Legal Ethics
Ethical Guidelines for Maintaining a Successful
Practice
Timothy J. Halloran, Esq.
Jason E. Fellner, Esq.
Murphy, Pearson, Bradley & Feeney, P.C.
1.
2.
3.
4.
Four Important Precepts
Properly Screening Clients
Servicing Clients
Keeping Sharp in Your Area of
Expertise
Maintaining Client Files
Properly Screening Clients
“The saying is true, the empty vessel makes
the greatest sound.”
- William Shakespeare, Henry V, Act IV,
Scene 4, lines 58-59
1) Client Interviews
2) Background Investigation
(e.g. www.411.org)
3) Prior Lawsuits
4) Trust Instincts
5) Conflict Check
Cal. Rule of Prof. Conduct
Rule 3-300
 Cal. Rule of Prof. Conduct Rule 3-300 - Avoiding Interests Adverse to a Client
A member shall not enter into a business transaction with a client; or knowingly
acquire an ownership, possessory, security, or other pecuniary interest adverse
to a client, unless each of the following requirements has been satisfied:
(A) The transaction or acquisition and its terms are fair and reasonable to the client
and are fully disclosed and transmitted in writing to the client in a manner
which should reasonably have been understood by the client; and
(B) The client is advised in writing that the client may seek the advice of an
independent lawyer of the client's choice and is given a reasonable opportunity
to seek that advice; and
(C) The client thereafter consents in writing to the terms of the transaction or the
terms of the acquisition.
Cal. Rule of Prof. Conduct
Rule 3-310
Cal. Rule of Prof. Conduct Rule 3-310 - Avoiding the Representation of Adverse Interests
(B) A member shall not accept or continue representation of a client without providing written disclosure to the client where:
(1) The member has a legal, business, financial, professional, or personal relationship with a party or witness in the same matter; or
(2) The member knows or reasonably should know that:
(a) the member previously had a legal, business, financial, professional, or personal relationship with a party or witness in the same
matter; and
(b) the previous relationship would substantially affect the member's representation; or
(3) The member has or had a legal, business, financial, professional, or personal relationship with another person or entity the
member knows or reasonably should know would be affected substantially by resolution of the matter; or
(4) The member has or had a legal, business, financial, or professional interest in the subject matter of the representation.
(C) A member shall not, without the informed written consent of each client:
(1) Accept representation of more than one client in a matter in which the interests of the clients potentially conflict; or
(2) Accept or continue representation of more than one client in a matter in which the interests of the clients actually conflict; or
(3) Represent a client in a matter and at the same time in a separate matter accept as a client a person or entity whose interest in the
first matter is adverse to the client in the first matter.
(E) A member shall not, without the informed written consent of the client or former client, accept employment adverse to the client or
former client where, by reason of the representation of the client or former client, the member has obtained confidential
information material to the employment.

Servicing Clients
“Make service your first priority, not success, and
success will follow.”
1) Communication
2) Communication
3) Communication
Communication
 Rule 3-500 Communication
A member shall keep a client reasonably informed about significant developments
relating to the employment or representation, including promptly complying
with reasonable requests for information and copies of significant documents
when necessary to keep the client so informed.
 Rule 3-510 Communication of Settlement Offer
(A) A member shall promptly communicate to the member's client:
(1) All terms and conditions of any offer made to the client in a criminal matter;
and
(2) All amounts, terms, and conditions of any written offer of settlement made
to the client in all other matters.
(B) As used in this rule, "client" includes a person who possesses the authority to
accept an offer of settlement or plea, or, in a class action, all the named
representatives of the class.
Keeping Sharp in Your Practice Area
“If I had eight hours to chop down a tree, I’d
spend six sharpening my ax.” - Abraham
Lincoln
1) Legal Specialization
2) Continuing Legal Education
3) Disclosure of Legal Experience to
Client
4) If Appropriate, Refer Client to
Experienced Attorney
California Legal Specialists

Requirements for Legal Specialization Certification:
an attorney must :
1) have been engaged in the practice of law in the area in which certification is sought for a minimum of 25 percent of the time the attorney has spent
in occupational endeavors during the previous five years
2) be an active member of the State Bar of California
Workers' Compensation Law applicants also must be in good standing before the Workers' Compensation Appeals Board
Immigration and Nationality Law applicants also must meet the definition of "attorney" as set forth in 8 CFR 1.1(f) and shall not be under order of
suspension or disbarment by the Board of Immigration Appeals
Bankruptcy Law applicants must also be admitted and in good standing before at least one United States District Court within the State of
California
3) pass a written exam
4) demonstrate a high level of experience in the specialty field by meeting specific task and experience requirements
5) complete at least 45 hours of continuing education in the specialty field
6) be favorably evaluated by other attorneys and judges familiar with the attorney's work

