable time to the client's
`
92
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
request for information.=
well to the courts as to my clients.= If he should
violate the vow, he contravenes the CPR,
particularly its Canon 17, and Rules 18.03 and 18.04
of Canon 18. As an essential part of their highly
fiduciary relationship, the client is entitled to the
periodic and full updates from the lawyer on the
developments of the case. Updating the clients could
have prevented their substantial prejudice by
enabling them to engage another competent lawyer
to handle their case. As it happened, his neglect in
that respect lost for them whatever legal remedies
were then available. His various omissions
manifested his utter lack of professionalism
towards them. (Ramiscal v. Orro, A.C. No. 10945, 23
Feb. 2016)
Accordingly, the spouses had the right to be updated
on the developments and status of the case for
which they had engaged the services of Atty. Bala.
But he apparently denied them that right. Having
become aware of the wrong remedy he had
erroneously taken, he purposely evaded his clients,
refused to update them on the appeal, and misled
them as to his whereabouts. Moreover, he uttered
invectives at them when they visited him for an
update on the case. (Spouses Garcia v. Bala, A.C. No.
5039, 25 Nov. 2005)
Q: Sps. Ramiscals engaged the legal services of
Atty. Edgar S. Orro to handle a case in which they
were the defendants seeking the declaration of
the nullity of title to a parcel of land. Upon
NOTE: The lawyer is obliged to respond within a
reasonable time to a client's request for information.
A client is entitled to the fullest disclosure of the
mode or manner by which that client's interest is
defended or why certain steps are taken or omitted.
them, Orro handled the trial of the case until
RTC decided it in their favor. When the case
reached CA, Orro requested from the spouses an
A lawyer who repeatedly fails to answer the
inquiries or communications of a client violates the
rules of professional courtesy and neglects the
client's
interests.
(Villariasa-Reisenbeck
v.
Abarrientos, A.C. No. 6238, 04 Nov. 2004)
preparation and submission of their appellees9
brief.
Later on, the CA reversed the decision of the
RTC. Orro did not inform the Ramiscals of the
adverse decision of the CA which they only
learned about from their neighbors. They
endeavored to communicate with Orro but their
efforts were initially in vain. When they finally
Doctrine of Imputed Knowledge
The knowledge acquired by an attorney during the
time that he is acting within the scope of his
authority is imputed to the client. It is based on the
assumption that an attorney, who has notice of
matter affecting his client, has communicated the
same to his principal in the course of professional
dealings. (Agpalo, 2009)
from them as his fee in filing a motion for
reconsideration in their behalf, albeit telling
them that such motion would already be
belated. They later discovered that he did not
file the motion for reconsideration; hence, the
decision attained finality, eventually resulting
in the loss of their property. Did Atty. Orro
competently and diligently discharge his duties
as a lawyer?
NOTE: The doctrine applies regardless of whether
or not the lawyer actually communicated to the
client what he learned in his professional capacity,
the attorney and his client being one judicial person.
(Agpalo, 2009)
A: NO. Every lawyer, upon becoming a member of
the Philippine Bar, solemnly takes the Lawyer9s
Oath, by which he vows, among others, that: <I will
delay no man for money or malice, and will conduct
myself as a lawyer according to the best of my
knowledge and discretion, with all good fidelity as
Notice to counsel is notice to client, but not vice
versa if the latter appeared by attorney.
GR: The law requires that service of any notice upon
a party who has appeared by attorney shall be made
93
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
REPRESENTATION WITH ZEAL
WITHIN LEGAL BOUNDS
upon his attorney. Notice sent to a party who has
appeared by counsel is not notice in law (Chainani v.
Tnacinco, G.R. No. L-4782, 29 Feb. 1952), it being
immaterial that the client actually received the
notice or volunteered to get a copy thereof.
CANON 19
A lawyer shall represent his client with zeal
within the bounds of the law.
XPNs:
1.
2.
3.
4.
When a lawyer accepts a case, whether for a fee
or not, his acceptance is an implied
representation that he will: (C-A-S-E)
Strict application might foster dangerous
collusion to the detriment of justice;
Service of notice upon party instead of upon his
attorney is ordered by the court;
Notice of pre-trial is required to be served upon
parties and their respective lawyers; and
In appeal from the lower court to the RTC, upon
docketing of appeal.
1.
2.
3.
4.
exercise reasonable and ordinary Care and
diligence in the pursuit or defense of the case;
possess the requisite degree of Academic
learning, skill and ability in the practice of his
profession;
take steps as will adequately Safeguard his
client9s interests; and
Exert his best judgment in the prosecution or
defense of the litigation entrusted to him. (Islas
v. Platon, G.R. No. L-23183, 29 Dec. 1924)
Authority to Appear in Court is Presumed
GR: A lawyer is presumed to be properly authorized
to represent any cause in which he appears.
XPN: On motion of either party and on reasonable
grounds, the presiding judge may require an
attorney to prove the authority under which he
appears. (Sec. 21, Rule 138, Rules of Court, as
amended)
Voluntary Appearance of Lawyer without
Authority
An attorney may not appear for a person until he is
in fact employed by, or retained for such person. An
attorney willfully appearing in court for a person
without being employed, unless by leave of court,
may be punished for contempt as an officer of the
court, who has misbehaved in his official
transactions. (Sec. 21, Rule 138)
Effects of Unauthorized Appearance
1.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
The party represented is not bound by
attorney9s appearance in the case neither by the
judgment rendered therein;
`
94
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
2.
3.
4.
Extent of Lawyer9s Authority in Litigation
Court does not acquire jurisdiction over the
person of the party represented;
The adverse party who has been forced to
litigate as a defendant by the unauthorized
action on the part of the attorney for the
plaintiff may, on that ground, move for the
dismissal of the complaint; and
If unauthorized appearance is willful, attorney
may be cited for contempt as an officer of the
court who has misbehaved in his official
transactions, and he may be disciplined for
professional misconduct.
A lawyer has authority to bind the client in all
matters of ordinary judicial procedure. The cause of
action, the claim or demand sued upon and the
subject matter of the litigation are within the
exclusive control of the client. A client may waive,
surrender, dismiss, or compromise any of his rights
involved in litigation in favor of the other party even
without or against the consent of his attorney.
(Agpalo, 2009; Bejarasco v. People, G.R. No. 159781,
02 Feb. 2011)
Q: May a lawyer be held liable for damages by his
clients for the lawyer9s failure to file the
necessary pleadings to prosecute the client9s
case and as a result of which the client suffered
damages? (2014 BAR)
Ratification of Unauthorized Appearance
1. Express. It refers to the categorized assertion
by client that he has authorized a lawyer or that
he confirms his authorization to represent him
in the case.
A: YES, a lawyer may be held liable for damages by
his client for failure to represent his client with zeal
(Canon 19, CPR) and for not serving his client with
competence and diligence. (Canon 18, CPR)
2. Implied. It is where a party, with knowledge of
fact that a lawyer has been representing him in
a case, accepts benefits of representation or
fails to promptly repudiate the assumed
authority.
USE OF FAIR AND HONEST MEANS
Forms of Implied Ratification
RULE 19.01, CANON 19
A lawyer shall employ only fair and honest
means to attain the lawful objectives of his
client and shall not present, participate in
presenting or threaten to present, participate
in presenting or threaten to present
unfounded criminal charges to obtain an
improper advantage in any case or
proceeding. (1997 BAR)
Implied ratification may take various forms, such as
by silence or acquiescence, or by acceptance and
retention of benefits flowing therefrom. (Chong v.
Court of Appeals, G.R. No. 148280, 10 July 2007)
Requisites of Implied Ratification by Silence
1.
2.
3.
The party represented by the attorney is of age
or competent or if he suffers from any disability,
he has a duly appointed guardian or legal
representative.
The party or his guardian, as the case may be, is
aware of the attorney9s representation.
He fails to promptly repudiate assumed
authority.
Rule 19.01 of the CPR obligates a lawyer, in
defending his client, to employ only such means as
are consistent with truth and honor. He should not
prosecute patently frivolous and meritless appeals
or institute clearly groundless actions. The act of a
lawyer in preventing the execution of the judgment
against his clients shows that he actually committed
what the above rule expressly prohibits. (Que v.
Revilla, A.C. No. 7054, 04 Dec. 2009)
NOTE: Ratification retroacts to the date of the
lawyer9s first appearance and validates the action
taken by him. (Land Bank of the Philippines v.
Pamintuan Development Co., G.R. No. 167886, 25 Oct.
2005)
Under this rule, a lawyer should not file or threaten
to file any unfounded or baseless criminal case or
cases against the adversaries of his client designed
95
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
what would you do in light of your client's
disclosure that he perjured himself when he
testified? (2013 BAR)
to secure a leverage to compel the adversaries to
yield or withdraw their own cases against the
lawyer9s client. (Malvar v. Feir, A.C. No. 11871, 05
Mar. 2018)
A: I shall promptly call upon Carlos Negar, my client,
to rectify his perjured testimony by recanting the
same before the court. Should he refuse or fail to do
so I shall then terminate my relationship with him
(Canon, 19, Rule 19.02) stating that with his having
committed perjury he persuaded an illegal conduct
in connection with the case. (Ibid., Canon 22, Rule
22.01)
CLIENT9S FRAUD
RULE 19.02, CANON 19
A lawyer who has received information that his
client has, in the course of the representation,
perpetrated a fraud upon a person or tribunal,
shall promptly call upon the client to rectify the
same, and failing which he shall terminate the
relationship with such client in accordance
with the Rules of Court.
Q: In a prosecution for a murder against a
ranking army officer, the latter engaged the
services of RS, a well-known trial lawyer, to
whom the officer in one of their conferences
disclosed a plan to eliminate or salvage4i.e., kill
or otherwise cause to disappear4the only
witness, a fellow military officer, through a
contrived traffic or highway vehicular accident.
The lawyer9s duty to his client does not mean
freedom to set up false or fraudulent claims
especially with respect to provisions of law or
administrative rules and that while lawyers are
bound to exert utmost legal skill in prosecuting their
client9s cause or defending it, their duty, first and
foremost, is to the administration of justice. (CPR
Annotated, PhilJA)
a.
NOTE: It is an unethical tactic for a lawyer to offer
monetary rewards to anyone who could give him
information against a party so that he could have
leverage against all actions involving such party.
(CPR Annotated, PhilJA)
b. Should the planned accident take place, and
the witness to the prosecution be killed, as a
result, is Atty. RS under any obligation to
disclose to the authorities the plan that his
client had mentioned to him, as above
mentioned?
Q: Atty. Bravo represents Carlos Negar (an
insurance agent for Dormir Insurance Co.) in a
suit filed by insurance claimant Andy Limot who
also sued Dormir Insurance. Limot testified
during the trial that he had mailed the notice of
the loss to the insurance agent, but admitted
that he lost the registry receipt so that he did not
have any documentary evidence of the fact of
mailing and of its timeliness. Dormir Insurance
denied liability contending that the timely
notice had not been given either to the company
or its agent.
A:
a. Atty. RS has the obligation to disclose such facts
to authorities. The announced intention of a
client to commit a crime is not included within
the confidences which his attorney is bound to
respect. The attorney cannot reveal to anybody
the facts stated by the client as regards the case
proceedings. However, this is not an absolute
rule. The privilege is limited or has reference
only to communications which are within the
ambit of lawful employment and does not
extend to those transmitted in contemplation of
future crimes or fraud.
A few days after Negar testified, he admitted to
Atty. Bravo that he had lied when he denied
receipt of Limot's notice; he did receive the
notice by mail but immediately shredded it to
defeat Limot's claim. If you were Atty. Bravo,
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
What are the legal and moral obligations of
Atty. RS to his client and to the authorities,
under the given circumstances?
b.
YES. Atty. RS has the obligation to disclose such
information to the authorities. As provided for
`
96
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Authority of counsel to compromise
by Rule 19.02 of Canon 19, a lawyer shall not
allow his client to perpetrate fraud. He shall
promptly advise the client to rectify the same,
and if the client refuses to heed the lawyer's
advice for rectification, the lawyer must
withdraw from the case. (People v.
Sandiganbayan, G.R. Nos. 115439-41, 16 July
1997)
GR: The attorney has no authority to
compromise his client9s case because the client,
even if represented by counsel, retains exclusive
control over the subject matter of the litigation. The
client can, of course, authorize his lawyer to
compromise his case, and the settlement made by
the lawyer will bind his client.
Q: If the lawyer is counsel de parte for the
accused and he learns later after accepting the
case and while trial is ongoing that his client was
indeed the perpetrator of the crime, may the
lawyer withdraw his appearance from the case?
Why or Why not? (2014 BAR)
XPNs:
1.
A: He may withdraw his appearance but in
accordance with procedure in Section 26, Rule 138
of the Rules of Court. Moreover, Rule 19.02 of the
CPR provides that <a lawyer who has received
information that his client has, in the course of the
representation, perpetuated a fraud upon a person
or tribunal, shall promptly call upon the client to
rectify the same, and failing which, he shall
terminate the relationship with such client in
accordance with the Rules of Court.=
2.
NOTE: The Rules of Court requires lawyers to
secure special authority from their clients when
entering into a compromise agreement that
dispenses with litigation (Luna v. Galarrita, A.C.
No.10662, 07 July 2015)
Duty of the Lawyer in gathering Information
regarding the Case
PROCEDURE IN HANDLING THE CASE
RULE 19.03, CANON 19
A lawyer shall not allow his client to dictate the
procedure in handling the case.
The lawyer cannot entirely depend on the
information his client gave or the time his client
wished to give. The lawyer should take more control
over handling the case. Where the client is based
overseas, the lawyer should with more reason, have
moved to secure all the legal means available to him
either to continue representing his client effectively
or to make the necessary manifestation in court,
with the client9s conformity, that he was
withdrawing as counsel of record. (CPR Annotated,
PhilJA)
Who has control over the case?
1.
When the lawyer is confronted with an
emergency where prompt and urgent action is
necessary to protect the interest of his client
and there is no opportunity for consultation
with the latter.
Settlement of monetary obligation to client is
full payment in cash.
As to matters of procedure, it is the client who
yields to the lawyer and not the lawyer yielding
to the client. (Lapeña Jr., 2009)
NOTE: The basis of this rule is that the lawyer
is better trained and skilled in law.
Appearance
2.
As to subject matter, the client is in control.
It is the coming into court as a party either as a
plaintiff or as a defendant and asking relief
therefrom. (Agpalo, 2009)
NOTE: Cause of action, claim or demand, and
subject of litigation are within client9s control.
Proceedings to enforce the remedy are within
the exclusive control of the attorney.
97
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Kinds of Appearance
aspects of the case. Certainly, whether or not to
appeal an adverse decision is a substantive mater
which is exclusively for the client to decide. Having
filed an appeal against the decision of his client, the
lawyer should be held liable for its negative result.
1. General Appearance. It is as such when a party
comes to court either as plaintiff or defendant
and seeks general reliefs from the court for
satisfaction of his claims or counterclaims
respectively. (Agpalo, 2009)
2. Special Appearance Here, in this case, a
defendant appears in court solely for the
purpose of objecting to the jurisdiction of the
court over his person. (Agpalo, 2009)
Entry of Appearance vs. Appearance of Counsel
Entry of appearance is the written manifestation
submitted by the counsel of record to inform the
court that he will act as the counsel of a party made
before the date of the hearing; whereas,
appearance of counsel is the verbal manifestation
of the counsel in order for the court to recognize his
presence during the hearing of the case. (Sec. 21,
Rule 138, Rules of Court)
Q: Pedro was accused of the crime of murder
before the RTC and was found guilty of homicide.
His counsel, Atty. Nestor, told him that he will
file an appeal before the Court of Appeals (CA)
because he believes that the claim of selfdefense of Pedro will be given merit by the
appellate court and that he will be acquitted.
Pedro explains that he is amenable to the
penalty imposed upon him. Notwithstanding the
opposition of the accused, Atty. Nestor went on
with the appeal. The CA decided that the
conviction should be for murder in view of the
qualifying circumstance. A petition with the
High Court proved futile. Pedro hires you to file
a disbarment suit against Atty. Nestor. What
cannon or rule of the CPR will you use as ground
for the suit? Explain. (2016 BAR)
A: I will base my action on Canon 19, particularly
Rule 19.03 of the CPR which provides that <a lawyer
shall not allow the client to dictate the procedure in
handling the case.= The other side of the coin of this
rule is that the substantive aspects of the case are
within the sole authority of the client to decide. The
lawyer9s authority is limited only to the procedural
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
98
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
ATTORNEY9S FEES
employment as a result of acceptance
of the proffered case;
CANON 20
A lawyer shall charge only fair and reasonable
fees.
f.
The customary charges for similar
services and the schedule of fees of the
IBP chapter to which he belongs;
GR: Only lawyers are entitled to attorney9s fees. The
same cannot be shared with a non-lawyer. It is
unethical.
g.
The amount involved in the
controversy and the benefits resulting
to the client from the service;
h.
The contingency
compensation;
i.
The character of the employment,
whether occasional or established;
and
j.
The professional standing of the
lawyer.
XPNs: A lawyer may divide a fee for legal services
with another under the following instances: (C-P-R)
1.
2.
3.
A lawyer undertakes to Complete the
unfinished legal business of a deceased lawyer;
There is a Pre-existing agreement with a
partner or associate that, upon the latter9s
death, money shall be paid over a reasonable
period of time to his estate or to persons
specified in the agreement;
A lawyer or law firm includes non-lawyer
employees in Retirement plan, even if the plan
is based, in whole or in part, on a profit-sharing
agreement. (Rule 9.02, CPR)
Unless otherwise expressly stipulated, rendition of
professional services by a lawyer is for a fee or
compensation and is not gratuitous. (Research and
Services Realty, Inc. v. CA, G.R. No. 124074, 27 Jan.
1997)
b.
The novelty and difficulty of the
questions involved;
c.
