Term
Discipline Authority; Choice of Law (8.5) |
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Definition
(a) Discipline Authority: Lawyer admitted to practice in this jurisdiction is subject to disc. auth. of this juris. regardless of where the lawyer's conduct occurs. Lawyer not admitted in this juris. is also subject to disc. auth. of this juris. if the lawyer provides or offers to provide any legal services in the juris. Lawyer may be subject to disc. auth. of both this juris. & another for the same conduct.
(b)Choice of Law: If any exercise of the disc. auth. of this juris., the rules of prof. conduct to be applied shall be: (1) for conduct in connection w/a matter pending before a tribunal, the rules of the juris. in which the tribunal sits, unless the rules of the tribunal provide otherwise, & (2) for any other conduct, the rules of the juris. in which the lawyer's conduct occurred, or, if the predominant effect of the conduct is in a diff. juris., the rules of that juris. shall be applied to the conduct. A lawyer shall not be subject to disc. if the lawyer's conduct conforms to the rules of a juris. in which the lawyer reasonably believes the predominant effect of the lawyer's conduct will occur. |
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Term
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Definition
It is professional misconduct for a lawyer to:
(a) violate or attempt to violate the MRPC, knowingly assist or induce another to do so, or do so through the acts of another
(b) commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects;
(c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
(d) engage in conduct that is prejudicial to the administration of justice:
(e) state or imply an ability to influence improperly a gov. agency or official or to achieve result by means that violate the MRPC or other law;
(f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law |
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Term
Reporting Prof. Misconduct (8.3) |
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Definition
(a) A lawyer who knows that another has committed a violation of the MRPC that raises a substantial question as to that lawyer's honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate prof. authority.
(b) A lawyer who knows that a judge has committed a violation of applicable rules of judicial conduct that raises a substantial question as to the judge's fitness for office shall inform the appropriate authority.
(c) This rule doesn't require disclosure of info otherwise protected by 1.6 or info gained by a lawyer or judge while participating in approved lawyer's assistance program. |
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Term
Judicial & Legal Officials (8.2) |
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Definition
(a) A lawyer shall not make a statement that the lawyer knows to be false or w/reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, o of a candidate for election or appt. to judicial or legal office.
(b) A lawyer who is a candidate for judicial office shall comply w/the applicable provisions of the Code of Judicial Conduct. |
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Term
Bar Admission & Disciplinary Matters (8.1) |
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Definition
An app. for admission to the bar, or a lawyer in connection w/ a bar admission app. or in connection w/a disciplinary matter, shall not:
(a) knowingly make a false statement of material fact; or
(b) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for info from an admissions or disc. auth., except that this rule doesn't require disclosure of info otherwise protected by 1.6. |
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Term
Political Contributions to Obtain Gov. Legal Engagements or Appointments by Judges (7.6) |
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Definition
A lawyer or firm shall not accept a gov. legal engagement or an appt. by a judge if the lawyer or firm makes a political contribution or solicits political contributions for the purpose of obtaining or being considered for that type of legal engagement or appointment. |
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Term
Firm Names & Letterheads (7.5) |
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Definition
(a) A lawyer shall not use a firm name, letterhead or other prof. designation that violates 7.1. A trade name may be used by a lawyer in private practice if it does NOT imply a connection w/a gov. agency or with a public or charitable legal services organization and doesn't otherwise violate 7.1
(b) A firm w/offices in more than one juris. may use the same name or other prof. designation in each jurisdiction, but identification of the lawyers in an office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the juris. where the office is located
(c) The name of a lawyer holding a public office shall not be used in the name of a law firm, or in communications on it s behalf, during any substantial period in which the lawyer is not actively & regularly practicing w/the firm.
(d) Lawyers may state or imply that they practice in a partnership or other org. only when that is fact. |
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Term
Communication of Fields of Practice & Specialization (7.4) |
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Definition
(a) A lawyer may communicate the fact that the lawyer does or doesn't practice in particular fields of law
(b) & (c) Lawyers engaged in patent or admiralty may use "Patent Attorney" or "Admiralty"
(d) A lawyer shall not state or imply that a lawyer is certified as a specialist in a particular field of law, unless: (1) the lawyer has been certified as a specialist by an org. that has been approved by an appropriate state authority or that has been accredited by the ABA, & (2) the name of the certifying org. is clearly identified in the communication. |
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Term
Direct Contact w/Prospective Clients (7.3) |
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Definition
(a) A lawyer shall not by in-person, live telephone or real-time elctronic contact solicit prof. employment from a prospective client when a significnat motive for the lawyer's doing so is the alwyer's pecuniary gain, unless the person contacted: (1) is a lawyer, OR (2) has a family, close personal, or prior prof. relationship w/the lawyer
(b)A lawyer shall not solicit prof. employment from a prospective client by written, recorded or electronic communication or by in-person, telephone, or real-time electronic contact even when not otherwise prohibited by (a) if: (1) the prospective client has made known to the lawyer a desire not to be solicited, OR (2) the solicitation involves coercion, duress, or harassment.