Specializations:
Admiralty and Maritime Law
Appellate Law
Bankruptcy Law
Criminal Law
Estate Planning Trust and Probate Law
Family Law
Franchise and Distribution Law
Immigration and Nationality Law
Legal Malpractice Law
Taxation Law
Worker’s Compensation Law
Continuing Legal Education
 Total hours required every three years: 25 hours
 Maximum "self-study" hours: 12.5 hours
 Members must fulfill at least one-half of their MCLE requirement
with activities approved for "participatory" MCLE credit.
 Special Requirements within the total hours required (may be
taken as participatory or self-study):
 Legal Ethics: 4 hours (required)
 Detection/Prevention of Substance Abuse: 1 hour (required)
 Elimination of Bias in the Legal Profession: 1 hour (required)
Disclosure of Legal Experience to
Client
Cal. Rule of Prof. Conduct Rule 1-400 Advertising and Solicitation
(D) A communication or a solicitation (as defined herein) shall not:
(1) Contain any untrue statement; or
(2) Contain any matter, or present or arrange any matter in a manner or format which is false,
deceptive, or which tends to confuse, deceive, or mislead the public; or
(3) Omit to state any fact necessary to make the statements made, in the light of circumstances
under which they are made, not misleading to the public; or
(4) Fail to indicate clearly, expressly, or by context, that it is a communication or solicitation, as the
case may be; or
(5) Be transmitted in any manner which involves intrusion, coercion, duress, compulsion,
intimidation, threats, or vexatious or harassing conduct.
(6) State that a member is a "certified specialist" unless the member holds a current certificate as a
specialist issued by the Board of Legal Specialization, or any other entity accredited by the State Bar
to designate specialists pursuant to standards adopted by the Board of Governors, and states the
complete name of the entity which granted certification.

If Appropriate, Refer Client to Another
Attorney
 Rule 3-110 Failing to Act Competently.
(A) A member shall not intentionally, recklessly, or repeatedly fail to
perform legal services with competence.
(B) For purposes of this rule, "competence" in any legal service shall mean
to apply the 1) diligence, 2) learning and skill, and 3) mental, emotional,
and physical ability reasonably necessary for the performance of such
service.
(C) If a member does not have sufficient learning and skill when the legal
service is undertaken, the member may nonetheless perform such
services competently by 1) associating with or, where appropriate,
professionally consulting another lawyer reasonably believed to be
competent, or 2) by acquiring sufficient learning and skill before
performance is required.
Maintaining Client Files
Paper Files
Electronically Stored Information
Client Papers and Property
 Rule 3-700. Termination of Employment
A member whose employment has terminated shall:
(1) Subject to any protective order or non-disclosure agreement,
promptly release to the client, at the request of the client, all the client
papers and property. "Client papers and property" includes
correspondence, pleadings, deposition transcripts, exhibits, physical
evidence, expert's reports, and other items reasonably necessary to the
client's representation, whether the client has paid for them or not; and
(2) Promptly refund any part of a fee paid in advance that has not been
earned. This provision is not applicable to a true retainer fee which is
paid solely for the purpose of ensuring the availability of the member for
the matter.
Electronically Stored Information
THE STATE BAR OF CALIFORNIA
STANDING COMMITTEE ON
PROFESSIONAL RESPONSIBILITY AND CONDUCT
FORMAL OPINION NO. 2007-174
An attorney is ethically obligated, upon termination of employment, promptly to release
to a client, at the client’s request: (1) an electronic version of e-mail correspondence,
because such items come within a category subject to release; (2) an electronic version of
the pleadings, because such items too come within a category subject to release; (3) an
electronic version of discovery requests and responses, because such items are subject to
release as reasonably necessary to the client’s representation; (4) an electronic deposition
and exhibit database, because such an item itself contains items that come within
categories subject to release; and (5) an electronic version of transactional documents,
because such items are subject to release as reasonably necessary to the client’s
representation. The attorney’s ethical obligation to release any electronic items, however,
does not require the attorney to create such items if they do not exist or to change the
application (e.g., from Word (.doc) to WordPerfect (.wpd)) if they do exist. Prior to
release, the attorney is ethically obligated to take reasonable steps to strip from each of
these electronic items any metadata reflecting confidential information belonging to any
other client.
(See Cal. Rule of Prof. Conduct Rule 3-700(D); Bus. & Prof. Code Section 6068(e)(1).)
Resources for Additional Information
 California State Bar Website – www.calbar.ca.gov
 California Ethics Hotline –
1-800-238-427
 California Rules of Professional Conduct
 The Rutter Guide – Professional Responsibility
QUESTIONS