The importance of the subject matter;
d.
The skill demanded;
e.
The
probability
of
losing
of
In the absence thereof, the amount of attorney9s fees
is fixed on the basis of quantum meruit. (Sesbreno v.
Court of Appeals, G.R. No. 117438, 08 June 1995; Funa,
2009)
Kinds of Payment
RULE 20.01, CANON 20
A lawyer shall be guided by the following
factors in determining his fees:
The time spent and the extent of the
service rendered or required;
certainty
NOTE: Generally, the amount of attorney9s fees due
is that stipulated in the retainer agreement which is
conclusive as to the amount of lawyer9s
compensation (Funa, 2009) unless the stipulated
amount in the written contract is found by the court
to be unconscionable or unreasonable. (Sec. 24, Rule
138, Rules of Court, as amended)
NOTE: Entitlement to lawyer9s fees is presumed.
(Funa, 2009)
a.
or
1. Fixed or Absolute Fee. It refers to that which
remains payable regardless of the result of the
case.
a. A fixed fee payable per appearance
b. A fixed fee computed upon the number of
hours spent
c. A fixed fee based on piece work
d. Combination of any of the above
2. Contingent Fee. It refers to that which is
conditioned on the securing of a favorable
judgment and recovery of money or property
and the amount of which may be on a
other
99
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
other services. (Mambulao Lumber Co. v. Philippine
National Bank, G.R. No. L-22973, 30 Jan. 1968)
percentage basis.
Requisites for the Accrual of Attorney9s Fees
No court shall be bound by the opinion of attorneys
as expert witnesses as to the proper compensation,
and may disregard such testimony and base its
conclusion on its professional knowledge. A written
contract for services shall control the amount to be
paid therefor, unless found by the court to be
unconscionable or unreasonable. (Sec. 24, Rule 138,
Rules of Court, as amended)
For the accrual of attorney9s fees to take place, the
following requisites must be present:
1.
2.
the existence of the attorney-client
relationship; and,
the rendition by the lawyer of services to
the client.
NOTE: A pauper, while exempted from payment of
legal fees is not exempted from payment of
attorney9s
fees.
(Cristobal
v.
Employees9
Compensation Commission, G.R. No. L-49280, 26 Feb.
1981)
Factors to consider in determining the amount
of attorney9s fees in the absence of any fee
arrangement (T-I-N-S)
1.
Time spent and the services rendered or
required. A lawyer is justified in fixing higher
fees when the case is so complicated and
requires more time and effort in fixing it.
2.
Importance of subject matter. The more
important the subject matter or the bigger the
value of the interest of the property in litigation,
the higher is the attorney9s fees.
3.
Novelty and difficulty of questions involved.
When the questions in a case are novel and
difficult, greater effort, deeper study and
research are bound to burn the lawyer9s time
and stamina considering that there are no local
precedents to rely upon.
4.
Skill demanded of a lawyer. The totality of the
lawyer9s experience provides him skill and
competence admired in lawyers.
Factors in determining the Attorney9s Fees
(1994, 2015 BAR)
In determining what is fair and reasonable, a lawyer
shall be guided by the following factors: (S-T-I-P-SN-A-C-C-C)
Skill demanded;
Time spent and the extent of the services
rendered or required;
3. Importance of the subject matter;
4. Probability of losing other employment as a
result of acceptance of the proffered case;
5. Professional Standing of the lawyer;
6. Novelty and difficulty of the questions involved;
7. Amount involved in the controversy and the
benefits resulting to the client from the
services;
8. Customary Charges for similar services and the
schedule of fees of the IBP chapter to which he
belongs;
9. Contingency or certainty of compensation; and
10. Character of the employment, whether
occasional or established. (Rule 20.01)
1.
2.
Different Types of Fee Arrangements
1.
Retainer9s fee where the lawyer is paid for
services for an agreed amount for the case.
a.
NOTE: Imposition of interest in the payment of
attorney9s fees is not justified. (Funa, 2009)
Contracts for attorney9s services in this jurisdiction
stands upon an entirely different footing from other
contract for the payment of compensation for any
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
General 3 the fee paid to a lawyer to
secure his future services as general
counsel for any ordinary legal problem
that may arise in the routinary
business of the client and referred to
him for legal action.
`
100
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
b.
2.
The lawyer agrees to be paid per court
appearance.
3.
Contingent fee where the lawyer is paid for his
services depending on the success of the case.
This applies usually in civil suits for money or
property where the lawyer9s fee is taken from
the award granted by the court.
4.
5.
6.
Q: Spouses de Guzman engaged the legal
services of Atty. Rosario, Jr. as defense counsel
in a complaint filed against them. As
represented by Atty. Rosario, Spouses de
Guzman won their case at all levels, from RTC to
the Supreme Court. Atty. Rosario filed a Motion
to Determine Attorney's Fees. He alleged that he
had a verbal agreement with the Spouses and
that he would get 25% of the market value of the
subject land if the complaint filed against them
would be dismissed. Despite the fact that he had
successfully represented them, the spouses
refused his written demand for payment of the
contracted attorney9s fees. Is Atty. Rosario
entitled to recover his attorney9s fees?
Special 3 a fee for a specific case
handled or special service rendered by
the lawyer for a client. If for every case
there is a separate and independent
contract for attorney's fees, each fee is
considered a special retainer. (Traders
Royal
Bank
Employees
UnionIndependent v. NLRC and Cruz, G.R. No.
120592, 14 Mar. 1997)
A: YES. In the case at bench, the attorney9s fees
being claimed by the petitioner refers to the
compensation for professional services rendered,
and not as indemnity for damages. The award of
Attorney de officio. The attorney is appointed by
the court to defend the indigent litigant in a
criminal case. The client is not bound to pay the
attorney for his services although he may be
paid a nominal fee taken from a public fund
appropriated for the purpose.
indemnity for damages, forms part of the judgment
recoverable against the losing party and is to be
paid directly to Spouses de Guzman and not to Atty.
Rosario. Thus, to grant petitioner9s motion to
determine attorney9s fees would not result in a
double award of attorney9s fees. The amount of
attorney9s fees must be based in quantum meruit.
Legal aid. The attorney renders legal services
for those who could not afford to engage the
services of paid counsel.
Atty. Rosario served as defense counsel for Spouses
de Guzman for almost seventeen (17) years. Given
the considerable amount of the time spent, the
diligent effort exerted by Rosario, and the quality of
work shown by him in ensuring the successful
defense of his clients, he clearly deserves to be
awarded reasonable attorney9s fees for services
rendered. Justice and equity dictate that petitioner
be paid his professional fee based on quantum
meruit. (Rosario v. de Guzman, G.R. No. 191247, 10
July 2013)
Quantum meruit basis. If there is no specific
contract between the lawyer and the client, the
lawyer is paid on quantum meruit basis, that is,
what the lawyer deserves for his services.
NOTE: When the claim for entitlement to attorney's
fees is contingent, but no written agreement has
been executed bearing the supposed contingent
fees, the only way to determine the same is to apply
the principle of quantum meruit. The recovery of
attorney's fees on the basis of quantum meruit is a
device that prevents an unscrupulous client from
running away with the fruits of the legal services of
counsel without paying for it and it also avoids
unjust enrichment on the part of the attorney
himself. (National Power Corporation v. Heirs of
Sangkay, G.R. No. 165828, 24 Aug. 2011)
Q: Concept Placement retained the services of
Atty. Funk. Under their retainer contract, Atty.
Funk is to render various legal services except
litigation, quasi-judicial and administrative
proceedings and similar actions for which there
will be separate billings. Thereafter, Atty. Funk
represented Concept Placement in the case filed
against it for illegal dismissal. While the labor
101
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
case was still pending, Concept Placement
terminated the services of Atty. Funk.
Nevertheless, Atty. Funk continued handling the
case. Atty. Funk then advised Concept Placement
of the POEA9s favorable decision and requested
the payment of his attorney9s fees. Concept
Placement refused. Is Atty. Funk entitled to
attorney9s fees for assisting Concept Placement
as counsel in the labor case even if the services
of Atty. Funk were already terminated?
attorney's fees. That Zuellig Pharma had to file an
interpleader case to consign its rental payments did
not mean that Lui Enterprises was in bad faith in
insisting that rental payments be paid to it. (Lui
Enterprises, Inc. v. Zuellig Pharma Corporation, G.R.
No. 193494, 12 Mar. 2014)
Retainer
A: YES. The expiration of the retainer contract
between the parties during the pendency of the
labor case does not extinguish the respondent9s
right for attorney9s fees. The Court found that while
the petitioner and the respondent did not execute a
written agreement on the fees in the labor case
aside from the Retainer Agreement, the petitioner
did categorically and unequivocally admit in its
Compulsory Counterclaim that it has engaged the
services of the respondent as its counsel for a fee of
. (Concept Placement Resources Inc. v.
Atty. Funk, G.R. No. 137680, 06 Feb. 2004)
This is the act of the client by which he employs
a lawyer to manage for him a cause to which he
is a party, or otherwise to advise him as counsel.
2.
It also refers to a fee which the client pays his
attorney whom he retains. (Pineda, 2009)
Retaining Fee
A retaining fee is a preliminary fee given to an
attorney or counsel to insure and secure his future
services, and induce him to act for the client. (Pineda,
2009)
Kinds of Retainer Agreements on Attorney9s
Fees
Q: Lui Enterprises, Inc. and Zuellig Pharma
Corporation entered into a 10-year contract of
lease over a parcel of land. Claiming to be the
new owner of the leased property, the
Philippine Bank of Communications asked
Zuellig Pharma to pay rent directly to it. Due to
the conflicting claims of Lui Enterprises and the
Philippine Bank of Communications over the
rental payments, Zuellig Pharma filed a
complaint for interpleader with RTC.
1. General Retainer (or Retaining fee). It is the
fee paid to a lawyer to secure his future services
as general counsel for any ordinary legal
problem that may arise in the ordinary business
of the client and referred to him for legal action.
The client pays fixed retainer fees, which could
be monthly or otherwise. The fees are paid
whether or not there are cases referred to the
lawyer.
On the award of attorney9s fees, the Court of
Appeals sustained the trial court in its award
since Zuellig Pharma was constrained to file the
action for interpleader with consignation in
order to protect its interests. Is Zuellig Pharma
entitled to attorney9s fees?
2. Special retainer. It is a fee for a specific or
particular case or service rendered by the
lawyer for a client. (Pineda, 2009)
Q: Atty. M is a partner in the law firm OMP &
Associates. C, a former classmate of Atty. M
engaged the legal services of Atty. M to handle
his appeal to the Court of Appeals (CA) from an
adverse decision of the Regional Trial Court
(RTC) in his annulment case. After the notice to
file brief was issued by the CA, Atty. M met an
accident which incapacitated him from further
engaging law practice. May Atty. P, his partner in
A: NO. The award of attorney9s fees is the exception
rather than the rule. It is not awarded to the
prevailing party <as a matter of course.= In this case,
the Court of Appeals awarded attorney's fees as
<Zuellig Pharma was compelled to litigate with third
persons or to incur expenses to protect its
interests.= This is not a compelling reason to award
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
1.
`
102
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
the law firm, file the required appeal brief for C?
Explain your answer. (2014 BAR)
3.
A: It depends on whether or not C knew Atty. M to
be a partner of the OMP & Associates law firm when
he hired him.
4.
5.
6.
Generally, the retainer of a member of a law firm is
equivalent to the retainer of the firm itself. Thus, if
the said member dealt with dies or is incapacitated
to render service, then the law firm is bound to
provide a substitute. Hence, Atty. P may file the
required brief for C.
Q: A client refuses to pay Atty. A his contracted
attorney's fees on the ground that counsel did
not wish to intervene in the process of effecting
a fair settlement of the case. Decide. (2001 BAR)
On the other hand, if Atty. M was retained alone,
without the knowledge that he belonged to a law
firm, P may not file the required brief without the
consent of the latter. There is no statement in the
problem that C knew M to be a member of the law
firm OMP & Associates at the time that C engaged his
services.
A: Rule 1.04 of the CPR provides that "a lawyer shall
encourage his clients to avoid, end or settle a
controversy if it will admit of a fair settlement". If a
lawyer should refuse to intervene in a settlement
proceeding, his entitlement to his attorney's fees
may be affected. However, if he has already
rendered some valuable services to the client, he
must be paid his attorney's fees on the basis of
quantum meruit, even if it is assumed that he is
dismissed.
Q: Atty. Francisco9s retainer agreement with
RXU said that his attorney's fees in its case
against CRP <shall be 15% of the amounts
collected.= Atty. Francisco asked the trial court
to issue a temporary restraining order against
CRP but this was denied, prompting him to file a
petition for certiorari with the Court of Appeals
to question the order of denial. At this point,
RXU terminated Atty. Francisco9s services. When
the parties later settled their dispute amicably,
Instances when Counsel cannot recover the Full
Amount
despite
Written
Contract
for
Attorneys9 Fees (2006 BAR)
1.
Francisco came around and claimed a 15%
share in the amount. What should be his
attorney9s fees? (2011 BAR)
2.
A: A reasonable amount that the court shall fix upon
proof of quantum meruit which means <as much as
he deserves.=
3.
Instances when the Measure of Quantum Meruit
may be resorted to (2007, 2015 BAR)
4.
1.
5.
2.
unconscionable or unreasonable by the court;
The contract for attorney9s fees is void due to
purely formal matters or defects of execution;
The counsel, for justifiable cause, was not able
to finish the case to its conclusion;
Lawyer and client disregard the contract for
attorney9s fees; and
The client dismissed his counsel before the
termination of the case.
There is no express contract for payment of
attorney9s fees agreed upon between the lawyer
and the client;
Although there is a formal contract for
attorney9s fees, the stipulated fees are found
6.
103
When the services called for were not
performed as when the lawyer withdrew before
the case was finished, he will be allowed only
reasonable fees;
When there is a justified dismissal of the
attorney, the contract will be nullified and
payment will be on the basis of quantum meruit
only. A contrary stipulation will be invalid;
When the stipulated attorney9s fees are
unconscionable, when it is disproportionate as
compared to the value of services rendered and
is revolting to human conscience;
When the stipulated attorney9s fees are in
excess of what is expressly provided by law;
When the lawyer is guilty of fraud or bad faith
toward his client in the matter of his
employment;
When the counsel9s services are worthless
because of his negligence;
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
7.
8.
Q: Rose engaged the services of Atty. Jack as
counsel for five cases. In the Retainer
Agreement, Rose agreed to pay Atty. Jack the
amount of 200,000.00 as Acceptance Fee for
the five cases plus an additional 1,500.00
Appearance Fee per hearing and if damages are
recovered, she would pay Atty. Jack 10% as
success fee.
When the contract is contrary to law, morals or
public policy; and
Serving adverse interest unless the lawyer
proves that it was with the consent of both
parties.
Rationale behind the Rule that the Court may
reduce Unconscionable Attorney9s Fees
1.
A lawyer is primarily an officer of the court;
hence, attorney9s fees should be subject to
judicial control.
2.
Sound public policy demands that courts
disregard stipulations for attorney9s fees when
they appear to be a source of speculative profit
at the expense of the debtor or mortgagor.
(Borcena v. IAC, et. al., G.R. No. 70099, 07 Jan.
1987)
Rose issued two checks amounting to
51,716.54 in favor of Atty. Jack. However,
despite receipt of said amounts, he failed to file
a case in one of the five cases referred to him;
one case was dismissed due to untimely appeal;
and another case was dismissed but he failed to
inform Rose about it before she left for abroad.
Dissatisfied with the outcome of her cases she
demanded from Atty. Jack the return of all the
records she had entrusted to him however he
returned only two of the five cases. She filed a
complaint charging him with violation of Canon
16 and 16.03 of the CPR.
NOTE: A trial judge may not order the reduction of
the attorney9s fees on the ground that the attorney
is <below average standard of a lawyer.= The
opinion of the judge as to the capacity of a lawyer is
not a basis of the right to a lawyer9s fees. (Fernandez
v. Hon. Bello, G.R. No. L-14277, 30 Apr. 1960)
Was there a violation of the said Canon by the
respondent?
A: NONE. From the records of the case, it was found
that four of the cases referred by Rose were filed but
were dismissed or terminated for causes not
attributable to Atty. Jack; and that there was no
probable cause to maintain the suit. No fault or
negligence can be attributed to Atty. Jack. Rose still
owes payment of acceptance fee because she only
ACCEPTANCE FEES
An acceptance fee is generally non-refundable, but
such rule presupposes that the lawyer has rendered
legal service to his client. In the absence of such
service, the lawyer has no basis for retaining
complainant's payment. (Martin v. Atty. Dela Cruz,
A.C. No. 9832, 04 Sept. 2017)
Q: B hired Atty. Z to file a replevin case against C
An acceptance fee is not a contingent fee, but is an
absolute fee arrangement which entitles a lawyer to
get paid for his efforts regardless of the outcome of
the litigation. Dissatisfaction from the outcome of
the cases would not render void the retainer
agreement for Atty. Jack appears to have
represented the interest of Rose. (Yu v. Bondal, A.C.
No. 5534, 17 Jan. 2005)
which was evidenced by a written contract. After
the complaint was filed by Atty. Z, B terminated
his services and hired a new lawyer for the same
amount of attorney9s fees. How much attorney9s
fees is Atty. Z entitled to? (2014 BAR)
A: Atty. Z is entitled to the entire amount of the
attorney9s fees agreed upon because his services
were terminated by the client without just cause.
(Sec. 26, Rule 138, Rules of Court, as amended)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
NOTE: The expiration of the retainer contract
between the parties during the pendency of the
labor case does not extinguish the respondent9s
right to attorney9s fees. (Uy v. Gonzales, A.C. No. 5280,
`
104
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Limitation of the Stipulation
Contingent Fee Contract
30 Mar. 2004)
regarding
CONTINGENCY FEE ARRANGEMENTS
It must be reasonable based on the circumstance of
the case. Contingent fee contracts are under the
supervision and close scrutiny of the court in order
that clients may be protected from unjust charges.