(c) Every written, recorded or electronic communication from a lawyer soliciting prof. employment from a prospective client known to be in need of legal services in a particular matter shall include the words "Advertising Material" on the outside envelope & at the beginning & end of any recorded or electronic communication unless the recipient of the comm. is a person specified in (a)(1) or (a)(2).
(d) Notwithstanding the prohibition in (a), a lawyer may participate w/ a prepaid or group legal service plan operated by an org. not owned or directed by the lawyer that uses in-person or telephone contact to solicit memberships or subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan. |
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Term
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Definition
(a) Subject to 7.1 & 7.3, a lawyer may advertise services through written, recorded or electronic communication, including public media.
(b) A lawyer shall not give anything of value to a person for recommending the lawyer's services except that a lawyer may (1) pay the reasonable costs of ads or communications permitted by this rule (2) pay the usual charges of a legal services plan or not-for-profit or qualified lawyer referral service (one that's been approved by appropriate authority) (3) pay for a law practice in accordance with 1.17 & (4) refer clients to another lawyer or nonlawyer prof. pursuant to an agreement not otherwise prohibited under these rules that provides for the other person to refer clients to the lawyer if (i) the reciprocal referral agreement isn't exclusive & (ii) the client is informed of the existence & nature of the agreement
(c) any communication made pursuant to this rule shall include the name & office address of at least one lawyer or firm responsible for its content. |
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Term
Communications Concerning a Lawyer's Services (7.1) |
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Definition
A lawyer shall not make a false or misleading communication about their services. A communication is false/misleading if it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading. |
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Term
Accepting Appointments (6.2) |
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Definition
A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for good cause, such as:
(a) representing the client is likely to result in violation of the MRPC or other law,
(b) representing the client is likely to result in an unreasonable financial burden on the lawyer; OR
(c) the client or the cause is so repugnant to the lawyer as to be likely to impair the client/lawyer relationship or the lawyer's ability to represent the client |
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Term
Voluntary Pro Bono Service (6.1) |
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Definition
Every lawyer has a responsibility to provide services to those unable to pay. A lawyer should aspire to render at least 50 hrs of pro bono services/yr. They should:
(a) provide a majority of the 50 hrs without fee or expectation of fee to: (1) persons of limited means, or (2) charitable, religious, civi, community, gov. & educational org.'s in matters designed to address the needs of persons of limited means and
(b) provide any addtl. services through: (1) delivery of legal services at no fee or substantially reduced fee to individuals, groups or organizations seeking to secure or protect civil rights, civil liberties or public rights or charitable/religious etc., in matters in furtherance of their organizational purposes where the payment of standard fees would deplete their economic resources; (2) delivery of legal services at a substantially recued fee to persons of limited means or
(3) participation in activities for improving the law, the legal system or the legal profession.
In addition, a lawyer should voluntarily contribute financial support to organizations that provide legal services to persons of limited means. |
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Term
Unauthorized Practice of Law: Multijurisdictional Practice of Law (5.5) |
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Definition
(a) A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal prof. in that juris., or assist another in doing so.
(b) A lawyer who is not admitted to practice in this juris. shall not: (1) except as authorized by these rules or other law, establish an office or other systematic & continuous presence in this juris. for the practice of law; or (2) hold out to the public or otherwise represnet that the lawyer is admitted to practice law in this juris.
(c) A lawyer admitted in another US juris. & not disbarred or suspended in any other juris., may provide legal services on a temporary basis in this juris. that: (1) are undertaken in association w/a lawyer who is admitted to practice in this juris. & who actively participates in the matter; (2) are in or reasonably related to a pending or potential proceeding before a tribunal in this or another juris., if the lawyer or a person the lawyer is assisting, is authorized by law or order to appear in such proceeding or reasonably expects to be so authorized; (3) are in or reasonably related to a pending or potential arbitration, mediation, or other ADR proceeding in this or another juris., if the services arise out of or are reasonably related to the lawyer's practice in a juris. in which the lawyer is admitted to practice & are not services for which the forum requires pro hac vice admission or (4) are not w/in (c)(2)or(3) & arise out of or are reasonably related to the lawyer's practice in a juris. in which the lawyer is admitted to practice.
