Pro Res Rules PDF

**[Professional Responsibility]** **[Fall 2024 -- Lewinbuk]** **[\ ]** Module 1 - Overview of Rule - Rule 1.0 Terminology Module 2 - Rule 8.1 Bar Admission & Disciplinary Matters - Rule 8.1 Comment \[1\] - Rule 8.2 Judicial & Legal Officials - Rule 8.3 Reporting Professiona...

**[Professional Responsibility]** **[Fall 2024 -- Lewinbuk]** **[\ ]** Module 1 - Overview of Rule - Rule 1.0 Terminology Module 2 - Rule 8.1 Bar Admission & Disciplinary Matters - Rule 8.1 Comment \[1\] - Rule 8.2 Judicial & Legal Officials - Rule 8.3 Reporting Professional Misconduct - Rule 8.3 Comment \[2\], \[3\] - Rule 8.3 Comment \[2\], \[3\] - Rule 8.4 Misconduct - Rule 8.4 Comment \[1-3\] - Rule 8.4 Comment \[1-3\] - Rule 8.4 Comment \[1-3\] - Rule 8.5 Disciplinary Authority; Choice of Law - Rule 8.5 Comment \[2\], \[3\], \[5\] - Rule 8.5 Comment \[2\], \[3\], \[5\] - Rule 8.5 Comment \[2\], \[3\], \[5\] - Relevant Cases - Additional Information - Additional Readings Module 3 - Rule 7.1 Communications Concerning a Lawyer\'s Services - Rule 7.1 Comment \[2\] - Rule 7.2 Communication Concerning a Lawyer's Services: Specific rules - Rule 7.2 Comments \[1\], \[2\], \[4\], \[5\], \[8\], \[9\] - Rule 7.2 Comments \[1\], \[2\], \[4\], \[5\], \[8\], \[9\] - Rule 7.2 Comments \[1\], \[2\], \[4\], \[5\], \[8\], \[9\] - Rule 7.2 Comments \[1\], \[2\], \[4\], \[5\], \[8\], \[9\] - Rule 7.2 Comments \[1\], \[2\], \[4\], \[5\], \[8\], \[9\] - Rule 7.2 Comments \[1\], \[2\], \[4\], \[5\], \[8\], \[9\] - Rule 7.3 Solicitation of Clients - Rule 7.3 Comments \[1\], \[2\], \[5\], \[7\], \[8\] - Rule 7.3 Comments \[1\], \[2\], \[5\], \[7\], \[8\] - Rule 7.3 Comments \[1\], \[2\], \[5\], \[7\], \[8\] - Rule 7.3 Comments \[1\], \[2\], \[5\], \[7\], \[8\] - Rule 7.3 Comments \[1\], \[2\], \[5\], \[7\], \[8\] Rule 7.6 Political Contribution to Obtain Legal Engagements or Appointments by Judge Rule 7.6 Comments \[1\], \[2\], \[6\] Rule 7.6 Comments \[1\], \[2\], \[6\] Rule 7.6 Comments \[1\], \[2\], \[6\] Module 4 Module 5/6 Module 7 Module 8 Module 9 Module 10 Module 11 **[\ ]** **[Module 1]** **[\ ]** **[Overview of Rules]** 1. **Encourage Legal Resolution of Disputes** a. Rule 1.6 -- Confidentiality b. Rule 7.1 -- Communications Concerning a Lawyer's Services c. Rule 7.2 -- Advertising d. Rule 7.3 -- Direct Contact with Prospective Clients 2. **Foster Confidence in the Justice System** e. Rule 3.5 -- Impartiality and Decorum of the Tribunal f. Rule 3.8 -- Special Responsibilities of a Prosecutor g. Rule 8.2 -- Judicial and Legal Officials 3. **Promote Truthfulness** h. Rule 3.3 -- Candor to Tribunal i. Rule 4.1 -- Truthfulness in Statements to Others j. Rule 8.1 -- Bar Admissions and Disciplinary Matters 4. **Protect Clients from Unnecessary Harm** k. Rule 1.1 -- Competence l. Rule 1.3 -- Diligence m. Rule 1.5 -- Fees n. Rule 1.14 -- Client with Diminished Capacity o. Rule 1.15 -- Safekeeping Property p. Rule 5.7 -- Responsibilities Regarding Law-Related Services 5. **Facilitate Client Control of Representation** q. Rule 1.2 -- Scope of Representation and Allocation of Authority Between Client and Lawyer r. Rule 1.4 -- Communication s. Rule 1.13 -- Organization as Client t. Rule 1.17 -- Sale of a Law Practice u. Rule 2.1 - Advisor 6. **Ensure Loyalty to Clients** v. Rule 1.7 -- Conflict of Interest: Current Clients w. Rule 1.8 -- Conflict of Interest: Current Clients: Specific Rules x. Rule 1.9 -- Duties to Former Clients y. Rule 1.10 -- Imputations of Conflicts of Interest: General Rules z. Rule 1.11 -- Special Conflicts of Interest for Former and Current Government Officers and Employees a. Rule 1.12 -- Former Judge, Arbitrator, Mediator, or Other Third-Party Neutral b. Rule 5.4 -- Professional Independence of a Lawyer c. Rule 6.3 -- Membership in Legal Services Organization d. Rule 6.4 -- Law Reform Activities Affecting Client Interests 7. **Assure Proper Functioning of the Justice System** e. Rule 3.1 -- Meritorious Claims and Contentions f. Rule 3.2 -- Expediting Litigation g. Rule 3.6 -- Trial Publicity h. Rule 3.7 -- Lawyer as Witness i. Rule 3.9 -- Advocate in Non-adjudicative Proceedings 8. **Treat Third Persons Fairly** j. Rule 1.18 -- Duties to Prospective Clients k. Rule 2.3 -- Evaluation for Use by Third Person l. Rule 2.4 -- Lawyer Servicing as Third-Party Neutral m. Rule 3.4 -- Fairness to Opposing Party and Counsel n. Rule 4.3 -- Dealing with Unrepresented Persons o. Rule 4.4 -- Respect for the Rights of Third Persons 9. **Protect Legitimate Attorney Interests** p. Rule 1.16 -- Declining or Terminating Representation q. Rule 4.2 -- Communication with Person Represented by Counsel r. Rule 5.6 -- Restrictions on the Right to Practice 10. **Promote the Common Good** s. Rule 6.1 -- Voluntary Pro Bono Service t. Rule 6.2 -- Accepting Appointments u. Rule 6.5 -- Non-Profit and Court-Annexed Limited Legal Service Programs 11. **Regulate Competition Among Lawyers** v. Rule 5.5 -- Unauthorized Practice of Law: Multijurisdictional Practice of Law w. Rule 7.4 -- Communication of Fields of Practice and Specialization x. Rule 7.5 -- Firm Names and Letterhead y. Rule 7.6 -- Political Contributions to Obtain Government Legal Engagements or Appointment by Judges 12. **Require Ethical Responsibility** z. Rule 5.1 -- Responsibilities of Partners, Managers, and Supervising Lawyers a. Rule 5.2 -- Responsibilities of a Subordinate Lawyer b. Rule 5.3 -- Responsibilities of Nonlawyer Assistants c. Rule 8.3 -- Reporting Professional Misconduct d. Rule 8.4 -- Misconduct e. Rule 8.5 -- Disciplinary Authority: Choice of Law **Rule 1.0 Terminology:** (a) \"Belief\" or \"believes\" denotes that the person involved actually supposed the fact in question to be true. A person\'s belief may be inferred from circumstances. (b) \"Confirmed in writing,\" when used in reference to the informed consent of a person, denotes informed consent that is given in writing by the person or a writing that a lawyer promptly transmits to the person confirming an oral informed consent. See paragraph (e) for the definition of \"informed consent.\" If it is not feasible to obtain or transmit the writing at the time the person gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter. (c) \"Firm\" or \"law firm\" denotes a lawyer or lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization. (d) \"Fraud\" or \"fraudulent\" denotes conduct that is fraudulent under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive. (e) \"Informed consent\" denotes the agreement by a person to a proposed course of conduct after the lawyer has communicated adequate information and explanation about the material risks of and reasonably available alternatives to the proposed course of conduct. (f)  \"Knowingly,\" \"known,\" or \"knows\" denotes actual knowledge of the fact in question. A person\'s knowledge may be inferred from circumstances. (g) \"Partner\" denotes a member of a partnership, a shareholder in a law firm organized as a professional corporation, or a member of an association authorized to practice law. (h) \"Reasonable\" or \"reasonably\" when used in relation to conduct by a lawyer denotes the conduct of a reasonably prudent and competent lawyer. (i)  \"Reasonable belief\" or \"reasonably believes\" when used in reference to a lawyer denotes that the lawyer believes the matter in question and that the circumstances are such that the belief is reasonable. (j)  \"Reasonably should know\" when used in reference to a lawyer denotes that a lawyer of reasonable prudence and competence would ascertain the matter in question. (k) \"Screened\" denotes the isolation of a lawyer from any participation in a matter through the timely imposition of procedures within a firm that are reasonably adequate under the circumstances to protect information that the isolated lawyer is obligated to protect under these Rules or other law. (l)  \"Substantial\" when used in reference to degree or extent denotes a material matter of clear and weighty importance. \(m) \"Tribunal\" denotes a court, an arbitrator in a binding arbitration proceeding or a legislative body, administrative agency or other body acting in an adjudicative capacity. A legislative body, administrative agency or other body acts in an adjudicative capacity when a neutral official, after the presentation of evidence or legal argument by a party or parties, will render a binding legal judgment directly affecting a party\'s interests in a particular