Its validity depends on the measure of
reasonableness of the stipulated fees under the
circumstances of the case. Stipulated attorney9s fees
must not be unconscionable wherein the amount is
by far so disproportionate compared to the value of
the services rendered as to amount to fraud
perpetrated to the client. (Sesbreno v. CA, G.R. No.
117438, 08 June 1995)
Contingency Fee Contract
One which stipulates that the lawyer will be paid for
his legal services only if the suit or litigation ends
favorably to the client. (Taganas v. NLRC, G.R. No.
118746, 07 Sept. 1995)
It is like a contract subject to a suspensive condition
wherein the obligation to pay the counsel is based
upon the outcome of the case. (Pineda, 2009)
A contingent fee arrangement is valid in this
jurisdiction and is generally recognized as valid and
binding but must be in an express contract. The
amount of contingent fee agreed upon by the parties
is subject to the stipulation that counsel will be paid
for his legal services only if the suit or litigation
prospers. A much higher compensation is allowed
as contingent fee in consideration of the risk that the
lawyer may get nothing if the suit fails. (Rayos v. Atty.
Hernandez, G.R. No. 169079, 12 Feb. 2007)
Q: The stipulation between the lawyer and
counsel is as follows, <the attorney9s fees of the
Atty. X will be ½ of whatever the client might
recover from his share in the property subject of
the litigation.= Is the stipulation valid?
A: YES. The stipulation made is one of a contingent
fee which is allowed by the CPE and the CPR. It does
not violate the prohibition of acquisition of property
subject of the litigation by the lawyer provided for
in the Civil Code since the prohibition applies only
to a sale or assignment to the lawyer by his client
during the pendency of the litigation. The transfer
actually takes effect after the finality of the
judgment and not during the pendency of the case.
As such it is valid stipulation between the lawyer
and client.
NOTE: If a lawyer employed on contingent basis
dies or becomes disabled before the final
adjudication or settlement of the case has been
obtained, he or his estate will be allowed to recover
the reasonable value of the services rendered. The
recovery will be allowed only after the successful
termination of the litigation in the client9s favor
(Morton v. Forsee, Ann. Cas. 1914 D. 197; Lapeña Jr.,
2009; Pineda, 2009)
Acceptance of an initial fee before or during the
progress of the litigation does not detract from
the contingent nature of the fees.
Rationale for Contingent Fee Contracts
Contracts of this nature (contingent fee contract)
are permitted because they redound to the benefit
of the poor client and the lawyer especially in cases
where the client has meritorious cause of action, but
no means with which to pay for the legal services
unless he can, with the sanction of law, make a
contract for a contingent fee to be paid out of the
proceeds of the litigation. (Rayos v. Atty. Hernandez,
G.R. No. 169079, 12 Feb. 2007)
The acceptance of an initial fee before or during the
progress of the litigation does not detract from the
contingent nature of the fees, as long as the bulk
thereof is made dependent upon the successful
outcome of the action. (Francisco v. Matias, G.R. No.
L-16349, 31 Jan. 1964)
Q: Chester asked Laarni to handle his claim to a
sizeable parcel of land in Quezon City against a
well-known property developer on a contingent
fee basis. Laarni asked for 15% of the land that
105
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Q: Evangelina Masmud9s husband, the late
Alexander, filed a complaint against his
employer for non-payment of permanent
disability benefits, medical expenses, sickness
allowance, moral and exemplary damages, and
attorney9s fees. He engaged the services of Atty.
Go, as his counsel and agreed to pay attorney9s
fees on a contingent basis, as follows: 20% of
total monetary claims as settled or paid and an
additional 10% in case of appeal. The Labor
Arbiter granted the monetary claims of
Alexander.
may be recovered or 15% of whatever monetary
settlement that may be received from the
property developer as her only fee contingent
upon securing a favorable final judgment or
compromise settlement. Chester signed the
contingent fee agreement.
Assuming that the property developer settled
the case after the case was decided by the
Million on the ground that it is excessive. Is the
refusal justified? Explain. (2008 BAR)
Eventually, after several appeals, the decision
being favorable to Evangelina (substituted her
deceased husband), the decision became final
and executory. Upon motion of Atty. Go, the
surety company delivered to the NLRC Cashier,
.
A: The refusal of Chester to pay is unjustified. A
contingent fee is impliedly sanctioned by Rule
20.01(f) of the CPR. A much higher compensation is
allowed as contingent fees in consideration of the
risk that the lawyer will get nothing if the suit fails.
In several cases, the Court has indicated that a
contingent fee of 30% of the money or property that
may be recovered is reasonable. Moreover, although
the developer settled the case, it was after the case
was decided by the RTC in favor of Chester, which
shows that Atty. Laarni has already rendered
service to the client.
Thereafter, Atty. Go moved for the release of the
said amount to Evangelina. Out of the said
amount, Evangelina paid Atty. Go the sum of
to record and enforce the attorney9s lien alleging
that Evangelina reneged on their contingent fee
agreement. Evangelina manifested that Atty.
Go9s claim for attorney9s fees of 40% of the total
monetary award was null and void based on
Article 111 of the Labor Code. Is her contention
correct?
Q: Assuming that there was no settlement and
the case eventually reached the Supreme Court
which promulgated a decision in favor of
Chester.
A: NO. Art. 111 of the Labor Code provides that in
cases of unlawful withholding of wages, the culpable
party may be assessed attorney's fees equivalent to
ten percent of the amount of the wages recovered.
(This time) Chester refused to convey to Laarni
15% of the litigated land as stipulated on the
ground that the agreement violates Article 1491
of the Civil Code, which prohibits lawyers from
acquiring by purchase properties and rights,
which are the object of litigation in which they
take part by reason of their profession. Is the
refusal justified? Explain. (2008 BAR)
Contrary to Evangelina9s proposition, the
aforementioned provision deals with the
extraordinary concept of attorney9s fees. It
regulates the amount recoverable as attorney's fees
in the nature of damages sustained by and awarded
to the prevailing party. It may not be used as the
standard in fixing the amount payable to the lawyer
by his client for the legal services he rendered.
A: Chester9s refusal is not justified. A contingent fee
arrangement is not covered by Art. 1491 of the Civil
Code, because the transfer or assignment of the
property in litigation takes effect only upon finality
of a favorable judgment. (Director of Lands v. Ababa,
G.R. No. L-26096, 27 Feb. 1979; Macariola v. Asuncion,
A.C. No. 133-J, 31 May 1982)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
In this regard, Sec. 24, Rule 138 of the Rules of Court
should be observed in determining Atty. Go9s
compensation. The said Rule provides:
`
106
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Contingent vs. Champertous Contract
Sec. 24. Compensation of attorneys;
agreement as to fees. An attorney shall be
entitled to have and recover from his client
no more than a reasonable compensation
for his services, with a view to the
importance of the subject matter of the
controversy, the extent of the services
rendered, and the professional standing of
the attorney. No court shall be bound by
the opinion of attorneys as expert
witnesses as to the proper compensation
but may disregard such testimony and base
its conclusion on its own professional
knowledge. A written contract for services
shall control the amount to be paid
therefor unless found by the court to be
unconscionable or unreasonable.
CONTINGENT
CONTRACT
CHAMPERTOUS
CONTRACT
As to the Manner of Payment
Payable in cash 3
dependent on the
success of the litigation
Payable in kind 3 a
portion of the thing or
property recovered as
compensation
As to the Extent of Undertaking
Lawyers
do
not
undertake to pay all
expenses of litigation
Lawyers undertake to
pay all expenses of
litigation
As to Validity
Valid
The retainer contract between Atty. Go and
Evangelina provides for a contingent fee. The
contract shall control in the determination of the
amount to be paid, unless found by the court to be
unconscionable or unreasonable. The criteria found
in the CPR are also to be considered in assessing the
proper amount of compensation that a lawyer
should receive. (Canon 20, Rule 20.01, CPR;
Evangelina Masmud v. NLRC, et. al., G.R. No. 183385,
13 Feb. 2009)
Void
Q: Complainants engaged the legal services of
Atty. Bañez, Jr. in connection with the recovery
of their properties from Fevidal. Complainants
signed a contract of legal services, where it was
agreed that they would not pay acceptance and
appearance fees to Atty. Bañez, Jr., but that the
docket fees would instead be shared by the
parties. Under the contract, complainants would
pay respondent 50% of whatever would be
recovered of the properties. Did Atty. Bañez, Jr
violate any canon of the CPR?
Champertous Contract
It is one where the lawyer stipulates with his client
in the prosecution of the case that he will bear all the
expenses for the recovery of things or property
being claimed by the client, and the latter agrees to
pay the former a portion of the thing or property
recovered as compensation. (Baltazar et al. v. Bañez,
A.C. No. 9091, 11 Dec. 2013)
A: YES. He violated Canon 16.04 of the CPR, which
states that lawyers shall not lend money to a client,
except when in the interest of justice, they have to
advance necessary expenses in a legal matter they
are handling for the client. He violated such canon
because the contract for legal services he has
executed with complainants is in the nature of a
champertous contract 3an agreement whereby an
attorney undertakes to pay the expenses of the
proceedings to enforce the client9s rights in
exchange for some bargain to have a part of the
thing in dispute. (Baltazar et. al. v. Atty. Bañez,
Jr., A.C. No. 9091, 11 Dec. 2013)
A champertous contract is considered VOID.
It is void due to public policy, because it would make
him acquire a stake in the outcome of the litigation
which might lead him to place his own interest
above that of the client. (Bautista v. Gonzales, A.M.
No. 1625, 12 Feb. 1990)
Q: The contract of attorney's fees entered into by
Atty. Quintos and his client, Susan, stipulates
that if a judgment is rendered in favor of the
latter, Atty. Quintos gets 60% of the property
107
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
and damages
injunction.
recovered as contingent fee. In turn, he will
assume payment of all expenses of the litigation.
May Atty. Quintos and Susan increase the
amount of the contingent fee to 80%? (2006
BAR)
writ
of
preliminary
The said case reached the Supreme Court which
ruled that both the agreement and Ordinance No.
121, as amended, were declared null and void.
The service of Atty. Roxas of RGR & Associates,
the counsel of RREC was terminated by the latter
after filing a complaint and motion for inhibition
against three justices and sheriff who nullified
the Writ of Execution and Sheriff De Jesus'
Notice alleging misconduct without RREC9S
authority.
A: NO. Atty. Quintos and Susan cannot agree to
increase the amount of the contingent fee to 80%
because the agreement is champertous. Even if
there is no champertous provision present, the
contingent fee of 80% of the property recovered
could still be considered as unconscionable, because
it is so disproportionate as to indicate that an unjust
advantage had been taken of the client, and is
revolting to human conscience. Contracts for
attorney's fees are always subject to control by the
courts.
Despite his termination as counsel, Atty. Roxas
continues to insist that he is RREC's legal
counsel. He subsequently filed a Pro Hac Vice
Petition in his personal capacity and without
RREC's authority, Atty. Roxas asserts that RGR &
Associates is RREC's rightful counsel. And that
the termination of RGR & Associates' legal
services was made in bad faith. RREC's
engagement with his firm was made allegedly on
a contingent or a 'no cure, no pay' basis.
Q: A inherited a parcel of land situated in
Batasan Hills which is occupied by informal
settlers. He wanted to eject the occupants, but he
has no financial means to pursue the ejectment
case. He contracted the services of Atty. B, who
agreed to defray all the expenses of the suit on
the condition that he will be paid one-half of the
property to be recovered as his compensation.
What is this kind of attorney9s fees? Can Atty. B
enforce this contract against A? What are the
respective remedies relative to the collection of
attorney9s fees, if any, of A and Atty. B against
each other? (2014 BAR)
Atty. Roxas claims that he was RREC's lawyer for
more than 20 years. He shouldered its litigation
expenses "at all levels of the judiciary" Thus,
Atty. Roxas alleges that RGR & Associates'
engagement with RREC, being one coupled with
interest, was irrevocable. Is he correct?
A: NO. Even assuming Atty. Roxas pursued RREC9s
case at his firm9s expense and on a contingent basis,
the court cannot allow such an agreement. An
agreement of this nature is champertous and void
for being against public policy.
A: This is a champertous contract and not a
contingent contract. In the problem, Atty. B defrays
all the expenses for litigation and gets 50% of the
property to be recovered as his compensation. This
has the characteristics of a champertous contract.
Hence, void for being contrary to public policy. The
legal profession exists to serve the ends of justice
and is not to be conducted as a business enterprise.
Since the contract is void, Atty. B cannot enforce it
against A but A has a cause of action against Atty. B
for unethical conduct.
In Nocom v. Camerino, A champertous contract is
defined as a contract between a stranger and a party
to a lawsuit, whereby the stranger pursues the
party9s claim in consideration of receiving part or
any of the proceeds recovered under the judgment;
a bargain by a stranger with a party to a suit, by
which such third person undertakes to carry on the
litigation at his own cost and risk, in consideration
of receiving, if successful, a part of the proceeds or
subject sought to be recovered.
Q: RREC entered into an agreement with Pasay
City for the reclamation of the foreshore lands
along Manila Bay. Subsequently, the Republic of
the Philippines sued for recovery of possession
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
with
`
108
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Attorney9s Charging Lien
As officers of the court, lawyers should not exploit
nor take advantage of their client9s weaknesses.
Rule 16.04 of the CPR prohibits a lawyer from
lending money to a client except, when in the
interest of justice, he or she has to advance
necessary expenses in a legal matter he or she is
handling for the client. The case of Bautista v.
Gonzales has settled that although a lawyer may, in
good faith, advance the expenses of litigation, the
same should be subject to reimbursement. Thus,
absent a reimbursement agreement, the
champertous contract is void. Lawyers who obtain
an interest in the subject matter of litigation create
a conflict-of-interest situation with their clients and
thereby directly violate the fiduciary duties they
owe their clients. (Roxas vs. Republic Real Estate
Corporation, G.R. No. 2082015, 01 June 2016)
A charging lien is the right of a lawyer to the same
extent upon all judgments for the payment of money,
and executions issued in pursuance of such
judgments which he has secured in a litigation of his
client, from and after the time when he shall have
caused a statement of his claim of such lien to be
entered upon the records of the court rendering
such judgment, or issuing such execution, and shall
have caused written notice thereof to be delivered
to his client and to the adverse party; and he shall
have the same right and power over such judgments
and executions as his client would have to enforce
his lien and secure the payment of his fees and
disbursements. (Sec. 37, Rule 138)
NOTE: The provision permits the registration of an
attorney's lien, although the lawyer concerned does
not finish the case successfully in favor of his client,
because an attorney who quits or is dismissed
before the conclusion of his assigned task is as much
entitled to the protection of the rule. Otherwise, a
client may easily frustrate its purpose. (Palanca v.
Pecson, G.R. Nos. L-6334 and L-6346, 25 Feb. 1954)
ATTORNEY9S LIENS
Attorney9s Retaining Lien
A retaining lien is the right of an attorney to retain
the funds, documents and papers of his client which
have lawfully come into his possession and may
retain the same until his lawful fees and
disbursements have been paid and may apply such
funds to the satisfaction thereof. (Vda. De Caiña, et
al. v. Victoriano et al., G.R. No. L-12905, 26 Feb. 1959)
Elements for Exercise of Charging Lien
(A-S-Mo-CA-R)
1.
2.
3.
NOTE: A lawyer is not entitled to unilaterally
appropriate his client9s money for himself by the
mere fact alone that the client owes him attorney9s
fees. (Rayos v. Hernandez, G.R. No. 169079, 12 Feb.
2007)
4.
5.
Elements for the exercise of retaining lien
(A-L-U)
1.
2.
3.
Attorney-client relationship;
Legal Services was rendered;
Favorable Money judgment secured by the
counsel for his client;
The attorney has a Claim for Attorney9s fees or
advances; and
A statement of the claim has been duly
Recorded in the case with notice thereof served
upon the client and the adverse party.
NOTE: A charging lien, to be enforceable as a
security for the payment of attorney9s fees, requires
as a condition sine qua non a judgment for money
and execution in pursuance of such judgment
secured in the main action by the attorney in favor
of his client. (Rolloza et al. v. Eastern
Telecommunications Phils., Inc. G.R. No. 104600, 02
July 1999; MEBTC v. CA, G.R. No. 86100-03, 23
January 1990)
Attorney-client relationship;
Lawful possession by the lawyer of the client9s
funds, documents and papers in his
professional capacity; and
Unsatisfied claim for attorney9s fees or
disbursements. (Miranda v. Atty. Carpio, A.C. No.
6281, 26 Sept. 2011; Ampil v. Judge Agrava, G.R.
No. L-27394, 31 July 1970)
109
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
Retaining Lien vs. Charging Lien
As to Applicability
1. Retaining Lien. It refers to the right of the
attorney to retain the funds, documents, and
papers of his client which have lawfully come
into his possession until his lawful fees and
disbursements have been paid and to apply
such funds to the satisfaction thereof.
May be exercised
before judgment or
execution
or
regardless thereof.
As to Extinguishment
2. Charging Lien. It is the right which the attorney
has upon all judgments for the payment of
money, and executions issued in pursuance of
said judgments, which he has secured in
litigation of his client.
When
possession
lawfully ends as when
lawyer
voluntarily
parts
with
funds,
documents, and papers
of client or offers them
as evidence.
NOTE: Under this rule, this lien, whether retaining
or charging, takes legal effect only from and after,
but not before, notice of said lien has been entered
in the record and served on the adverse party. (Vda.
De Caiña, et al. v. Victoriano et al., G.R. No. L-12905,
26 Feb 1959)
RETAINING LIEN
CHARGING LIEN
It is an active lien
which can be enforced
by execution. It is a
special lien.