(d) A lawyer admitted in another US juris. & not disbarred or suspended from practice in any juris., may provide legal services in this juris. that: (1) are provided to the lawyer's employer or its organizational affiliates & are not services for which the forum requires pro hac vice admission; or (2) are services that the lawyer is authorized by federal or other law to provide in this juris. |
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Term
Responsibilities of Partners, Managers, & Supervisory Lawyers (5.1) |
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Definition
(a) A partner in a law firm, & a lawyer who individually or together w/other lawyers possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the MRPC
(b) A lawyer having direct supervisory auth. over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the MRPC
(c) A lawyer shall be responsible for another lawyer's violation of the MRPC if: (1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or (2) the lawyer is a partner or has comparable managerial auth. in the law firm in which the other lawyer practices, or has direct supervisory auth. over the other lawyer, & knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action. |
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Term
Respect of Rights of 3rd Persons (4.4) |
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Definition
(a) In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person
(b) A lawyer who receives a document relating to the representation of the lawyer's client & knows or reasonably should know that the document was inadvertently sent shall promptly notify the sender. |
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Term
Dealing w/Unrepresented Persons (4.3) |
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Definition
In dealing on behalf of a client w/a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer's role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding. The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client. |
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Term
Communication w/Person Represented by Counsel (4.2) |
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Definition
In representing a client, a lawyer shall not communicate about the subject of the representation w/a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or court order. |
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Term
Truthfulness in Statements to Others (4.1) |
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Definition
In the course of representing a client a lawyer shall not knowingly:
(a) make a false statement of material fact or law to a 3rd person; or
(b) fail to disclose a material fact to a 3rd person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by 1.6. |
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Term
Impartiality and Decorum of the Tribunal (3.5) |
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Definition
A lawyer shall not:
(a) seek to influence a judge, juror, prospective juror or other official by means prohibited by law;
(b) communicate ex parte w/such person during the proceeding unless authorized to do so by law or court order;
(c) communicate w/ a juror or prospective juror after discharge of the jury if: (1) the communication is prohibited by law or court order; or (2) the juror has made known to the lawyer a desire not to communicate; or (3) the communication involves misrepresentation, coercion, duress or harassment; or
(d) engage in conduct intended to disrupt a tribunal. |
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Term
Fairness to Opposing Party & Counsel (3.4) |
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Definition
A lawyer shall not:
(a) unlawfully obstruct another party's access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act;
(b) falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law;
(c) knowingly disobey an obligation under the rules of a tribunal, except for an open refusal based on an assertion that no valid obligation exists;
(d) to pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent effort to to comply w/a legally proper discovery request by an opposing party
(e) in trial, allude to any matter that the lawyer doesn't reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigantor the gilt or innocence of an accused; or
(f) request a person other than a client to refrain from voluntarily giving relevant info to another party unless (1) the person is a relative or employee or other agent of a client; and (2) the lawyer reasonably believes that the person's interests will not be adversely affected by refraining from giving such info. |
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Term
Candor toward the Tribunal (3.3) |
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Definition
(a) A lawyer shall not knowingly; (1) make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer; (2) fail to disclose to the tribunal legal authority in the controlling juris. known to the lawyer to be directly adverse to the position of the client & not disclosed by opposing counsel; or (3) offer evidence that the lawyer knows to be false. If a lawyer, or client, or witness called by the lawyer has offered material evidence & the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures including, if necessary, disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyer reasonably believes is false
(b) a lawyer who represents a client in an adjudicative proceeding and who knows that a person intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal.
(c) the duties stated in (a) & (b) continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of info otherwise protected by 1.6
(d) in an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse. |
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Term
Expediting Litigation (3.2) |
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Definition
A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of the client. |
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Term
Meritorious Claims & Contentions (3.1) |
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Definition
A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law & fact for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law. A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established. |
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Term
Lawyers serving as 3rd Party Neutral (2.4) |
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Definition
(a) A lawyer serves as a 3rd party neutral when the lawyer assists 2 or more persons who are not clients of the lawyer to reach a resolution of a dispute or other matter that has arisen between them. Service as a 3rd party neutral may include service as an arbitrator, a mediator or in such other capacity as will enable the lawyer to assist the parties to resolve the matter.
(b) A lawyer serving as a 3rd party neutral shall inform unrepresented parties that the lawyer is not representing them. When the lawyer knows or reasonably should know that a party does not understand the lawyer's role in the matter, the lawyer shall explain the difference between the lawyer's role as a 3rd party neutral & a lawyer's role of the as one who represents a client. |
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Term
Evaluation for Use by 3rd Persons (2.3) |
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Definition
(a) A lawyer may provide an evaluation of a matter effecting a client for the use of someone other than the client if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer's relationship with the client.