As to Basis
Lawful possession of
papers,
documents,
property belonging to
the client.
Securing of a favorable
money judgment for
client.
A: YES. He is entitled to a retaining lien which gives
him the right to retain the funds, documents and
papers of his client which have lawfully come to his
possession until his lawful fees and disbursement
have been paid. (Sec. 37, Rule 138; Rule 16.03, CPR)
As to Coverage
Papers,
documents,
and properties in the
lawful possession of
the attorney by reason
of his professional
employment.
All judgments for the
payment of money and
execution issued in
pursuance of such
judgment.
He is also legally and ethically correct in filing a
motion in court relative to his fees. He is entitled to
a charging lien upon all judgments for the paying of
money, and executions issued in pursuance of such
judgments, which he has secured in a litigation of his
client, from and after the time when the records of
the court rendering such judgment or issuing such
execution.
As to Effect
As soon as the attorney
gets possession of
papers, documents, or
property.
As soon as the claim for
attorney9s
fees
had been entered into
the records of the case.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
When client loses
action as lien may only
be enforced against
judgment awarded in
favor
of
client,
proceeds
thereof/executed
thereon.
Q: Upon being replaced by Justice C, Atty. B, the
former counsel of the parents of the victims of
the OZONE Disco tragedy, was directed to
forward all the documents in his possession to
Justice C. Atty. B refused, demanding full
compensation pursuant to their written
contract. Sensing that a favorable judgment was
forthcoming, Atty. B filed a motion in court
relative to his attorney9s fees, furnishing his
former clients with copies thereof. Is Atty. B
legally and ethically correct in refusing to turn
over the documents and in filing the motion?
Explain. (1996 BAR)
As to Nature
Being a passive lien, it
cannot be actively
enforced. It is a general
lien.
Generally,
exercised
only when the attorney
had already secured a
favorable judgment for
his client.
`
110
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Q: M engaged the services of Atty. D to prosecute
his annulment of marriage case in the Regional
Trial Court. After a long-drawn trial, Atty. D was
able to secure a favorable judgment from the
court. Unfortunately, M has failed to pay in full
the stipulated attorney9s fees of Atty. D. How can
Atty. D collect his fees from M? Discuss fully.
(2014 BAR)
CPE). A contingent fee agreement does not violate
Article 1491 of the Civil Code, because the transfer
or assignment of the property in litigation takes
effect only after the finality of a favorable judgement
(Director of Lands v. Ababa, et al., G.R. No. L-26096,
27 Feb. 1979). This property ceases to be property
in litigation.
FEES AND CONTROVERSIES WITH CLIENTS
A: D can exercise the remedy of retaining lien over
the documents and other pieces of evidence which
have lawfully come to his possession, under Sec. 37,
Rule 138 of the Revised Rules of Court. The payment
of attorney's fee is based on the services rendered
and not dependent on the success or failure of the
case.
RULE 20.02, CANON 20
A lawyer shall, in cases of referral, with the
consent of the client, be entitled to a division of
fees in proportion to the work performed and
responsibility assumed.
NOTE: This is not in the nature of a broker9s
commission.
Q: For services to be rendered by Atty. Hamilton
as counsel for Gener in a civil case involving the
recovery of the ownership and possession of a
parcel of land with an area of 5,000 square
meters, the two of them agreed on a success fee
Lawyer-Referral System
Under this system, if another counsel is referred to
the client, and the latter agrees to take him as
collaborating counsel, and there is no express
agreement on the payment of attorney9s fees, the
said counsel will receive attorney9s fees in
proportion to the work performed and
responsibility assumed. The lawyers and the client
may agree upon the proportion but in case of
disagreement, the court may fix the proportional
division of fees. (Lapeña Jr., 2009)
square meters of the land. TC rendered
judgment in favor of Gener, which became final
Hamilton demanded the transfer to him of the
promised 500 square meters of the land.
Instead of complying, Gener brought an
administrative complaint charging Atty.
Hamilton with violation of the Code of
Professional Responsibility and Art. 1491(5) of
the Civil Code for demanding the delivery of a
portion of the land subject of the litigation. Is
Atty. Hamilton liable under the Code of
Professional Responsibility and the Civil Code?
(2017 BAR)
This rule makes it improper for a lawyer to receive
compensation for merely recommending another
lawyer to his client, otherwise, it would tend to
germinate commercialism and destroy proper
appreciation of professional responsibility. The
referral of a client by a lawyer to another lawyer
does not entitle the former to a commission nor to a
portion of the attorney's fees. It is only when, in
addition to referral, he performs legal service or
assumes responsibility, thus, he will be entitled to a
fee. (Agpalo, 2009)
A: Atty. Hamilton is not liable under the Code of
Professional Responsibility and Civil Code. The
agreement between Atty. Hamilton and his client,
Gener, is a contingent fee contract because it is
based on the success of the litigation. The fee is a
success fee of P50,000.00 plus 500 sq. m. of the land
involved in the case that he was handling. This is a
contingent fee contract which is recognize as one of
the criteria for determining the amount of the
attorney9s fees (Rule 20.01, Canon 20, CPR; Canon 13,
111
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
RULE 20.03, CANON 20
A lawyer shall not, without the full knowledge
and consent of the client, accept any fee,
reward, costs, commission, interest, rebate or
forwarding allowance or other compensation
whatsoever related to his professional
employment from anyone other than the
client. (1997, 2003 BAR)
and even against his protest as what happened in
the present case.
In labor cases such as this one, where the company
grants the same salary increase to non-union
supervisory employees similar to the rank-and-file
employees who were the clients of the lawyer, it is
not because of the special efforts of the latter9s
lawyer that the non-union supervisory employees
benefited but because of the company9s policy of
non-discrimination.
It is intended to secure the fidelity of the lawyer to
his client9s cause and to prevent a situation in which
the receipt by him of a rebate or commission from
another with the client9s business may interfere
with the full discharge of his duty to his client.
(Report of the IBP Committee)
The lawyer is not entitled to claim attorney9s fees
from the supervisors for the benefits they received.
(Orosco v. Hernaez, G.R. No. L-541&9, 02 Dec. 1901)
RULE 20.04, CANON 20
A lawyer shall avoid controversies with clients
concerning his compensation and shall resort
to judicial action only to prevent imposition,
injustice or fraud. (1998 BAR)
There should be no room for suspicion on the part
of the client that his lawyer is receiving a fee, reward,
commission, or compensation from third parties
with hostile interests. (Agpalo, 2009)
GR: Fees shall be received from the client only.
GR: A lawyer should avoid the filing of any case
against a client for the enforcement of attorney9s
fees.
XPN: A lawyer may receive compensation from a
person other than his client when the latter has full
knowledge and approval thereof. (Sec. 20(e), Rule
138, Rules of Court, as amended)
NOTE: The legal profession is not a money-making
trade but a form of public service. Lawyers should
avoid giving the impression that they are
mercenaries (Perez v. Scottish Union and National
Insurance Co., C.A. No. 8977, 22 Mar. 1946). It might
even turn out to be unproductive for him for
potential clients are likely to avoid a lawyer with a
reputation of suing his/her clients.
Q: Atty. X, lawyer of a labor union of rank-andfile employees succeeded in the negotiation of a
collective bargaining agreement for the rankand-file employees by virtue of which salary
increase was received by the rank-and-file
employees. At the same time the employer
granted salary increase to supervisory
employees who were not members of the union.
Atty. X now seeks to collect from the nonsupervisory employees9 attorney9s fees for this
increase in salaries. Is he entitled to such fees?
XPNs:
1.
2.
3.
A: NO. Atty. X is not entitled to collect attorney9s fees
from the non-union supervisory employees. A
lawyer who rendered services to a party, who did
not employ him nor authorize his employment,
cannot recover compensation even if his services
have redounded to the benefit of such party.
Otherwise, anyone might impose obligations upon
another without the latter9s knowledge or consent,
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
To prevent imposition
To prevent injustice
To prevent fraud. (Rule 20.04, CPR)
NOTE: A client may enter into a compromise
agreement without the intervention of the lawyer,
but the terms of the agreement should not deprive
the counsel of his compensation for the professional
services he had rendered. If so, the compromise
shall be subjected to said fees. If the client and the
adverse party who assented to the compromise are
found to have intentionally deprived the lawyer of
`
112
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
his fees, the terms of the compromise, insofar as
they prejudice the lawyer, will be set aside, making
both parties accountable to pay the lawyer9s fees.
But in all cases, it is the client who is bound to pay
his lawyer for his legal representation. (Atty. Gubat
v. NPC, G.R. No. 167415, 26 Feb. 2010)
6.
How Lawyers claim Attorney's Fees
Effects of the Nullity of Contract on the Right to
Attorney9s Fees
1.
2.
7.
In the same action in which the services of a
lawyer had been rendered. Here, the remedy for
recovering attorney9s fees as an incident of the
main action may be availed of only when
something is due to the client. Attorney9s fees
cannot be determined until after the main
litigation has been decided and the subject of
the recovery is at the disposition of the court.
The issue over attorney9s fees only arises when
something has been recovered from which the
fee is to be paid.
Judgment debtor has fully paid all of the
judgment proceeds to the judgment creditor
and the lawyer has not taken any legal step to
have his fees paid directly to him from the
judgment proceeds; and
Failure to exercise charging Lien.
If the nullification is due to:
1.
2.
Illegality of its object. The lawyer is precluded
from recovering.
Formal defect (or because the court has
found the amount to be unconscionable).
The lawyer may recover for any services
rendered based on quantum meruit.
Kinds of Lawyer (according to services rendered
and the compensation they are entitled to)
In a separate action.
Note: While a claim for attorney9s fees may be filed
before the judgment is rendered, the determination
as to the propriety of the fees or as to the amount
thereof will have to be held in abeyance until the
main case from which the lawyer9s claim for
attorney9s fees may arise has become final.
Otherwise, the determination to be made by the
courts will be premature. Of course, a petition for
attorney9s fees may be filed before the judgment in
favor of the client is satisfied or the proceeds thereof
delivered to the client. (Rosario, Jr. v. De Guzman et.
al., G.R. No. 191247, 10 July 2013)
1.
Counsel de parte. He is entitled to the
reasonable attorney9s fees agreed upon, or in
the absence thereof, on quantum meruit basis.
2.
Counsel de officio. He may not demand from
the accused attorney9s fees even if he wins the
case. He may, however, collect from the
government funds, if available based on the
amount fixed by the court.
3.
Amicus Curiae 3 He is not entitled to attorney9s
fees.
CONCEPTS OF ATTORNEY9S FEES
Instances when an Independent Civil Action to
recover Attorney9s Fees is necessary
1.
2.
3.
4.
5.
1.
Main action is dismissed or nothing is awarded;
Court has decided that it has no jurisdiction
over the action or has already lost it;
Person liable for attorney9s fees is not a party to
the main action;
Court reserved to the lawyer the right to file a
separate civil suit for recovery of attorney9s
fees;
Services for which the lawyer seeks payment
are not connected with the subject litigation;
Ordinary Attorney's Fee. The reasonable
compensation paid to a lawyer by his client for
the legal services he has rendered to the latter.
(Ortiz v. San Miguel Corporation, G.R. No.
151983-84, 31 July 2008)
NOTE: The basis for this compensation is the
fact of his employment by and his agreement
with the client.
2.
113
Extraordinary Attorney's Fee. An indemnity
for damages ordered by the court to be paid by
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
vision of which is justice. It is the lawyer9s
despicable behavior in the case at bar which gives
lawyering a bad name in the minds of some people.
The vernacular has a word for it: nagsasamantala.
the losing party in litigation. (Ortiz v. San Miguel
Corporation, G.R. No. 151983-84, 31 July 2008)
NOTE: The basis for this is any of the cases
provided for by law where such award can be
made, such as those authorized in Article 2208
of the Civil Code, and is payable to the client, not
to the lawyer unless they have agreed that the
award shall pertain to the lawyer as additional
compensation or as part thereof.
The practice of law is a decent profession and not a
money-making trade. Compensation should be but
a mere incident. (Pineda v. de Jesus, G.R. No. 155224,
23 Aug. 2006)
Extra-Ordinary Concept of Attorney9s Fees
Ordinary Concept of Attorney9s Fees
GR: Attorney9s fees as damages are not recoverable.
An adverse decision does not ipso facto justify their
award in favor of the winning party. (Garcia v.
Gonzales, G.R. No. L-48184, 12 Mar. 1990)
Q: Aurora Pineda filed an action for declaration
of nullity of marriage against Vinson Pineda,
who was represented by Attys. Clodualdo de
Jesus, Carlos Ambrosio and Emmanuel Mariano.
The marriage was subsequently declared null
and void.
XPNs: Attorney9s fees as damages may be awarded
in the following circumstances:
Throughout the proceedings, counsels and their
relatives and friends availed of free products
and treatments from Vinson9s dermatology
clinic. This notwithstanding, they billed him
1.
2.
3.
4.
which he, however, refused to pay.
Instead, he issued them several checks totaling
Still not satisfied, the three lawyers filed in the
same court a motion for payment of lawyers'
5.
6.
of the value of the properties awarded to Pineda
in the case. Is their claim justified?
7.
8.
9.
A: NO. Clearly, what they were demanding was
additional payment for legal services rendered in
10.
11.
generous sums and perks already given to them was
an act of unconscionable greed. They could not
charge Pineda a fee based on percentage, absent an
express agreement to that effect. The payments to
them in cash, checks, free products and services
from Pineda9s business more than sufficed for the
work they did. The full payment for settlement
should have discharged Vinson's obligation to them.
12.
13.
Rationale why that the Court shall state the
Reason for the Award of Attorney9s Fees in in its
Decision
As lawyers, they should be reminded that they are
members of an honorable profession, the primary
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
When there is an agreement;
When exemplary damages are awarded;
When defendant9s action or omission
compelled plaintiff to litigate;
In criminal cases of malicious prosecution:
a. Plaintiff was acquitted; and
b. The person who charged him knowingly
made the false statement of facts or that the
filing was prompted by sinister design to
vex him;
When the action is clearly unfounded;
When defendant acted in gross and evident bad
faith;
In actions for support;
In cases of recovery of wages;
In actions for indemnity under workmen9s
compensation and employee9s liability laws;
In a separate civil action arising from a crime;
When at least double costs are awarded (costs
of suit does not include attorney9s fees);
When the court deems it just and equitable; or,
When a special law so authorizes. (Art. 2208,
NCC)
It is necessary for the court to make findings of facts
`
114
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
PRESERVATION OF CLIENT9S CONFIDENCES
and law that would bring the case within the
exception and justify the award of attorney9s fees
since the grant is an exception, rather than the
general rule. (Agustin v. CA, G.R. No. 84751, 06 June
1990)
CANON 21
A lawyer shall preserve the confidence and
secrets of his client even after the attorneyclient relation is terminated.
NOTE: Attorney9s fees must be specifically prayed
for and proven and justified in the decision itself
(Trans-Asia Shipping Lines, Inc. v. CA, G.R. No. 118126,
04 Mar. 1996).
The protection given to the client is perpetual and
does not cease with the termination of the litigation
nor is affected by the party ceasing to employ the
attorney and employ another or any other change of
relation between them. It even survives the death of
the client (Bun Siong Yao v. Aurelio, A.C. No. 7023, 30
Mar. 2006).
PROHIBITED DISCLOSURES AND USE
RULE 21.01, CANON 21
A lawyer shall not reveal the confidences or
secrets of his client except:
a.
When authorized by the client after
acquainting him of the consequences
of the disclosure;
b.
When required by law;
c.
When necessary to collect his fees or to
defend himself, his employees or
associates or by judicial action.
GR: A lawyer shall not reveal the confidences and
secrets of his client.
NOTE: An attorney or person reasonably believed
by the client to be licensed to engage in the practice
of law cannot, without the consent of the client, be
examined as to any communication made by the
client to him or her, or his or her advice given
thereon in the course of, or with a view to,
professional employment, nor can an attorney9s
secretary, stenographer, or clerk, or other persons
assisting the attorney be examined, without the
consent of the client and his or her employer,
concerning any fact the knowledge of which has
been acquired in such capacity. (Sec. 24(b), Rule 130,
Rules of Court, as amended)
115
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
XPNs:
1.
RULE 21.05, CANON 21
A lawyer shall adopt such measures as may be
required to prevent those whose services are
utilized by him, from disclosing or using
confidences or secrets of the client.
When authorized by his client after acquainting
him of the consequences of the disclosure;
NOTE: The only instance where the waiver of
the client alone is insufficient is when the
person to be examined regarding any privileged
communication is the attorney9s secretary,
stenographer or clerk or other persons
assisting the attorney, in respect to which, the
consent of the attorney is likewise necessary.
2.
3.
RULE 21.06, CANON 21
A lawyer shall avoid indiscreet conversation
about a client9s affairs even with members of
his family.
RULE 21.07, CANON 21
A lawyer shall not reveal that he has been
consulted about a particular case except to
avoid possible conflict of interest.
When required by law; or,
When necessary to collect his fees or to defend
himself, his employees by judicial action.
Q: Bun Siong Yao is a majority stockholder of
Solar Farms & Livelihood Corporation and Solar
Textile Finishing Corporation. Atty. Leonardo
Aurelio is also a stockholder and the retained
counsel of both the corporation and Bun Siong
Yao. The latter purchased several parcels of land
using his personal funds which were registered
in the name of the corporations upon the advice
of Atty. Aurelio.
NOTE: Payment of retainer fee is not essential
before an attorney can be required to safeguard a
prospective client9s secret acquired by the attorney
during the consultation with the prospective client,
even if the attorney did not accept the employment.
(Pineda, 2009)
Instances when a Lawyer may testify as a
Witness in a Case which he is handling for a
Client
1.
2.
3.
4.
5.
After a disagreement between Atty. Aurelio and
Bun Siong Yao9s wife, the former demanded the
return of his investment in the corporations.
When Yao refused to pay, he filed 8 charges for
estafa and falsification of commercial
documents against Yao, his wife and the other
officers of the corporation. Yao alleged that the
series of suits is a form of harassment and
constitutes an abuse of the confidential
information which Atty. Aurelio obtained by
virtue of his employment as counsel. Did Atty.
Aurelio abuse the confidential information he
obtained by virtue of his employment as
counsel?
On formal matters, such as the mailing,
authentication or custody of an instrument and
the like;
Acting as an expert on his fee;
Acting as an arbitrator;
Depositions; and
On substantial matters in cases where his
testimony is essential to the ends of justice, in
which event he must, during his testimony,
entrust the trial of the case to another counsel.
RULE 21.02, CANON 21
A lawyer shall not, to the disadvantage of his
client, use information acquired in the course
of employment, nor shall he use the same to his
own advantage or that of a third person,
unless the client with full knowledge of the
circumstances consents thereto.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
A: YES. The long-established rule is that an attorney
is not permitted to disclose communications made
to him in his professional character by a client,
unless the latter consents. Atty. Aurelio took
advantage of his being a lawyer in order to get back
at Yao. In doing so, he has inevitably utilized
information he has obtained from his dealings with
Yao and Yao's companies for his own end.
`
116
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Lawyers cannot be allowed to exploit their
profession to exact vengeance or to use it as a tool
for instigating hostility against any person
especially against a client or former client. (Bun
Siong Yao v. Aurelio, A.C. No. 7023, 30 Mar. 2006)
NOTE: Confidential information can be obtained
even
against
government
agencies
and
instrumentalities. (Funa, 2009)
Acts punished under Art. 209 of the Revised
Penal Code (Betrayal of Trust by Attorney)
RULE 21.04, CANON 21
A lawyer may disclose the affairs of a client of
the firm to partners or associates thereof
unless prohibited by the client.
1.
By causing damage to his client, either:
a. by
any
malicious
breach
professional duty; or
b. by
inexcusable
negligence
ignorance;
DISCLOSURE, WHEN ALLOWED
of
Professional employment of a law firm is equivalent
to retainer of members thereof. In a law firm,
partners or associates usually consult one another
involving their cases and some work as a team.
Consequently, it cannot be avoided that some
information about the case received from the client
may be disclosed to the partners or associates.
(Agpalo, 2009)
or
2.
By revealing any of the secrets of his clients
learned by him in his professional capacity; or,
3.
By having undertaken the defense of a client or
having received confidential information from
said client in a case, shall undertake the defense
of the opposing party in the same case, without
the consent of his first client.
Q: In need of legal services, Niko secured an
appointment to meet with Atty. Henry of HENRY
& MEYER LAW OFFICES. During the meeting,
Niko divulged highly private information to Atty.
Henry, believing that the lawyer would keep the
confidentiality
of
the
information.
Subsequently, Niko was shocked when he
learned that Atty. Henry had shared the
confidential information with his law partner,
Atty. Meyer, and their common friend, private
practitioner Atty. Canonigo. When confronted,
Atty. Henry replied that Niko never signed any
confidentiality agreement, and that he shared
the information with the two lawyers to secure
affirmance
of
his
legal
opinion
on
Niko9s problem. Did Atty. Henry violate any rule
of ethics? Explain fully. (2008 BAR)
RULE 21.03, CANON 21
A lawyer shall not, without the written consent
of his client, give information from his files to
an outside agency seeking such information
for
auditing,
statistical,
bookkeeping,
accounting, data processing, or any other
similar purposes.
Q: Certain government officers, armed with a
search warrant duly issued, seized among other
things, a filing cabinet belonging to Atty. X. In
seeking the return of the cabinet, Atty. X claimed
that the cabinet contained documents and
articles belonging to his clients but the
government refused to return the cabinet. Atty.
X petitioned the court which issued the warrant,
praying that the agents be prohibited from
opening the cabinet. Should Atty. X9s petition be
given due course?
A: YES. Atty. Henry violated Canon 21 of the CPR by
sharing information obtained from his client Niko
with Atty. Canonigo. Canon 20 provides that <a
lawyer shall preserve the confidences or secrets of
his client even after the attorney-client relationship
is terminated.=
A: YES. The lower court cannot order the opening of
said cabinet. To do so is in violation of his rights as
an attorney. It would be tantamount to compelling
him to disclose his client9s secrets. (Lapeña Jr., 2009)
The fact that Atty. Canonigo is a friend from whom
he intended to secure legal opinion on
Niko9s problem, does not justify such disclosure. He
cannot obtain a collaborating counsel without the
117
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
WITHDRAWAL OF SERVICES
consent of the client. (Rule 18.01, CPR)
CANON 22
A lawyer shall withdraw his services only for
good cause and upon notice appropriate in the
circumstances.
On the other hand, Atty. Henry did not violate Canon
21 in sharing information with his partner Atty.
Meyer. Rule 21.04 of the CPR specifically provides
that <a lawyer may disclose the affairs of a client of
the firm to partners or associates thereof
unless prohibited by the client.=
Right to Withdraw
Atty. Henry was not prohibited from disclosing the
affairs of Niko with the members of his law firm. The
employment of a member of a firm is generally
considered as employment of the firm itself. (Hilado
v. David, G.R. No. L-961, 21 Sept. 1949)
GR: A lawyer lacks the unqualified right to
withdraw once he has taken a case. By his
acceptance, he has impliedly stipulated that he will
prosecute the case to its conclusion. This is
especially true when such withdrawal will work
injustice to a client or frustrate the ends of justice.
(Agpalo, 2009)
Q: Atty. X was hired by Mr. D to draft the demand
letters and complaint-affidavit charging Mr. A of
estafa. However, Atty. X later on represented Mr.
A in the similar case. Consequently, Atty. X was
charged with violating the CPR for representing
conflicting interests. Atty. Y contends that his
lawyer-client relationship with Mr. D ended
when he and his group entered into the
compromise settlement.
Is his contention
correct?
XPNs: The right of a lawyer to retire from the case
before its final adjudication arises only from:
1.
2.
Instances when a Lawyer may withdraw his
Services without the Consent of his Client (Rule
22.01, Canon 22) (I-V-I-M-F-E-C-O)
A: NO. Atty. X9s contention is not correct. The
lawyer-client relationship did not terminate as of
the date of the compromise agreement. He still
needed to oversee the implementation of the
settlement and to proceed with the criminal cases
until they were dismissed or otherwise concluded
by the trial court.
1.
2.
3.
It is also relevant to indicate that the execution of a
compromise settlement in the criminal cases did
not ipso facto cause the termination of the cases not
only because the approval of the compromise by the
trial court was still required, but also because the
compromise would have applied only to the civil
aspect, and excluded the criminal aspect pursuant
to Article 2034 of the Civil Code. (Samson v. Era, A.C.
No. 6664, 16 July 2013)
4.
5.
6.
7.
8.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
the client9s written consent; or,
by permission of the court after due notice and
hearing.
When the client pursues an Illegal or immoral
course of conduct in connection with the matter
he is handling;
When the client insists that the lawyer pursue
conduct in Violation of these canons and rules;
When his Inability to work with co-counsel will
not promote the best interest of the client;
When the Mental or physical condition of the
lawyer renders it difficult for him to carry out
the employment effectively;
When the client deliberately Fails to pay the
fees for the services or fails to comply with the
retainer agreement;
When the lawyer is Elected or appointed to a
public office;
Other similar cases (Rule 22.01, CPR); and,
When there is Conflict of interest.
`
118
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
Q: Can a client discharge the services of his
lawyer without a cause? (1994, 1997, 1998 BAR)
Hot Potato Rule
GR: A lawyer may not unreasonably withdraw from
representing a client.
A: YES. A client has the right to discharge his
attorney at any time with or without a cause or even
against his consent.
XPN: Withdrawal may be allowed if there is a
conflict of interests arising from circumstances
beyond the control of the lawyer or the law firm.
(Black9s Law Dictionary, 9th edition)
NOTE: In numbers 1 to 5 mentioned above, the
lawyer must file a written motion with an express
consent of his client and the court shall determine
whether he ought to be allowed to retire.
1.
If with just cause, the lawyer is not necessarily
deprived of his right to be paid for his services.
He may only be deprived of such right if the
cause for his dismissal constitutes in itself a
sufficient legal obstacle for recovery.
2.
If without just cause
a.
He may also retire at any time from an action or
special proceeding without the consent of his client,
should the court, on notice to the client and
attorney, and on hearing, determine that he ought to
be allowed to retire. (Sec. 26, Rule 138, Rules of Court,
as amended)
b.
c.
d.
Procedure to follow when Withdrawal is
without Client9s Consent
e.
1. File a petition for withdrawal in court.
2. Serve a copy of this petition upon his client and
the adverse party at least 3 days before the date
set for hearing.
No express written agreement as to fees 3
reasonable value of his services up to the
date of his dismissal (quantum meruit).
There is written agreement and the fee
stipulated is absolute and reasonable 3 full
payment of compensation.
The fee stipulated is contingent.
If dismissed before the conclusion of the
action 3 reasonable value of his services
(quantum meruit)
If contingency occurs or client prevents its
occurrence 3 full amount.
NOTE: A lawyer should question his discharge.
Otherwise he will only be allowed to recover on
quantum meruit basis.
NOTE: He should present his petition well in
advance of the trial of the action to enable the client
to secure the services of another lawyer.
Limitations on Client9s Right to discharge the
Services of his Lawyer
However, if no new counsel has entered his
appearance, the court may, in order to prevent a
denial of a party9s right to the assistance of counsel
require that the lawyer9s withdrawal be held in
abeyance until another lawyer shall have appeared
for the party. (Agpalo, 2009)
1.
2.
A lawyer should not presume that the court will
grant his petition for withdrawal. Until his
withdrawal shall have been proved, the lawyer
remains counsel of record who is expected by his
client and by the court to do what the interests of his
client require. (Pineda, 2009)
3.
When made with justifiable cause, it shall
negate the attorney9s right to full payment of
compensation;
The attorney may, in the discretion of the court,
intervene in the case to protect his right to fees;
and,
A client may not be permitted to abuse his right
to discharge his counsel as an excuse to secure
repeated extensions of time to file a pleading or
to indefinitely avoid a trial.
Conditions for Substitution of Counsel
The counsel may be substituted subject to the
119
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
expose him to criminal and civil liability and violate
his duty of candor, fairness and good faith to the
court.
following conditions:
1.
2.
3.
There must be a written application.
There must be a written consent of the client.
There must be a written consent of the attorney
to be substituted, or in the absence thereof,
proof of service of notice of said motion to the
attorney to be substituted in the manner
prescribed by the rules.
Q: Was the motion for relief as counsel made by
the defense lawyer in full accord with the
procedural requirements for a lawyer9s
withdrawal from a court case? Explain briefly.
(2004 BAR)
A: NO. His actuation is not in accord with the
procedural requirements for the lawyer9s
withdrawal from a court case. Whether or not a
lawyer has a valid cause to withdraw from a case, he
cannot just do so and leave the client in the cold
unprotected. He must serve a copy of his petition
upon the client and the adverse party. He should,
moreover, present his petition well in advance of
the trial of the action to enable the client to secure
the services of another lawyer.
Note: Standing alone, heavy workload is not
sufficient reason for the withdrawal of a counsel.
When a lawyer accepts to handle a case, whether for
a fee or gratis et amore, he undertakes to give his
utmost attention, skill and competence to it
regardless of its significance. Failure to fulfill his
duties will subject him to grave administrative
liability as a member of the Bar. (Ceniza v. Atty.
Rubia, A.C. No. 6166, 02 Oct. 2009)
Q: On the eve of the initial hearing for the
reception of evidence for the defense, the
defendant and his counsel had a conference
where the client directed the lawyer to present
as principal defense witnesses 2 persons whose
testimonies were personally known to the
lawyer to have been perjured. The lawyer
informed his client that he refused to go along
with the unwarranted course of action proposed
by the defendant. But the client insisted on the
directive, or else he would not pay the agreed
attorney9s fees. When the case was called for
hearing the next morning the lawyer forthwith
moved in open court that he be relieved as
counsel for the defendant. Both the defendant
and the plaintiff9s counsel objected to the
motion.
NOTE: In one case, respondent lawyer admitted
that he deliberately failed to timely file a formal
offer of exhibits because he believes that the
exhibits were fabricated and was hoping that the
same would be refused admission by the RTC. If
respondent truly believes that the exhibits to be
presented in evidence by his clients were fabricated,
then he has the option to withdraw from the case.
Canon 22 allows a lawyer to withdraw his services
for good cause such as when the client pursues an
illegal or immoral course of conduct with the matter
he is handling or when the client insists that the
lawyer pursue conduct violative of these canons and
rules. (Warriner v. Atty. Dublin, A.C. No. 5239, 18 Nov.
2013)
Q: Atty. X filed a notice of withdrawal of
appearance as counsel for the accused Y after
the prosecution rested its case. The reason for
the withdrawal of Atty. X was the failure of
accused Y to affix his conformity to the demand
of Atty. X for increase in attorney's fees. Is the
ground for withdrawal justified? Explain. (2000
BAR)
Under the given facts, is the defense lawyer
legally justified in seeking withdrawal from the
case? Why or why not? Reason briefly. (2004
BAR)
A: YES. He is justified. Under Rule 22.01 of the CPR,
a lawyer may withdraw his services <if the client
insists that the lawyer pursue conduct violative of
these canons and rules=. The insistence of the client
that the lawyer present witnesses whom he
personally knows to have been perjured, will
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
A: The ground for the withdrawal is not justified.
Rule 22.01(e) of the CPR provides that a lawyer may
withdraw his services when the client deliberately
`
120
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
GR: The attorney loses his or her standing in
court to represent the deceased client or the
latter9s estate.
fails to pay the fees for his services or fails to comply
with the retainer agreement. In this case, the client
has not failed to pay the lawyer's fees or to comply
with the retainer agreement. He has only refused to
agree with the lawyer's demand for an increase in
his fees. It is his right to refuse as that is part of his
freedom of contract.
XPN: He is retained by the administrator,
executor or legal representative of the deceased
client.
b. In case of incapacity or incompetency of client
3 the relation of attorney and client also terminates
upon the incapacity or incompetency of a client
during the pendency of the litigation.
RULE 22.02, CANON 22
A lawyer who withdraws or is discharged shall,
subject to a retaining lien, immediately turn
over all papers and property to which the client
is entitled, and shall cooperate with his
successor in the orderly transfer of the matter,
including all information necessary for the
proper handling of the matter.
GR: The client loses the legal capacity to
contract the subject matter of the action.
XPN: The guardian of the incapacitated or
incompetent client may authorize the lawyer to
continue representing the client.
Duties of a Discharged Lawyer or One who
Withdraws
1. Immediately turn-over all papers and property
to which the client is entitled; and
2. To cooperate with his successor in the orderly
transfer of the case.
DUTIES OF LAWYERS IN CASE OF DEATH OF
PARTIES REPRESENTED
Whenever a party to a pending case dies, or
becomes incapacitated or incompetent, it shall be
the duty of his attorney to inform the court
promptly of such death, incapacity or incompetency,
and to give the name and residence of his executor,
administrator,
guardian
or
other
legal
representative. (Sec. 16, Rule 3, Rules of Court, as
amended)
That duty is imposed upon the attorney because he
is in a better position than the counsel for the
adverse party to ascertain who is the legal
representative of the deceased, incapacitated or
incompetent client.
a. In case of death of parties represented 3 as the
relation of attorney and client is personal and one of
agency, it terminates upon the death of the client.
121
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
facilitated by the use of a falsified Special Power
of Attorney. Did Atty. Contawi violate his
lawyer's oath?
E. THE LAWYER9S OATH
A: YES. Atty. Contawi disposed of complainant's
property without the latter9s knowledge or consent
and partook of the proceeds of the sale for his own
benefit. The established acts exhibited his unfitness
and plain inability to discharge the bounden duties
of a member of the legal profession. He failed to
prove himself worthy of the privilege to practice law
and to live up to the exacting standards demanded
of the members of the bar. (Brennisen v. Contawi,
A.C. No. 7481, 24 Apr. 2012)
I, ___________________, of _____________, do solemnly swear
that I will maintain allegiance to the Republic of the
Philippines, I will support the Constitution and obey
the laws as well as the legal orders of the duly
constituted authorities therein; I will do no falsehood,
nor consent to the doing of any in court; I will not
wittingly or willingly promote or sue any groundless,
false or unlawful suit, or give aid nor consent to the
same; I will delay no man for money or malice, and
will conduct myself as a lawyer according to the best
of my knowledge and discretion, with all good fidelity
as well to the courts as to my clients; and I impose
upon myself these voluntary obligations without any
mental reservation or purpose of evasion. So help me
God.
Q: Can a lawyer be held administratively liable
for submitting pleadings, evidence, or exhibits,
which do not exist, before the courts?
A: YES. This conduct is deceitful which impairs the
justice system in the country. A lawyer, who took
oath before the Supreme Court, must not engage in
unlawful, dishonest, immoral or deceitful conduct
and must not delay court proceedings just to
prolong the justice deserve by the oppressed.
Further, he shall not do any falsehood, nor consent
to the doing of any in Court, nor shall he mislead, or
allow the Court to be misled by any artifice and he
shall not knowingly assert as a fact that which has
not been proved. (Magsaysay Maritime Corporation
Princess Cruise Lines, LTD. etc. v. Mazaredo, G.R. No.