(b) When the lawyer knows or reasonably should know that the evaluation is likely to affect the client's interests materially and adversely, the lawyer shall not provide the evaluation unless the client gives informed consent
(c) Except as disclosure is authorized in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by 1.6 |
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Term
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Definition
In representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice, a lawyer may refer not only to law but to other considerations such as moral, economic, social & political factors, that may be relevant to the client's situation. |
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Term
Duties to Prospective Clients (1.18) |
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Definition
(a) A person who discusses w/a lawyer the possibility of forming a client-lawyer relationship w/respect to a matter is a prospective client.
(b) Even when no client-lawyer relationship ensues, a lawyer who has had discussions with a prospective client shall not use or reveal info learned in the consultation, except as 1.9 would permit w/ respect to info of a former client.
(c) A lawyer subject to (b) shall not represent a client w/interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received info from the prospective client that could be significantly harmful to that person in the matter, except as provided in (d). If a lawyer is disqualified from representation no lawyer in a firm w/which that lawyer is associated may knowingly undertake or continue representation in such a matter except as provided in (d).
(d) When the lawyer has received disqualifying info as defined by (c), representation is permissible if: (1) both the affected client and the prospective client have given informed consent, confirmed in writing, or: (2) the lawyer who received the info took reasonable measures to avoid exposure to more disqualifying info than was reasonably necessary to determine whether to represent the prospective client; and (i) the disqualified lawyer is timely screened from any participation in the matter & is apportioned no part of the fee therefrom and (ii) written notice is promptly given to the prospective client. |
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Term
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Definition
A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness & preparation reasonably necessary for the representation. |
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Term
Professional Independence of a Lawyer (5.4) |
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Definition
(a) A lawyer or law firm shall not share legal fees w/a nonlawyer, except that: (1) an agreement by lawyer w/the firm, partner or associate may provide for the payment of money, over a reasonable period of time after the lawyer's death, to the lawyer's estate or to one or more specified persons; (2) a lawyer who purchases the practice of a deceased, disable or disappeared lawyer may, under 1.17, pay to the estate or other representative of that lawyer the agreed-upon purchase price, (3) a lawyer or firm may include nonlawyer employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and (4) a lawyer may share court-awarded legal fees w/ a nonprofit organization that employed, retained or recommended employment of the lawyer in the matter
(b) A lawyer shall not form a partnership w/ a nonlawyer if any of the activities of the p-ship consist of the practice of law
(c) a lawyer shall not permit a person who recommends, employs, or pays the lawyer to render legal services for another to direct or regulate the lawyer's professional judgment in rendering such legal services.
(d) A lawyer shall not practice w/or in the form of a professional corp. or assocation authorized to practice law for a profit, if: (1) a nonlawyer owns any interest therin, except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration; (2) a nonlawyer is a corporate director or officer thereof or occupies the position of similar responsibility in any form of association other than a corp.; or (3) a nonlawyer has the right to direct or control the prof. judgment of a lawyer. |
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Term
Scope of Representation & Allocation of Authority between Client & Lawyer (1.2) |
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Definition
(a) Subject to (c) & (d), a lawyer shall abide by a client's decisions concerning the objectives of representation &, as required by 1.4, shall consult w/ the client as to the means by which they are to be pursued. A lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation. A lawyer shall abide by a client's decision whether to settle a matter. In a criminal case, the lawyer shall abide by the client's decision, after consultation w/the lawyer, as to a plea to be entered, whether to waive jury trial & whether the client will testify.
(b) A lawyer's representation of a client, including representation by appointment, does not constitute an endorsement of the client's political, economic, social or moral views or activities.
(c) A lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent.
(d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, meaning or application of the law. |
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Term
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Definition
A lawyer shall act with reasonable diligence and promptness in representing a client. |
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Term
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Definition
(a) A lawyer shall: (1) promptly inform the client of any decision or circumstance w/respect to which the client's informed consent is required; (2) reasonably consult w/ the client about the means by which the client's objectives are to be accomplished; (3) keep the client reasonably informed about the status of the matter; (4) promptly comply with reasonable requests for info ; and (5) consult with the client about any relevant limitation on the lawyer's conduct when the lawyer knows that the client expects assistance not permitted by the MRPC or other law
(b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation. |
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Term
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Definition
(a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable amount for expenses. The factors to be considered in determining the reasonable of a fee include the following: (1) the time & labor required, the novelty & difficulty of the questions involved, & the skill requisite to perform the legal service properly; (2) the likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer, (3) the fee customarily charged in the locality for similar legal services, (4) the amount involved & the results obtained; (5) the time limitations imposed by the client or by the circumstances; (6) the nature & length of the professional relationship with the client; (7) the experience, reputation & ability of the lawyer/s performing the services; and (8) whether the fee is fixed or contingent
(b) The scope of the representation & the basis or rate of the fee and expenses for which the client will be responsible shall be communicated to the client, preferably in writing, before or within a reasonable time after commencing the representation, except when the lawyer will charge a regularly represented client on the same basis or rate. Any changes in the basis or rate of the fee or expenses shall also be communicated to the client.