201359, 23 Sept. 2015)
Importance of the Lawyer9s Oath
By taking the lawyer9s oath, an attorney, becomes a
guardian of truth and the rule of law, and an
indispensable instrument in the fair and impartial
administration of justice. Lawyers should act and
comport themselves with honesty and integrity in a
manner beyond reproach, in order to promote the
public9s faith in the legal profession. Good moral
character is an essential qualification for the
privilege to enter into the practice of law. It includes,
at least, common honesty. Deception and other
fraudulent acts are not merely unacceptable
practices that are disgraceful and dishonorable;
they reveal a basic moral flaw. (Olbes v. Deciembre,
A.C. No. 5365, 27 Apr. 2005)
DUTIES AND RESPONSIBILITIES OF A LAWYER
Four-fold Duty of a Lawyer under the Code of
Professional Responsibility (1966, 1979, 1985
BAR)
The lawyer9s oath is not a mere ceremony or
formality for practicing law to be forgotten
afterwards nor is it mere words, drift and hollow; it
is a sacred trust that every lawyer must uphold and
keep inviolable at all times. (Cheng v. Agravante, A.C.
No. 6183, 23 Mar. 2004)
1. To the Public/Society. He must not undertake
any action, which violates his responsibility to
the society as a whole; he must be an example
in the community for his uprightness as a
member of the society. The lawyer must be
ready to render legal aid, foster legal reforms,
be a guardian of due process, and be aware of
his special role in solving special problems and
be always ready to lend assistance in the study
and solution of social problems. (Canon 1-6,
Q: An administrative complaint was filed against
Atty. Contawi for having violated his oath as a
lawyer causing him damage and prejudice. He
had mortgaged and sold the property of his
client without the latter's knowledge or consent,
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
122
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
The Code of Professional Responsibility
5.
CPR)
2. To the Bar/Legal Profession. A lawyer
observes candor, fairness, courtesy and
truthfulness in his conduct towards other
lawyers, avoid encroachment in the business of
other lawyers and uphold the honor of the
profession. (Canon 7-9, CPR)
6.
3. To the Courts. A lawyer must maintain
towards the court a respectful attitude, uphold
the court9s authority and dignity, obey court
orders, processes, and assists in the
administration of justice. (Canon 10-13, CPR)
7.
4. To the Clients. The lawyer owes entire
devotion to the interest of his client, in the
maintenance of the defense of his rights and
exertion of utmost learning ability to the end
that nothing be taken or withheld from his
client except in accordance with law. He owes a
duty of competent and zealous representation
to the client, and should preserve his client9s
secrets, preserve his funds and property and
avoid conflicts of interest. (Canon 14-22, CPR)
9.
8.
Privileges of a Lawyer (P-S-P-I-S-12)
NOTE: The first and most important duty of a
lawyer is his duty to the COURT. The lawyer is an
officer of the court who sets the judicial machinery
with the main mission of assisting the court in the
administration of justice. His public duties take
precedence over his private duties.
1.
Duties of Lawyers under the Rules of Court
(2006, 2016 BAR): (A-D-A-R-E-C-O-R-D)
4.
1.
2.
3.
4.
To Employ, for the purpose of maintaining the
causes confided to him, such means only as are
consistent with truth and honor, and never seek
to mislead the judge;
To maintain inviolate the Confidence and at
every peril to himself, to preserve the secrets in
connection with his client, and to accept no
compensation in connection with his client9s
business;
To abstain from all Offensive personality and to
advance no fact prejudicial to the honor and
reputation of a party unless required by the
justice of the cause with which he is charged;
Never to Reject, for any consideration, the cause
of the defenseless or oppressed; and
In the Defense of a person accused of a crime,
by all fair and honorable means, regardless of
his personal opinion as to the guilt of the
accused, to present every defense that the law
permits to the end that no person may be
deprived of life, liberty, but by due process of
law. (Sec. 20, Rule 138, Rules of Court, as
amended)
2.
3.
To maintain Allegiance to the Republic of the
Philippines, support the Constitution, and obey
the laws of the Philippines;
Not to encourage either the commencement or
the continuance of an action or proceeding, or
Delay any man9s cause, from any corrupt
motive or interest;
To counsel or maintain such Actions only as
appear to him to be just, and such defenses only
as he believes to be honestly debatable under
the law;
To observe and maintain the Respect due to the
courts of justice and judicial officers;
5.
6.
7.
123
To Practice law during good behavior before
any judicial, quasi-judicial, or administrative
agency;
First one to Sit in judgment on every case, to set
the judicial machinery in motion;
Enjoys the Presumption of regularity in the
discharge of his duty;
He is Immune, in the performance of his
oobligations to his client, from liability to third
persons, insofar as he does not materially
depart from his character as a quasi-judicial
officer;
His Statements, if relevant, pertinent or
material to the subject of judicial inquiry are
absolutely privileged regardless of their
defamatory tenor and of the presence of malice;
1st grade civil service eligibility for any position
in the classified service in the government the
duties of which require knowledge of law; and
2nd grade civil service eligibility for any other
governmental position, which does not
prescribe proficiency in law as a qualification.
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Suspension, Disbarment, and Discipline of Lawyers
a.
b.
II. SUSPENSION, DISBARMENT, AND DISCIPLINE
OF LAWYERS
(RULE 139; RULE 139-B)
NATURE AND CHARACTERISTICS OF
DISCIPLINARY ACTION AGAINST LAWYERS
NOTE: Indefinite suspension is not cruel. It
puts in his hands the key for the
restoratiton of his rights and privileges as a
lawyer. (Dumagdag v. Lumaya, A.C. No.
2614, 29 June 2000)
Nature of the Power to Discipline
The power to discipline a lawyer is JUDICIAL in
nature and can be exercised only by the courts. It
cannot be defeated by the legislative or executive
departments. (Martin, 1961)
7.
The power to disbar and to reinstate is an inherently
judicial function. (Andres v. Cabrera, SBC- 585, 29
Feb. 1984)
8.
NOTE: The power to disbar must be exercised with
great caution, and only in a clear case of misconduct
that seriously affects the standing and character of
the lawyer as an officer of the Court and as a
member of the bar. Thus, where a lesser penalty,
such as temporary suspension, could accomplish
the end desired, disbarment should never be
decreed. (Ventura v. Samson, A.C. No. 9608, 27 Nov.
2012)
9.
3.
4.
5.
6.
They are also empowered to:
Warning - an act of putting one on his guard
against an impending danger, evil, consequence
or penalty;
Admonition - a gentle or friendly reproof mild
rebuke, warning, reminder or counselling on a
fault, error or oversight; an expression of
authoritative advice;
Reprimand - a public and formal censure or
severe reproof, administered to a person at fault
by his superior officer or the body to which he
belongs;
Censure - official reprimand;
Suspension - temporary withholding of a
lawyer9s right to practice his profession as a
lawyer for a certain period or for an indefinite
period.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Disbarment 3 is the act of the Supreme Court of
withdrawing from an attorney the right to
practice law. The name of the lawyer is stricken
off from the Roll of Attorneys;
Interim Suspension - is the temporary
suspension of a lawyer from the practice of law
pending imposition of clinical discipline.
Include: Suspension upon conviction of a
<serious crime=, Suspension when the lawyer9s
continuing conduct is or is likely to watch cause
of immediate and serious injury to a client or
public; or
Probation - is a sanction that allows a lawyer to
practice law under specified conditions.
Powers of the Court of Appeals and the Regional
Trial Courts in Relation to the Discipline of
Lawyers (S-W-A-R-P)
Forms of Disciplinary Measures by the Supreme
Court (W-A-R-C-S-D-I-P)
1.
Definite;
Indefinite 3 qualified disbarment;
lawyer determines for himself how
long or how short his suspension shall
last by proving to court that he is once
again fit to resume practice of law.
1. Suspend an attorney from practice for any of
the causes named in Sec 27, Rule 138 until
further action of the Supreme Court in the case
(Sec. 16, Rule 139-B);
2. Warn;
3. Admonish;
4. Reprimand; and
5. Probation. (IBP Guidelines)
NOTE: The CA and RTC cannot disbar a lawyer.
Q: Atty. D was required by Judge H of the
Regional Trial Court (RTC) of Manila to show
cause why he should not be punished for
contempt of court for shouting invectives at the
`
124
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
opposing counsel and harassing his witness.
Assuming that there was sufficient cause or
ground, may Judge H suspend Atty. D from the
practice of law? If Judge H finds that the
actuations of Atty. D are grossly unethical and
unbecoming of a member of the bar, may Judge
H disbar Atty. D instead? (2014 BAR)
Aggravating factors which may be considered in
increasing the degree of discipline to be
imposed:
1.
2.
3.
4.
5.
Prior disciplinary offenses;
Dishonest or selfish motives;
A pattern of misconduct;
Multiple offenses;
Bad faith obstruction of the disciplinary
proceeding by intentionally failing to comply
with rules or orders of the disciplinary agency;
6. Submission of false evidence, false statements,
or other deceptive practices during the
disciplinary process;
7. Refusal to acknowledge wrongful nature of
conduct;
8. Vulnerability of victim;
9. Substantial experience in the practice of law;
10. Indifference to making restitution. (IBP
Guidelines 9.22)
A: Under Section 28, Rule 138 of the Rules of Court,
a Regional Trial Court may suspend a lawyer from
the practice of law for any of the causes provided in
Section 27, until further action from the Supreme
Court. But it may not disbar him, for only the
Supreme Court can disbar a lawyer pursuant to its
constitutional power to admit persons to the
practice of law.
Other Sanctions and Remedies (R-A-R-A-R-O-L)
Restitution;
Assessment of costs;
Limitation upon practice;
Appointment of a receiver;
Requirement that a lawyer take the bar
examination or professional responsibility
examination;
6. Requirement that a lawyer attend continuing
education courses; and
7. Other requirements that the highest court or
disciplinary board deems consistent with the
purposes of the sanctions.
1.
2.
3.
4.
5.
Mitigating factors which may be considered in
decreasing the degree of discipline to be
imposed:
1.
2.
3.
4.
Factors to be considered in imposing Lawyer9s
sanctions
1.
2.
3.
4.
5.
The duty violated;
The lawyer9s mental state;
The actual and potential injury caused by the
lawyer9s misconduct; and
The existence of aggravating and mitigating
factors. (Sec. 3.0, Guidelines for imposing
Lawyer9s sanctions,)
6.
7.
8.
9.
10.
NOTE: After misconduct has been established,
aggravating and mitigating circumstances may be
considered in deciding what sanction to impose.
11.
12.
13.
14.
15.
16.
125
Good faith in the acquisition of a property of the
client subject of litigation (In re: Ruste, A.M. No.
632, 27 June 1940);
Inexperience of the lawyer (Munoz v. People,
G.R. No. L-33672, 28 Sept. 1973);
Age (Santos v. Tan, A.C. No. 2697, 19 Apr. 1991);
Apology (Munoz v. People, G.R. No. L- 33672, 28
Sept. 1973);
Lack of Intention to slight or offend the Court
(Rheem of the Philippines, Inc. v. Ferrer, G.R. No.
L-22979, 27 Jan. 1967);
Absence of prior disciplinary record;
Absence of dishonest or selfish motive;
Personal or emotional problems;
Timely good faith effort to make restitution or
to rectify consequences of misconduct;
Full and free disclosure to disciplinary board or
cooperative attitude toward the proceedings;
Character or reputation;
Physical or mental disability or impairment;
Delay in disciplinary proceedings;
Interim rehabilitation;
Imposition of other penalties or sanctions;
Remorse;
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Suspension, Disbarment, and Discipline of Lawyers
17. Remoteness of prior offenses. (IBP Guidelines
9.32)
3.
4.
Factors which should not be considered as
aggravating or mitigating:
1.
2.
3.
4.
5.
6.
5.
6.
Forced or compelled restitution;
Agreeing to the client9s demand for certain
improper behavior or result;
Withdrawal of complaint against the lawyer;
Resignation prior to completion of disciplinary
proceedings;
Complainant9s recommendation as to sanction;
Failure of injured client to complain.
belonging to the office of an attorney;
Punish the lawyer;
Set an example or a warning for the other
members of the bar;
Safeguard the administration of justice from
incompetent and dishonest lawyers;
Protect the public.
NOTE: The purpose and the nature of disbarment
proceedings make the number of defenses available
in civil and criminal actions inapplicable in
disciplinary proceedings.
Q: Is the defense of Atty. R in a disbarment
complaint for immorality filed by his paramour
P that P is in pari delicto material or a ground for
exoneration? Explain. (2010 BAR)
SUI GENERIS
Sui generis in nature (2002 BAR)
A: The defense of in pari delicto is immaterial in an
administrative case which is sui generis. The
administrative case is about the lawyer's conduct,
not the woman's. (Mortel v. Aspiras, A.M. No. 145, 28
Dec. 1956)
Administrative cases against lawyers belong to a
class of their own (sui generis). They are distinct
from and may proceed independently of civil and
criminal cases. (In re Almacen, G.R. No. L-27654, 18
Feb. 1970; Funa, 2009) They are:
1.
2.
3.
Q: Arabella filed a complaint for disbarment
against her estranged husband, Atty. P, on the
ground of immorality and use of illegal drugs.
After Arabella presented evidence and rested
her case before the Investigating Commissioner
of the IBP Committee on Bar Discipline, she filed
an Affidavit of Desistance and motion to dismiss
the complaint, she and her husband having
reconciled for the sake of their children. You are
the Investigating Commissioner of the IBP.
Bearing in mind that the family is a social
institution which the State is duty-bound to
preserve, what will be your action on Arabella's
motion to dismiss the complaint? (2010 BAR)
Neither purely civil nor purely criminal, they
are investigations by the Court into the conduct
of one of its officers.
Not a civil action because there is neither
plaintiff nor respondent, and involves no
private interest. The complainant is not a party
and has no interest in the outcome except as all
citizens have in the proper administration of
justice. There is no redress for private
grievance.
Not a criminal prosecution because it is not
meant as a punishment depriving a lawyer of
source of livelihood but rather to ensure that
those who exercise the function should be
competent, honorable and reliable so that the
public may repose confidence in them.
A: I would still deny the motion to dismiss. The
general rule is that <no investigation shall be
interrupted or terminated by reason of the
desistance, settlement, compromise, restitution,
withdrawal of the charges or failure of the
complainant to prosecute the same unless the
Supreme Court motu proprio or upon
recommendation of the IBP Board of Governors
determines that there is no compelling reason to
continue with the proceedings. An administrative
Main objectives of disbarment and suspension
1.
2.
Compel the attorney to deal fairly and honestly
with clients;
Remove from the profession a person whose
misconduct has proved him/her unfit to be
entrusted with the duties and responsibilities
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
126
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
effect for being ultra vires. (Heirs of Falame v. Atty.
Baguio, A.C. No. 6876, 07 Mar. 2008)
investigation of a lawyer is sui generis, neither a civil
nor criminal proceeding. An affidavit of desistance
has no place in it.
NOTE: At most, the delay in the institution of the
administrative case would merely mitigate the
erring lawyer9s liability. (Heck v. Judge Santos, A.M.
No. RTJ-01-1657, 23 Feb. 2004)
Q: Atty. Hyde, a bachelor, practices law in the
Philippines. On long weekends, he dates
beautiful actresses in Hong Kong. Kristine, a
neighbor in the Philippines, filed with the
Supreme Court an administrative complaint
against the lawyer because of sex videos
uploaded through the internet showing Atty.
Hyde's sordid dalliance with the actresses in
Hong Kong. In his answer, Atty. Hyde (a.)
questions the legal personality and interest of
Kristine to institute the complaint and (b.)
insists that he is a bachelor and the sex videos
relate to his private life which is outside public
scrutiny and have nothing to do with the law
practice. Rule on the validity of Atty. Hyde's
defenses. (2009 BAR)
Q: Alleging that Atty. Frank had seduced her
when she was only 16 years old, and that she had
given birth to a baby girl as a result, Malen filed
a complaint for his disbarment seven years after
the birth of the child charging that he was a
grossly immoral person unworthy and unfit to
continue in the Legal Profession. In his comment,
Atty. Frank argued that the complaint for
disbarment should be dismissed because of
prescription. Explain. (2017 BAR)
A: Atty. Frank9s defense of prescription is not
justified. Disbarment is imprescriptible. In addition,
administrative proceedings against a lawyer are sui
generis, neither civil nor criminal. The ordinary
statutes of limitation have no application to
disbarment proceedings. (Calo Jr. v. Degamo, A.C. No.
516, 27 June 1967) The purpose of such proceedings
is not to punish the individual lawyer but to
safeguard the administration of justice by
protecting the court and the public from the
misconduct of lawyers and to remove from the
profession of law persons whose disregard of their
oath of office proves them unfit to continue charging
the trust reposed in them as members of the bar.
A:
a. The legal personality and interest of Kristine to
initiate the complaint for disbarment is
immaterial. A disbarment proceeding is sui
generis, neither civil nor a criminal proceeding.
Its sole purpose is to determine whether or not
a lawyer is still deserving to be a member of the
bar. In a real sense, Kristine is not a plaintiff;
hence, interest on her part is not required.
b.
Atty. Hyde's second defense is untenable. His
duty not to engage in unlawful, dishonest,
immoral and deceitful conduct under Rule 1.01
of the CPR, as well as his duty not to engage in
scandalous conduct to the discredit of the legal
profession under Rule 7.03, is applicable to his
private as well as to his professional life.
No Double or Multiple Disbrament
Q: Atty. Gutierrez asked for a cash loan twice
from Yuhico, but when he asked for a third time,
Yuhico refused and demanded payment of his
debts. Atty. Gutierrez failed to pay which led to
the filing of a complaint before the IBP-CBD for
non-payment of just debts. It turned out that
Atty. Gutierrez was previously disbarred in the
case of Huyssen v. Atty. Gutierrez for gross
misconduct in view of his failure to pay his debts
and his issuance of worthless checks. May Atty.
Gutierrez be disbarred for the second time?