(c) A fee may be contingent on the outcome of the matter for which the service is rendered, except in a matter in which a contingent fee is prohibited by (d) or other law. A contingent fee agreement shall be in writing signed by the client and shall state the method by which the fee is to be determined, including the % that shall accrue to the lawyer in the event of settlement, trial or appeal; litigation & other expenses to be deducted from the recovery ; and whether such expenses are to be deducted before or after the contingent fee is calculated. The agreement must clearly notify the client of any expenses for which the client will be liable whether or not the client is the prevailing party. Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination.
(d) A lawyer shall not enter into an arrangement for, charge, or collect: (1) any fee in a domestic relations matter, the payment or amount of which is contingent upon the securing of a dviorce or upon the amount of alimony or support, or property settlement in lieu thereof; or (2) a contingent fee for representing a defendant in a criminal case
(e) A division of a fee between lawyers who are not in the same firm may be made only if: (1) the division is in proportion to the services performed by each lawyer or each lawyer assumes joint responsibility for the representation; (2) the client agrees to the arrangement, including the shares each lawyer will receive, & the agreement is confirmed in writing; and (3) the total fee is reasonable. |
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Term
Confidentiality of Info (1.6) |
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Definition
(a) A lawyer shall not reveal info relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by (b).
(b) A lawyer may reveal info relating to the representation of a client to the extent the lawyer reasonably believes necessary: (1) to prevent reasonably certain death or substantial bodily harm; (2) to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer's services, (3) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client's commission of a crime or fraud in furtherance of which the client has used the lawyer's services; (4) to secure legal advice about the lawyer's compliance with these rules; (5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer & the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representations of the client; or (6) to comply with other law or a court order. |
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Term
Conflict of Interest: Current Clients (1.7) |
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Definition
(a) Except as provided in (b), a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if: (1) the representation of one client will be directly adverse to another client; or (2) there is a significant risk that the representation of one or more clients will be materially limited by the lawyer's responsibilities to another client, a former client or a third person or by a personal interest of the lawyer
(b) Notwithstanding the existence of a concurrent conflict of interest under (a), a lawyer may represent a client if: (1) the lawyer reasonably believes that the lawyer will be able to provide competent & diligent representation to each affected client; (2) the representation is not prohibited by law (3) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and (4) each affected client gives informed consent, confirmed in writing. |
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Term
Conflict of Interest: Current Clients: Specific Rules (1.8) Part I |
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Definition
(a) A lawyer shall not enter into a business transaction with a client of knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless: (1) the transaction and terms on which the lawyer acquires the interest are fair and reasonably understood by the client; (2) the client is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel on the transaction; and (3) the client gives informed consent, in a writing signed by the client, to the essential terms of the transaction and the lawyer's role in the transaction, including whether the lawyer is representing the client in the transaction.
(b) A lawyer shall not use information relating to representation of a client to the disadvantage of the client unless the client gives informed consent, except as permitted or required by these Rules.
(c) A lawyer shall not solicit any substantial gift from a client, including a testamentary gift, or prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer any substantial gift unless the lawyer or other recipient of the gift is related to the client. For purposes of this, related persons include a spouse, child, grandchild, parent, grandparent or other relative or individual with whom the lawyer or the client maintains a close, familial relationship.
(d) Prior to the conclusion of representation of a client, a lawyer shall not make or negotiate an agreement giving the lawyer literary or media rights to a portrayal or account based in substantial part on information relating to the representation.
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Term
Conflict of Interest: Current Clients: Specific Rules (1.8) Part II |
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Definition
(e) A lawyer shall not provide financial assistance to a client in connection with pending or contemplated litigation, except that: (1) a lawyer may advnace court costs and expenses of litigation, the repayment of which may be contingent on the outcome of the matters; and (2) a lawyer representing an indigent client may pay court costs & expenses of litigation on behalf of the client
(f) A lawyer shall not accept compensation for representing a client from one other than the client unless: (1) the client gives informed consent; (2) there is no interference with the lawyer's independence of professional judgment or with the client lawyers relationship; and (3) information relating to representation of a client is protected by 1.6.