PRESCRIPTION OF ACTIONS
No Prescriptive Period for the filing of an
Administrative Complaint against an Erring
Lawyer
Rule VII, Section 1 of the Rules of Procedure of the
CBD-IBP, which provides for a prescriptive period
for the filing of administrative complaints against
lawyers, should be struck as void and of no legal
A: NO. The Supreme Court held that while the IBP
127
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Suspension, Disbarment, and Discipline of Lawyers
that indicate that at the time the lawyer took his
oath, he did not possess the required
qualifications for membership in the bar.
Consequently, the cancellation of his license is
justified.
recommended to disbar Atty. Gutierrez for the
second time, we do not have double or multiple
disbarment in our laws or jurisprudence and
neither do we have a law mandating a minimum 5year requirement for readmission, as cited by the
IBP.
2.
Thus, while Gutierrez9s infraction calls for the
penalty of disbarment, they cannot disbar him anew.
(Yuhico v. Atty. Gutierrez, A.C. No. 8391, 23 Nov.
2010)
NOTE: Disbarment is merited when the action is not
the lawyer9s first ethical infraction of the same
nature. (Que v. Revilla, A.C. No. 7054, 04 Dec. 2009)
GROUNDS
Specific Grounds for Suspension or Disbarment
of a Lawyer
1.
2.
3.
4.
5.
6.
7.
8.
Malpractice
Deceit;
Malpractice;
Grossly immoral conduct;
Conviction of a crime involving moral
turpitude;
Violation of oath of office;
Willful disobedience of any lawful order of a
superior court;
Corrupt or willful appearance as an attorney for
a party to a case without authority to do so (Sec.
27, Rule 138, Rules of Court, as amended);
Non-payment of IBP membership dues. (Santos,
Jr. v. Atty. Llamas, A.C. No. 4749, 20 Jan. 2000)
It refers to any malfeasance or dereliction of duty
committed by a lawyer. (Tan Tek Beng v. David, A.C.
No. 1261, 29 Dec. 1983; Lapeña Jr., 2009)
Legal Malpractice
It consists of failure of an attorney to use such skill,
prudence and diligence as a lawyer of ordinary skill
and capacity commonly possess and exercise in the
performance of tasks which they undertake, and
when such failure proximately causes damage, it
gives rise to an action in tort. (Tan Tek Beng v. David,
A.C. No. 1261, 29 Dec. 1983)
Gross Misconduct
The statutory enumeration is not to be taken as a
limitation on the general power of Supreme Court to
suspend or disbar a lawyer. (In Re: Puno, A.C. No. 389,
28 Feb. 1967) HENCE, the grounds enumerated
are NOT exclusive.
It is any inexcusable, shameful or flagrant unlawful
conduct on the part of the person concerned in the
administration of justice which is prejudicial to the
rights of the parties or to the right determination of
a cause, a conduct that is generally motivated by a
premeditated, obstinate or intentional purpose.
(Yumol Jr. v. Ferrer, Sr., A.C. No. 6585, 21 Apr. 2005)
NOTE: Lending money by a justice of Supreme
Court is not a ground for disbarment and helping a
person apply for sale application on a lot is not an
offense and not also a ground for disbarment. (Olazo
v. Justice Tinga (Ret.), A.M. No. 10-5-7-SC, 07 Dec.
2010)
NOTE: The deliberate failure to pay just debts and
the issuance of worthless checks constitute gross
misconduct. Batas Pambansa Blg. 22 was <designed
to prohibit and altogether eliminate the deleterious
and pernicious practice of issuing checks with
insufficient funds, or with no credit, because the
practice is deemed a public nuisance, a crime
against public order to be abated." His violation
Lawyer9s Misconduct committed prior and after
Admission to the Bar and its Effects
1.
AFTER admission to the bar - those which
cause loss of moral character on his part or
involve violation of his duties to the court, his
client, to the legal profession and to the public.
PRIOR to admission to the bar - acts of
misconduct prior to admission include those
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
128
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
lawyer in his private relation with opposite sex may
put his character in doubt. But to justify suspension
or disbarment, the act must not only be immoral, it
must be grossly immoral. (Abaigar v. Paz, A.M. No.
997, 10 Sept. 1979)
exhibited his indifference towards the pernicious
effect of his illegal act to public interest and public
order. (Lim v. Atty. Rivera, A.C. No. 12156, 20 June
2018)
Q: Beth administratively charged her former
lawyer, Atty. Rawet, with gross misconduct and
gross ignorance of the law for the latter's
inadequate legal representation of her in her
suit against her neighbor. Midway during the
investigation, Beth decided to migrate to
Australia. Learning about her plans, Atty. Rawet
approached her and pleaded for her
understanding. He was able to persuade her to
execute an affidavit of desistance in respect of
her administrative complaint. He submitted the
affidavit of desistance to the Supreme Court and
moved to dismiss the charge against him. Will
the affidavit of desistance warrant the dismissal
of the administrative charge? Explain. (2017
BAR)
It treads the line of grossness when it is so corrupt
as to constitute a criminal act, or so unprincipled as
to be reprehensible to a high degree, or when
committed under such scandalous or revolting
circumstances as to shock the community9s sense of
decency. (Abella v. Atty. Barrios, A.C. No. 7332, 18
June 2013)
NOTE: Mere intimacy between a lawyer and a
woman with no impediment to marry each other,
and who voluntarily cohabited and had two children,
is neither so corrupt to constitute a criminal act nor
so unprincipled as to warrant disbarment or
disciplinary action against the man as a member of
the bar. (Arciga v. Maniwang, A.C. No. 1608, 14 Aug.
1981)
A: NO, the affidavit of desistance would not warrant
the dismissal of the administrative charge. A
disbarment proceeding is sui generis, neither a civil
nor criminal action. As such, a desistance by the
complainant is unimportant. The case may proceed
regardless of interest or lack of interest of the
complainant. (Rayos-Omboc v. Rayos, A.C. No. 2884,
28 Jan. 1998) The general rule is that no
investigation shall be interrupted or terminated by
reason of of the desistance, settlement, compromise,
restitution, withdrawal of the charges or failure of
the complainant to prosecute the same unless the
Supreme Court motu proprio or upon
recommendation of the IBP Board of Governors
determines that there is no compelling reason to
continue with the proceedings.
Moral Turpitude
It is defined as <everything that is done contrary to
justice, honesty, modesty, or good morals; an act of
baseness, vileness, or depravity in the private and
social duties which a man owes his fellowmen, or to
society in general, contrary to the accepted and
customary rule of right and duty between man and
woman, or conduct contrary to justice, honesty
modesty, or good morals. (Soriano v. Dizon, A. C. No.
6792, 25 Jan. 2006)
All crimes of which fraud or deceit is an element or
those inherently contrary to rules of right conduct,
honesty, or morality in civilized community. (Court
of Administrator v. San Andres, A.M. No. P-89-345, 31
May 1991)
Grossly Immoral Conduct
Other Statutory Grounds for Suspension and
Disbarment of Members of the Bar
Immoral conduct has been defined as that conduct
which is wilful, flagrant, or shameless, and which
shows a moral indifference to the opinion of the
good and respectable members of the community.
(Arciga v. Maniwang, A.M. No. 1608, 14 Aug. 1981;
Abella v. Atty. Barrios, A.C. No. 7332, 18 June 2013)
1. Acquisition of interest in the subject matter of
the litigation, either through purchase or
assignment (Art. 1491, NCC);
2. Breach of professional duty, inexcusable
negligence, or ignorance, or for the revelation of
An act of personal immorality on the part of a
129
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Suspension, Disbarment, and Discipline of Lawyers
NOTE: By having himself commissioned as
notary public, a lawyer assumes duties in a dual
capacity, the non-performance of which may be
a ground for discipline as a member of the bar.
the client9s secrets (Art. 208, RPC);
3. Representing conflicting interests. (Art. 209,
RPC)
Any errant behavior on the part of a lawyer, be it in
his public or private activities, which tends to show
him deficient in moral character, honesty, probity or
good demeanor, is sufficient to warrant his
suspension or disbarment. (Tiong v. Atty. Florendo,
A.C. No. 4428, 12 Dec. 2011)
Q: Jose secured the services of Atty. Lada to
pursue a case for partition of property. After
accepting the engagement, Atty. Lada filed the
corresponding complaint eventually dismissed
by the RTC for lack of cause of action and
insufficiency of evidence. Atty. Lada allegedly
Other Grounds for Discipline
1.
payment of appeal fees and other costs. Upon
payment, notice of appeal was filed but was also
dismissed for being filed out of time.
Non-professional misconduct
GR: A lawyer may not be suspended or
disbarred for misconduct in his nonprofessional or private capacity.
Atty. Lada however, did not disclose such fact
and, instead, showed to Jose an Order
purportedly issued by the RTC directing the
submission of the results of a DNA testing to
prove his filiation. When Jose found out that the
Order was spurious, he filed a disbarment case
against Atty. Lada. Will the case prosper?
XPN: Where such is so gross as to show him to
be morally unfit for office or unworthy of
privilege, the court may be justified in
suspending or removing him from the Roll of
Attorneys. (2005 BAR)
2.
Promoting to violate or violating penal laws
3.
Misconduct in discharge of official duties 3 A
lawyer who holds a government office may not
be disciplined as a member of the bar for
misconduct in the discharge of his duties as
government official.
A: YES. Atty. Lada already knew of the dismissal of
complainant9s partition case before the RTC.
Moreover, Atty. Lada was inexcusably negligent in
filing complainant9s appeal only on September 12,
2007, or way beyond the reglementary period
therefor, thus resulting in its outright dismissal.
Clearly, Atty. Lada failed to exercise such skill, care,
and diligence as men of the legal profession
commonly possess and exercise in such matters of
professional employment.
However, if the misconduct is in violation of the
CPR or of his oath as a lawyer or is of such a
character as to affect his qualifications as a
lawyer, he may be subject to disciplinary action
such as disbarment. (Collantes v. Renomeron,
A.C. No. 3056, 16 Aug. 1991)
Worse, Atty. Lada attempted to conceal the
dismissal of complainant9s appeal by fabricating the
Order which purportedly required a DNA testing to
make it appear that complainant9s appeal had been
given due course, when in truth, the same had long
been denied. In so doing, he engaged in an unlawful,
dishonest, and deceitful conduct that caused undue
prejudice and unnecessary expenses on the part of
complainant. For gross misconduct, Atty. Lada
should be disbarred. (Tan v. Diamante, A.C. No. 7766,
05 Aug. 2014)
NOTE: This rule does not apply to impeachable
officials like Supreme Court justices, members
of constitutional commissions and Ombudsman
because they can only be removed by
impeachment.
4.
Commission of fraud or falsehood; and,
5.
Misconduct as notary public
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
130
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
PROCEEDINGS
whom and for the protection of whose personal and
professional reputation it is vested, as by presenting
the testimony in a disbarment case or using it as
impeaching evidence in a civil suit. (Villalon v. IAC,
G.R. No. L-73751, 24 Sept. 1986)
Initiation of Disbarment
Any interested person or the court motu proprio
may initiate disciplinary proceedings. There can be
no doubt as to the right of a citizen to bring to the
attention of the proper authority the acts and doings
of public officers, which the citizens feel are
incompatible with the duties of the office and from
which conduct the citizen or the public might or
does suffer undesirable consequences. (2000 BAR)
Offices Authorized to investigate Disbarment
Proceedings
1. Supreme Court (Sec. 13, Rule 139-B, Rules of
Court, as amended)
2. IBP through its Commission on Bar Discipline
or authorized investigator (Sec. 2, Rule 139-B,
Rules of Court, as amended)
3. Office of the Bar Confidant (Sec. 13, Rule 139-B,
Rules of Court, as amended by B.M. No. 1645)
NOTE: A disbarment proceeding may proceed
regardless of interest or lack of interest of the
complainant. (Rayos-Ombac v. Rayos, A.C. No. 2884,
28 Jan. 1998) However, if the complainant refuses to
testify and the charges cannot then be substantiated,
the court will have no alternative but to dismiss the
case.
Purposes of Disbarment
Disbarment is not meant as a punishment to deprive
an attorney of a means of livelihood but rather
intended to:
Characteristics of Disbarment Proceedings
1. To protect the public;
2. To protect and preserve the legal profession;
3. To compel the lawyer to comply with his duties
and obligations under the CPR.
1.
2.
Sui Generis
The defense of <double jeopardy= cannot be
availed of in a disbarment proceeding;
3. It can be initiated motu proprio by the Supreme
Court or IBP. It can be initiated without a
complaint;
4. It is imprescriptible;
5. Conducted confidentially;
6. It can proceed regardless of the interest or the
lack thereof on the part of the complainant; and
7. It in itself constitutes due process of law.
8. Whatever has been decided in a disbarment
case cannot be a source of right that may be
enforced in another action;
9. In pari delicto rule not applicable;
10. No prejudicial question in disbarment
proceedings;
11. Penalty in a disbarment case cannot be in the
alternative; and
12. Monetary claims cannot be granted except
restitution and return of monies and properties
of the client given in the course of the lawyerclient relationship.
Quantum of Proof required
The quantum of proof in administrative cases
against lawyers is substantial evidence. (Reyes v.
Nieva, A.C. No. 8560, 06 Sept. 2016)
Substantial evidence is that amount of relevant
evidence as a reasonable mind might accept as
adequate to support a conclusion, even if other
minds, equally reasonable, might conceivably opine
otherwise. (Atty. Dela Fuente-Torres et. al v.
Dalangin, A.C. No. 10758, 05 Dec. 2017; Gubaton v.
Atty. Amador, A.C. No. 8962, 09 July 2018)
REASON: The evidentiary threshold of substantial
evidence 3 as opposed to preponderance of
evidence 3 is more in keeping with the primordial
purpose of and essential considerations attending
this type of cases. Public interest is its primary
objective, and the real question for determination is
whether or not the attorney is still a fit person to be
NOTE: The confidentiality of the proceedings is a
privilege which may be waived by the lawyer in
131
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Suspension, Disbarment, and Discipline of Lawyers
The following evidence sufficiently prove the
existence of an illicit relationship: (1) Gubaton9s
own account; (2) corroborative statements in an
affidavit executed by Navarez, a neutral and
disinterested witness; (3) description by Gubaton9s
sister, Nila; and (4) love letters/notes supposedly
written by Bernadette to Atty. Amador. (Gubaton v.
Atty. Amador, A.C. No. 8962, 09 July 2018)
allowed the privileges as such. Hence, in the
exercise of its disciplinary powers, the Court merely
calls upon a member of the Bar to account for his
actuations as an officer of the Court with the end in
view of preserving the purity of the legal profession
and the proper and honest administration of justice
by purging the profession of members who by their
misconduct have proved themselves no longer
worthy to be entrusted with the duties and
responsibilities pertaining to the office of an
attorney. In such posture, there can thus be no
occasion to speak of a complainant or a prosecutor.
(Reyes v. Nieva, A.C. No. 8560, 06 Sept. 2016)
Q: Atty. Sesbreño was found guilty of murder
and was sentenced to suffer the penalty of
reclusion perpetua by the Cebu City RTC. On
appeal,
however,
the Supreme
Court
downgraded the crime to homicide. On July 27,
2001, Sesbreño was released from confinement
following his acceptance of the conditions of his
parole. The order of commutation provides that
his original sentence is commuted to an
indeterminate prison term of from 7 years and 6
months to 10 years imprisonment and to pay an
indemnity of 50,000.00.
The burden of proof rests with the complainant, and
she must establish the case against the respondent
by clear, convincing and satisfactory proof,
disclosing a case that is free from doubt as to compel
the exercise by the Court of its disciplinary power.
Thus, the adage that he who asserts not he who
denies, must prove. (Atty. Dela Fuente-Torres et. al v.
Dalangin, A.C. No. 10758, 05 Dec. 2017)
Dr. Garcia filed a disbarment case against
Sesbreño alleging that he is practicing law
despite his previous conviction for homicide
and continuing to engage in the practice of law
despite his conviction of a crime involving moral
turpitude. Sesbreño argued that the executive
clemency granted to him restored his full civil
and political rights. Decide.
Q: Jildo Gubaton filed an administrative case
against Atty. Amador for gross immorality for
maintaining an illicit relationship with his wife,
Bernadette. Testimonies of Bernandette's house
helper and Bernadette's clinic secretary were
argued to be hearsay. Gubaton submitted
several other pieces of evidence. First,
Gubaton9s own account that he actually saw Atty.
Amador and Bernadette together on various
intimate occasions. Second, corroborative
statements in an affidavit executed by Navarez,
who works in BIR as a messenger and goes
around the city in relation to his work. Third,
description by Gubaton9s sister, Nila, about how
Atty. Amador would often visit Bernadette and
spend the night in their residence, while she was
still living with Bernadette and their children
thereat. Fourth, love letters/notes supposedly
written by Bernadette to Atty. Amador. Is there
substantial evidence to prove that Atty. Amador
is guilty of gross immorality.
A: There was no mention that the executive
clemency was absolute and unconditional and
restored Sesbreño to his full civil and political
rights. The executive clemency merely <commuted
to an indeterminate prison term of 7 years and 6
months to 10 years imprisonment=, the penalty
imposed on Sesbreño. Commutation is a mere
reduction of penalty and it only partially
extinguished criminal liability. The penalty for
Sesbreño9s crime was never wiped out. For the
unauthorized practice of law, Sesbreño is disbarred.
(Garcia v. Atty. Sesbreño, A.C. No. 7973 and A.C. No.
10457, 03 Feb. 2015)
A: YES. To satisfy the substantial evidence
requirement for administrative cases, hearsay
evidence should necessarily be supplemented and
corroborated by other evidence that are not hearsay.
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
Q: After passing the Philippine Bar in 1986,
Richards practiced law until 1996 when he
migrated to Australia where he subsequently
became an Australian citizen in 2000. As he kept
`
132
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
himself abreast of the legal developments,
petitioner learned about The Citizenship
Retention and Re-Acquisition Act of 2003 (R.A.