(g) A lawyer who represents two or more clients shall not participate in making an aggregate settlement of the claims of or against the clients, or in a criminal case an aggregated agreement as to guilty or nolo contendere pleas, unless each client gives informed consent, in a writing signed byt he client. The lawyer's disclosure shall include the existence and nature of all the claims or pleas involved and of the participation of each person in the settlement.
(h) A lawyer shall not: (1) make an agreement prospectively limiting the lawyer's liability to a client for malpractice unless the client is independently represented in making the agreement; or (2) settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith.
(i) A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of litigation the lawyer is conducting for a client, except that the lawyer may: (1) acquire a lien authorized by law to secure the lawyer's fee or expenses; and (2) contract with a client for a reasonable contingent fee in a civil case.
(j) A lawyer shall not have sexual relations w/ a client unless a consensual sexual relationship existed between them when the client-lawyer relationship commenced.
(k) While lawyers are associated in a firm, a prohibition in the foregoing paragraphs (a) -(i) that applies to any one of them shall apply to all of them. |
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Term
Duties to Former Clients (1.9) |
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Definition
(a) A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing.
(b) A lawyer shall not knowingly represent a person in teh same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client (1) whose interests are materially adverse to that person; and (2) about whom the lawyer had acquired info protected by 1.6 & 1.9(c) that is material to the matter; unless the former client gives informed consent, confirmed in writing.
(c) A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter: (1) use info relating to the representation to the disadvantage of the former client except as these rules would permit or require w/respect to a client, or when the info has become generally known; or (2) reveal info relating to the representation except as these Rules would permit or require w/respect to a client. |
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Term
Imputation of Conflicts of Interest; General Rule (1.10) |
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Definition
(a) While lawyers are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by 1.7 or 1.9 unless: (1) the prohibition is based upon a personal interest of the disqualified lawyer and doesn't present a significant risk of materially limiting the representation of the client by the remaining lawyers in the firm or; (2) the prohibition is based upon 1.9(a) or (b), and arises out of the disqualified lawyer's association with a prior firm, and (i) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom, (ii) written notice is promptly given to any affected former client to enable the former client to ascertain compliance with the provisions of this Rule, which shall include a description of the screening procedure employed; a statement of the firm's and of the screened lawyer's compliance with these Rules; a statement that review may be available before a tribunal; and an agreement by the firm to respond promptly to any written inquiries or objections by the former client about the screening procedures; and (iii) certifications of compliance with these Rules and w/the screening procedures are provided to the former client by the screened lawyer and by a partner of the firm, at reasonable interals upon the former client's written request and upon termination of the screening procedures.
(b) When a lawyer has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm, unless (1) the matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and (2) any lawyer remianing in the firm has information protected by 1.6 and 1.9(c) that is material to the matter
(c) A disqualification prescribed by this rule may be waived by the affected client under the conditions state in 1.7
(d) The disqualification of lawyers associated in a firm with former or current government lawyers is governed by 1.11. |
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Term
Special Conflicts of interest for Former & Current Gov. Officers & Employes (1.11) Part I |
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Definition
(a) Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the gov.: (1) is subject to 1.9 and (2) shall not otherwise represent a client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate gov. agency gives its informed consent, confirmed in writing, to the representation.
(b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter unless: (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and (2) written notice is promptly given to the appropriate gov. agency to enable it to ascertain compliance with the provision of this rule.
(c) Except as law may otherwise expressly permit, a lawyer having info that the lawyer knows is confidential information about a person acquired when the lawyer was a public officer or employee, may not represent a private client whose interests are adverse to that person in a matter in which the info could be used to the material disadvantage of that person. A firm with which the lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is timely screened from any participation in the matter & is apportioned no part of the fee therefrom. |
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Term
Special Conflicts of interest for Former & Current Gov. Officers & Employes (1.11) Part II |
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Definition
(d) A lawyer currently serving as a public officer or employee, (1) is subject to 1.7 & 1.9 and (2) shall not: (i) participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless the appropriate gov. agency gives its informed consent, confirmed in writing; or (ii) negotiate for private employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially, except that a lawyer serving as a law clerk to a judge, other adjudicative officer or arbitrator may negotiate for private employment as permitted by 1.12(b).
(e) "Matter" means (1) any judicial or other proceeding, application, request for ruling or other determination ,contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties, and (2) any other matter covered by the conflict of interest rules of the appropriate gov. agency. |
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Term
Former Judge, Arbitrator, Mediator, or other 3rd Party Neutral (1.12) |
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Definition
(a) Except as in (d), a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer, or law clerk to such person or asn an arbitrator, mediator or other 3rd party neutral, unless all parties to the proceeding give informed consent, confirmed in writing
(b) A lawyer shall not negotiate for employment w/any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator, or other 3rd party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment w/ a party or lawyer involved in a matter in which the clerk is participating personally & substantially but only after the lawyer has notified the judge or other adjudicative officer.
(c) If a lawyer is disqualified by (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in the matter unless: (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee and (2) written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain complaince with the provisions of this rule.
(d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party. |
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Term
Organization as Client (1.13) Part I |
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Definition
(a) A lawyer employed or retained by an org. represents the org. acting through its duly authorized constituents.
(b) If a lawyer for an org. knows that an officer, employee or other person associated with the org. is engaged in action, intends to act or refuses to act in a matter related to the representation that is a violation of a legal obligation to the org, or a violation of law, that reasonably might be imputed to the org., and that is likely to result in substantial injury to the org., then the lawyer shall proceed as is reasonably necessary in the best interest of the org. Unless the lawyer reasonably believes that it's not necessary in the best interests to do so, the lawyer shall refer the matter to higher authority in the org., including, if warranted by the circumstances, to the highest authority that can act on behalf of the org., as determined by applicable law.
(c) Except as provided in (d), if: (1) despite the lawyer's efforts in accordance with (b), the highest authority that can act on behalf of the org. insists upon or fails to address in a timely and appropriate manner an action, or a refusal to act, that is clearly a violation of law, and (2) the lawyer reasonably believes that the violation is reasonably certain to result in substantial injury to the org., then the lawyer may reveal info relating to the representation whether or not 1.6 permits such disclosure, but only if and to the extent the lawyer reasonably believes necessary to prevent substantial injury to the org. |
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Term
Organization as Client (1.13) Part II |
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Definition
(d) (c) shall not apply with respect to info relating to a lawyer's representation by an org. to investigate an alleged violation of law, or to defend the org. or an officer, employee or other constituent associated w/the org. against a claim arising out of an alleged violation of law
(e) A lawyer who reasonably believes that he/she has been discharged b/c of the lawyer's actions taken pursant to (b) or (c), or who withdraws under circumstances that require or permit the lawyer to take action under either of those paragraphs, shall proceed as the lawyer reasonably believes necessary to assure that the org.'s highest authority is informed of the lawyer's discharge or withdrawal.
(f) In dealing w/ an org.'s directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identity of the client when the lawyer knows or reasonably should know that the org.'s interests are adverse to those of the constituents with whom the lawyer is dealing.
(g) A lawyer representing an org. may also represent any of its directors, officers, employees, members, shareholders or other constituents, subject to the provision of 1.7. If the org.'s consent to the dual representation is required by 1.7, the consent shall be given by an appropriate official of the org. other than the individual who is to be represented, or by the shareholder. |
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Term
Client w/Diminished Capacity (1.14) |
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Definition
(a) When a client's capacity to make adequately considered decisions in connection w/a representation is diminished, whether because of minority, mental impairment or for some other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client.
(b) WHen the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial, or other harm unless action is taken & cannot adequately act in the client's own interest, the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian.
(c) Info relating to the rep. of a client w/diminished capacity is protected by 1.6. WHen taking protective action pursuant to (b), the lawyer is impliedly authorized under 1.6(a) to reveal info about the client, but only to the extent reasonably necessary to protect the client's interests. |
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Term
Safekeeping Property (1.15) |
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Definition
(a) A lawyer shall hold property of clients or 3rd persons that is in a lawyer's possession in connection w/ a representation separate from the lawyer's own property. Funds shall be kept in a separate account maintained in the state where the lawyer's office is situated, or elsewhere w/the consent of the client or 3rd person. Other property shall be identified as such & appropriately safeguarded. Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period if 5 yrs after termination of the representation
(b) A lawyer may deposit the lawyer's own funds in a client trust account for the sole purpose of paying bank service charges on that account, but only in an amount necessary for that purpose.
(c) A lawyer shall deposit into a client trust account legal fees and expenses that have been paid in advance, to be withdrawn by the lawyer only as fees are earned or expenses incurred.
(d) Upon receiving funds or other property in which a client or 3rd person has an interest, a lawyer shall prompetly notify the client or 3rd person. Except as staed here or otherwise permitted by law/agreement w/ the client, a lawyer shall promptly deliver to the client or 3rd person any funds or other property that the client or 3rd person is entitled to receive and, upon request by the client or 3rd person, shall promptly render a full accounting regarding such property.