No. 9225), pursuant to which he reacquired his
Philippine citizenship in 2006. He took his oath
of allegiance as a Filipino citizen at the
Philippine embassy in Canberra, Australia.
and/or by such documents as may substantiate
said facts.
By virtue of B.M. No. 1645, the IBP has no power
to dismiss complaint against lawyers. It may
only recommend the dismissal of such
complaints as the power to dismiss complaints
against lawyers is solely reserved to the
Supreme Court.
Jaded by the laid-back life in the outback, he
returned to the Philippines in December of 2008.
After the holidays, he established his own law
office and resumed his practice of law. Months
later a concerned woman who had secured
copies of Atty. Richard's naturalization papers
with the consular authentication, filed with the
Supreme Court an anonymous complaint
against him for illegal practice of law. May the
Supreme Court act upon the complaint filed by
an anonymous person?
DISBARMENT PROCEEDINGS
BEFORE THE IBP
The IBP shall forward to the Supreme Court for
appropriate disposition all complaints for
disbarment, suspension and discipline filed against
incumbent Justices of the Court of Appeals,
Sandiganbayan, Court of Tax Appeals and judges of
lower courts, or against lawyers in the government
service whether or not they are charged singly or
jointly with other respondents, and whether or not
such complaint deals with acts unrelated to the
discharge of their official functions.
A: YES. The Supreme Court may act upon the
complaint filed by an anonymous complainant,
because the basis of the complaint consists of
documents with consular authentications which can
be verified being public records. There is no need to
identify the complainant when the evidence is
documented and verifiable. (In re: Anonymous
Complaint versus Judge Echiverri, A.M. No. 697-CFI,
30 Oct. 1975) Besides, the Supreme Court or the IBP
may initiate disbarment proceedings motu proprio.
If the complaint is filed before the IBP, six (6) copies
of the verified complaint shall be filed with the
Secretary of the IBP or the Secretary of any of its
chapters who shall forthwith transmit the same to
the IBP Board of Governors for assignment to an
investigator.
PROCEDURE FOR DISBARMENT
PROCEDURAL STEPS FOR DISBARMENT IN THE
IBP
AMENDMENT OF SEC. 1, RULE 139-B OF THE
REVISED RULES OF COURT
(B.M. NO. 1645, 13 OCTOBER 2015)
Proceedings for disbarment, suspension
discipline of attorneys may be taken by the:
1.
2.
1.
The Board of Governors shall appoint from
among the IBP members an investigator or
when special circumstances so warrant, a panel
of 3 investigators to investigate the complaint;
2.
If the complaint is meritorious, the respondent
shall be served with a copy requiring him to
answer within 15 days from service;
3.
The respondent shall file a verified answer
containing the original and five (5) legible
copies; after receipt of the answer or lapse of
the period to do so, the Supreme Court, may,
motu proprio or upon recommendation, the IBP
Board of Governors suspend an attorney from
or
Supreme Court motu proprio; or
Upon the feeling of a verified complaint of any
person before the Supreme Court or the
Integrated Bar of the Philippines.
NOTE: The complaint shall state clearly and
concisely the facts complained of and shall be
supported by affidavits of persons having
personal knowledge of the facts therein alleged
133
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Suspension, Disbarment, and Discipline of Lawyers
entertained, an aggrieved party can file said
motion with the BOG within fifteen (15) days
from notice of receipt thereof by said party.
practice, for any of the causes under Rule 138,
Sec. 27, during the pendency of the
investigation;
4.
After joinder of the issues or failure to answer,
the respondent shall be given full opportunity
to defend himself. But if the respondent fails to
appear to defend himself in spite of notice, the
investigator may proceed ex parte. The
investigation shall be terminated within 3
months from commencement unless extended
for good cause by the Board of Governors upon
prior application;
5.
The investigator shall make a report to the
Board of Governors within 30 days from
termination of the investigation which report
shall contain his findings and recommendations
together with the evidence;
6.
The Board of Governors shall have the power to
review the decision of the investigator. Its
decision shall be promulgated within a period
not exceeding 30 days from the next meeting of
the Board following the submission of the
report of the investigator; and
7.
If the decision is a finding of guilt of the charges,
the IBP Board of Governors shall issue a
resolution setting forth its findings and
recommendations which shall be transmitted to
the Supreme Court for final action together with
the record.
RE: CLARIFICATION ON THE RULES OF
PROCEDURE OF THE COMMISSION
ON BAR DISCIPLINE
(B.M. NO. 1755, 17 JUNE 2008)
A party can no longer file a motion for
reconsideration of any order or resolution of
the Investigating Commissioner, such motion
being a prohibited pleading.
2.
Regarding the issue of whether a motion for
reconsideration of a decision or resolution of
the Board of Governors (BOG) can be
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
In case a decision is rendered by the BOG that
exonerates the respondent or imposes a
sanction less than suspension or disbarment,
the aggrieved party can file a motion for
reconsideration within the 15-day period from
notice. If the motion is denied, said party can file
a petition for a review under Rule 45 of the
Rules of Court with the Supreme Court within
fifteen (15) days from notice of the resolution
resolving the motion. If no motion for
reconsideration is filed, the decision shall
become final and executory and a copy of said
decision shall be furnished to the Supreme
Court.
4.
If the imposable penalty is suspension from the
practice of law or disbarment, the BOG shall
issue a resolution setting forth its findings and
recommendations. The aggrieved party can file
a motion for reconsideration of said resolution
with the BOG within fifteen (15) days from
notice. The BOG shall first resolve the incident
and shall thereafter elevate the assailed
resolution with the entire case records to the
Supreme Court for final action. If the 15-day
period lapses without any motion for
reconsideration having been filed, then the BOG
shall likewise transmit to this Court the
resolution with the entire case records for
appropriate action.
NOTE: Lawyers must update their records with the
IBP by informing the IBP National Office or their
respective chapters of any change in office or
residential address and other contact details. In case
such change is not duly updated, service of notice on
the office or residential address appearing in the
records of the IBP National Office shall constitute
sufficient notice to a lawyer for purposes of
administrative proceedings against him. (Keld
Stemmerik v. Atty. Leonuel Mas, A.C. No. 8010, 16 June
2009)
Propriety of a Motion for Reconsideration
1.
3.
`
134
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
DISBARMENT PROCEEDINGS
BEFORE THE SUPREME COURT
1.
29 June 1998)
Effect of Lawyer9s Death in an Administrative
Proceeding against him
In proceedings initiated by the Supreme Court
or in other proceeding when the interest of
justice so requires, the Supreme Court may
refer the case for investigation to the Office of
the Bar Confidant, or to any officer of the
Supreme Court or judge of a lower court, in
which case the investigation shall proceed in
the same manner provided in sections 6-11
hereof, save that the review off the report of
investigation shall be conducted directly by the
Supreme Court.
1.
2.
Renders the action moot and academic, but
The Court may still resolve the case on its
merits in order to clear publicly the name of the
lawyer
CONFIDENTIALITY OF DISBARMENT
PROCEEDINGS
Three-fold Purpose of
Disbarment Proceedings
The complaint may also be referred to the IBP
for investigation, report, and recommendation.
(Sec. 13, Rule 139-b, Rules of Court, as amended
by B.M. No. 1645)
Confidentiality
of
1.
To enable the court to make its investigation
free from extraneous influence or interference;
2. To protect the personal and professional
reputation of attorneys from baseless charges
of disgruntled, vindictive and irresponsible
persons or clients by prohibiting publication of
such charges pending their final resolution
(Albano v. Coloma, A.C. No. 528, October 11,
1967);
3. To deter the press from publishing charges or
proceedings based thereon for even a verbatim
reproduction of the complaint against an
attorney in the newspaper may be actionable.
Q: Atty. Narag9s wife filed a petition for
disbarment because he courted one of his
students, maintained the said student as a
mistress and had children with her. On the other
hand, Atty. Narag claimed that his wife was a
possessive, jealous woman who abused him and
filed the complaint against him out of spite. Atty.
Narag, however, failed to refute the testimony
given against him as his actions were of public
knowledge. Is Atty. Narag9s disbarment
appropriate?
NOTE: The confidentiality of the proceedings is a
privilege which may be waived by the lawyer in
whom and for the protection of whose personal and
professional reputation it is vested, as by presenting
the testimony in a disbarment case or using it as
impeaching evidence in a civil suit. (Villalon v. IAC,
G.R. No. L-73751, 24 Sept. 1986)
A: YES. Atty. Narag failed to prove his innocence
because he failed to refute the testimony given
against him and it was proved that his actions were
of public knowledge and brought disrepute and
suffering to his wife and children. Good moral
character is a continuing qualification required of
every member of the bar.
Q: Atty. Fortun is the counsel for Ampatuan, Jr.,
the principal accused in the murder cases in the
Maguindanao Massacare. Atty. Quinsayas, et al.
filed a disbarment complaint against Atty.
Fortun on the ground that he used and abused
the different legal remedies available and
allowed under the rules; and muddled the issues
and diverted the attention away from the main
subject matter of the cases. Atty. Fortun alleged
that Atty. Quinsayas, et al. actively disseminated
the details to the media of the disbarment
Thus, when a lawyer fails to meet the exacting
standard of moral integrity, the Supreme Court may
withdraw his or her privilege to practice law. When
a lawyer is found guilty of gross immoral conduct,
he may be suspended or disbarred. As a lawyer, one
must not only refrain from adulterous relationships,
but must not behave in a way that scandalizes the
public by creating a belief that he is flouting those
moral standards. (Narag v. Atty. Narag, A.C. No. 3405,
135
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Suspension, Disbarment, and Discipline of Lawyers
NOTE: The judgment, resolution or order of the
foreign court or disciplinary agency shall be prima
facie evidence of the ground for disbarment or
suspension. (Supreme Court Resolution, 13 Feb. 1992
amending Sec. 27, Rule 138 of the Rules of Court, as
amended)
complaint against him in violation of Rule 139-B
of the Rules of Court on the confidential nature
of disbarment proceedings. Is Atty. Fortun
correct?
A: NO. As a general rule, disbarment proceedings
are confidential in nature until their final resolution
and the final decision of this Court. In this case,
however, the filing of a disbarment complaint
against Atty. Fortun is a matter of public concern
considering that it arose from the Maguindanao
Massacre case. The interest of the public is not on
Atty. Fortun but primarily on his involvement and
participation as defense counsel in the
Maguindanao Massacre case.
Q: Atty. Forma is a member of the Philippine Bar.
He went to New York City, took the New York
State Bar, and passed the same. He then
practiced in New York City. One of his American
clients filed a case for disbarment against him
for pocketing the money which was entrusted to
him as payment for the filing fee and other
incidental expenses of his damage suit. Atty.
Forma came back to the Philippines and
practiced as a lawyer. Will his disbarment in
New York be used against him for purposes of
disbarment
proceedings
here
in
the
Philippines? (2014 BAR)
The Maguindanao Massacre is a very high-profile
case. It is understandable that any matter related to
the Maguindanao Massacre is considered a matter
of public interest and that the personalities
involved, including Atty. Fortun, are considered as
public figure. Thus, media has the right to report the
filing of the disbarment case as legitimate news. It
would have been different if the disbarment case
against petitioner was about a private matter as the
media would then be bound to respect the
confidentiality provision of disbarment proceedings
under Section 18, Rule 139-B of the Rules of Court.
(Fortun v. Quinsayas, G.R. No. 194578, 13 Feb. 2013)
A: Atty. Forma may be disbarred in the Philippines
if the ground for his disbarment in New York is also
a ground for disbarment in this country. But he is
still entitled to due process of law, and the foreign
court9s judgment against him only constitutes prima
facie evidence of unethical conduct as a lawyer. He
is entitled to be given an opportunity to defend
himself in an investigation to be conducted in
accordance with Rule 139 of the Revised Rules of
Court. (In re: Suspension from the Practice of Law in
the Territory of Guam of Atty. Leon Maquera, B.M.
793, 30 July 2004; Velez v. De Vera, A.C. No. 6697, 25
July 2006)
DISCIPLINE OF FILIPINO LAWYERS PRACTICING
ABROAD
Judgment of Suspension of a Filipino Lawyer in
a Foreign Court
The judgment of suspension against a Filipino
lawyer in a foreign jurisdiction does not
automatically result in his suspension or
disbarment in the Philippines as the acts giving rise
to his suspension are not grounds for disbarment
and suspension in this jurisdiction. Judgment of
suspension against a Filipino lawyer may transmute
into a similar judgment of suspension in the
Philippines only if the basis of the foreign court's
action includes any of the grounds for disbarment or
suspension in this jurisdiction. (Velez v. De Vera, A.C.
No. 6697, 25 July 2006)
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
136
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE
SUPREME COURT MOTU PROPRIO
(Rule 139-B, Rules of Court, as amended by B.M. No. 1645)
Supreme Court shall refer the case to an investigator, who may
either be:
1. Office of the Bar Confidant
2. Any officer of the SC, or
3. Any judge of a lower court
Notify Respondent
RESPONDENT9S VERIFIED ANSWER
(Must be filed within 15 days from service)
INVESTIGATION
(TERMINATE WITHIN 3 MONTHS)
REPORT TO SUPREME COURT
(to be submitted not later than 30 days from investigation9s
termination)
REPORT MUST CONTAIN THE INVESTIGATOR9S:
1. Findings of fact
2. Recommendations
137
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Legal Ethics
PROCEDURE FOR DISBARMENT OR DISCIPLINE OF ATTORNEYS BY THE IBP
(Rule 139-B, Rules of Court, as amended)
VERIFIED COMPLAINT TO THE IBP BY ANY
PERSON
IBP Motu Proprio (Committee on Bar
Discipline through National Grievance
Investigator)
Complaint must be:
1. In writing;
2. State facts complained of; and
3. Supported by affidavits / documents
Shall appoint an investigator / panel of 3
investigators and notify respondent
IF NOT MERITORIOUS:
Recommend the dismissal of the
complaint to the Board of
Governors
IF MERITORIOUS, RESPONDENT TO
FILE VERIFIED ANSWER
(Must be filed within 15 days from
service)
INVESTIGATION (terminate within 3 months)
1. Investigator may issue subpoenas and
administer oaths,
2. Provide respondent with opportunity to be
heard,
3. May proceed with investigation ex parte should
respondent fail to appear.
DISMISSAL BY BOARD OF GOVERNORS 3
(should be promulgated within a period
not exceeding 30 days from the next
meeting of the board following the
submittal of the investigator9s report)
REPORT TO BOARD OF GOVERNORS (Submitted not later than 30 days from termination
of investigation) containing: (a) Findings of facts; and (b)Recommendations
The Board of Governors shall recommend to the Supreme Court either: (a) the dismissal of the
complaint; or (b) the imposition of disciplinary action against the respondent.
NOTE: The resolution shall be issued within a period not exceeding thirty (30) days from the
next meeting of the Board following the submission of the investigator9s report.
SUPREME COURT FOR
JUDGMENT
UNIVERSITY OF SANTO TOMAS
2022 GOLDEN NOTES
`
138
Downloaded by ADELAH UMPA (uadelah@gmail.com)
lOMoARcPSD|29335241
Practical Exercises
EFFECT OF DESISTANCE OR WITHDRAWAL OF
COMPLAINT OR NON-APPEARANCE IN
DISBARMENT PROCEEDINGS
EFFECT OF RESIGNATION
Q: Judge Contreras was administratively
charged
with
Gross
Misconduct,
Insubordination and acts inimical to judicial
service. However, Judge Amor filed a COC for the
2002 Barangay Elections, which deemed him
automatically resigned from the judiciary. Can
he still be administratively liable?
The desistance or the withdrawal of the
complainant of the charges against a judge/lawyer
does not deprive the court of the authority to
proceed to determine the matter. Nor does it
necessarily result in the dismissal of the complaint
except when, as a consequence of the withdrawal or
desistance, no evidence is adduced to prove the
charges. (Presado v. Judge Genova, A.M. No. RTJ-91657, 21 June 1993)
A: YES. Judge Amor9s automatic resignation due to
his filing of a COC for the 2002 Barangay Elections
did not divest the Court of its jurisdiction in
determining
his
administrative
liability.
Resignation should not be used either as an escape
or an easy way out to evade an administrative
liability or administrative sanction. (OCA v. Judge
Amor, A.M. No. RTJ-08-2140, 07 Oct. 2014)
The affidavit of withdrawal of the disbarment case
executed by a complainant does not, in any way,
exonerate the respondent-lawyer. A case of
suspension or disbarment may proceed regardless
of interest or lack of interest of the complainant. The
complainant in a disbarment case is not a direct
party to the case, but a witness who brought the
matter to the attention of the Court. (Quiachon v.
Atty. Ramos, A.C. No. 9317, 04 June 2014)
DOCTRINE OF RES IPSA LOQUITUR
APPLICABLE TO JUDGES AND LAWYERS
The doctrine of res ipsa loquitur is applicable in
cases of dismissal of judges or disbarment of
lawyers. (1996, 2003 BAR)
This principle or doctrine applies to both judges and
lawyers. Judges had been dismissed from the
service without the need of a formal investigation
because based on the records, the gross misconduct
or inefficiency of judges clearly appears. (Uy v.
Mercado, A.M. No. R-368-MTJ, 30 Sept. 1987)
The same principle applies to lawyers. Thus, where
on the basis of the lawyer9s comment or answer to a
show-cause order of Supreme Court, it appears that
the lawyer has so conducted himself in a manner
which exhibits his blatant disrespect to the court, or
his want of good moral character or his violation of
the attorney9s oath, the lawyer may be suspended or
disbarred without need of trial-type proceeding.
What counts is that the lawyer has been given the
opportunity to air his side. (Prudential Bank v.
Castro, A.M. No. 2756, 05 June 1986)
139
UNIVERSITY OF SANTO TOMAS
FACULTY OF CIVIL LAW
Downloaded by ADELAH UMPA (uadelah@gmail.com)