(e) When in the course of representation a lawyer is in possession of property in which 2 or more persons (one of whom may be the lawyer) claim interests, the property shall be kept separate by the lawyer until the dispute is resolved. The lawyer shall promptly distribute all portions of the property as to which the interests are not in dispute |
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Term
Declining or Terminating Representation (1.16) |
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Definition
Except as in (c), a lawyer shall not represent a client or, where representation has commenced, shall withdraw from the representation of a client IF: (1) the representation will result in violation of the MRPC or other law, (2) the lawyer's physical or mental conditiona materially imparis the lawye'rs ability to represent the client; or (3) the lawyer is discharged.
(b) Except as in (c), a lawyer may withdraw from representing a client if: (1) withdrawal can be accomplished w/o material adverse effect on the interests of the client, (2) the client persists in a course of action involving the lawyer's services that the lawyer reasonably believes is criminal or fraudulent; (3) the client has used the lawyer's services to perpetrate a crime or fraud; (4) the client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement; (5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's services and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled; (6) the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or (7) other good cause for withdrawal exists.
(c) A lawyer must comply w/the applicable law requiring notice to or permission of a tribunal when terminating a representation. WHen ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation.
(d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers & property to which the client is entitled and refunding any advance payment of fee or expense that has not been earning or incurred. The lawyer may retain papers relating to the client to the extent permitted by law. |
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Term
Sale of Law Practice (1.17) |
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Definition
A lawyer or law firm may sell or purchase a law practice or an area of law practice, including good will, if the following conditions are satisfied:
(a) The seller ceases to engage in the private practice of law, or in the area of practice that has been sold (geographic area or jurisdiction) in which the practice has been conducted;
(b) The entire practice, or the entire area of practice, is sold to one or more lawyers or law firm;
(c) The seller gives written notice to each of the seller's clients regarding: (1) the proposed sale; (2) the client's right to retain other counsel or to take possession of the file; and (3) the fact that the client's consent to the transfer of the client's files will be presumed if the client does not take any action or does not otherwise object within 90 days of receipt of the notice.
If a client cannot be given notice, the representation of that client may be transferred to the purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may disclose to the court in camera information relating to the representation only to the extent necessary to obtain an order authorizing the transfer of a file.
(d) The fees charged clients shall not be increased by reason of the sale. |
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Term
Advocate in Nonadjudicative Proceeding (3.9) |
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Definition
A lawyer representing a client before a legislative body or administrative agency in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity. |
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Term
Responsibilities of a Subordinate Lawyer (5.2) |
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Definition
(a) A lawyer is bound by the MRPC notwithstanding that the lawyer acted at the direction of another person.
(b) A subordinate lawyer does not violate the MRPC if that lawyer acts in accordance w/ a supervisory lawyer's reasonable resolution of an arguable question of professional duty. |
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Term
Restrictions on Right to Practice (5.6) |
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Definition
A lawyer shall not participate in offering or making;
(a) a partnership, shareholders, operating, employment, or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or
(b) an agreement in which a restriction on the lawyer's right to practice is part of the settlement of a client controversy. |
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Term
Responsibilities Regarding Law-Related Services (5.7) |
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Definition
(a) A lawyer shall be subject to MRPC w/ respect to the provision of law-related services, as defined in (b), if law-related services are provided: (1) by the lawyer in circumstances that are not distinct from the lawyer's provision of legal services to the clients; or (2) in other circumstances by an entity controlled by the lawyer individually or with others if the lawyer fails to take reasonable measures to assure that a person obtaining the law-related services knows that the services are not legal services & that the protections of the client-lawyer relationship do not exist.
(b) The term "law-related services" denotes services that might reasonably be performed in conjunction w/ and in substance are related to the provision of legal services, and that are not prohibited as unauthorized practice of law when provided by a nonlawyer. |
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Term
Membership in Legal Services Organization (8.3) |
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Definition
A lawyer may serve as a director, officer or member of a legal services organization, apart from the law firm in which the lawyer practices, notwithstanding that the org. serves persons having interests adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the org.:
(a) if participating in the decision or action would be incompatible w/the lawyer's obligations to a client under 1.7; or
(b) where the decision or action could have a material adverse effect on the representation of a client of the org. whose interests are adverse to a client of the lawyer. |
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Term
Nonprofit & Court-Annexed Limited Legal Services Programs (6.5) |
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Definition
(a) A lawyer who, under the auspices of a program sponsored by a nonprofit org. or court, provides short-term limited legal services to a client w/o expectation by either the lawyer or the client that the lawyer will provide continuing representation in the matter: (1) is subject to 1.7 & 1.9(a) only if the lawyer knows that the representation of the client involves a conflict of interest; and (2) is subject to 1.10 only if the lawyer knows that another lawyer associated w/the lawyer in a law firm is disqualified by 1.7 or 1.9(a) w/respect to the matter.
(b) Except as provided in (a)(2), 1.10 is inapplicable to a representation governed by this rule. |
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