matter. (n) \"Writing\" or \"written\" denotes a tangible or electronic record of a communication or representation, including handwriting, typewriting, printing, photostating, photography, audio or videorecording, and electronic communications. A \"signed\" writing includes an electronic sound, symbol or process attached to or logically associated with a writing and executed or adopted by a person with the intent to sign the writing. **[Module 2]** **[\ ]** **Rule 8.1 Bar Admission & Disciplinary Matters:** An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with 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 information from an admissions or disciplinary authority, except that this rule does not require disclosure of information otherwise protected by Rule 1.6. **Rule 8.1 Comment \[1\]:** The duty imposed by this Rule extends to persons seeking admission to the bar as well as to lawyers. Hence, if a person makes a material false statement in connection with an application for admission, it may be the basis for subsequent disciplinary action if the person is admitted, and in any event may be relevant in a subsequent admission application. The duty imposed by this Rule applies to a lawyer\'s own admission or discipline as well as that of others. Thus, it is a separate professional offense for a lawyer to knowingly make a misrepresentation or omission in connection with a disciplinary investigation of the lawyer\'s own conduct. Paragraph (b) of this Rule also requires correction of any prior misstatement in the matter that the applicant or lawyer may have made and affirmative clarification of any misunderstanding on the part of the admissions or disciplinary authority of which the person involved becomes aware. **\ ** **Rule 8.2 Judicial & Legal Officials:** \(a) A lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, or of a candidate for election or appointment to judicial or legal office. \(b) A lawyer who is a candidate for judicial office shall comply with the applicable provisions of the Code of Judicial Conduct. **\ ** **Rule 8.3 Reporting Professional Misconduct:** \(a) A lawyer who knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that lawyer\'s honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate professional 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 does not require disclosure of information otherwise protected by Rule 1.6 or information gained by a lawyer or judge while participating in an approved lawyers assistance program. **Rule 8.3 Comment \[2\]:** A report about misconduct is not required where it would involve violation of Rule 1.6. However, a lawyer should encourage a client to consent to disclosure where prosecution would not substantially prejudice the client\'s interests. **Rule 8.3 Comment \[3\]:** If a lawyer were obliged to report every violation of the Rules, the failure to report any violation would itself be a professional offense. Such a requirement existed in many jurisdictions but proved to be unenforceable. This Rule limits the reporting obligation to those offenses that a self-regulating profession must vigorously endeavor to prevent. A measure of judgment is, therefore, required in complying with the provisions of this Rule. The term \"substantial\" refers to the seriousness of the possible offense and not the quantum of evidence of which the lawyer is aware. A report should be made to the bar disciplinary agency unless some other agency, such as a peer review agency, is more appropriate in the circumstances. Similar considerations apply to the reporting of judicial misconduct. **\ ** **Rule 8.4 Misconduct:** It is professional misconduct for a lawyer to: a. violate or attempt to violate the Rules of Professional Conduct, 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 government agency or official or to achieve results by means that violate the Rules of Professional Conduct 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; or g. engage in conduct that the lawyer knows or reasonably should know is harassment or discrimination on the basis of race, sex, religion, national origin, ethnicity, disability, age, sexual orientation, gender identity, marital status or socioeconomic status in conduct related to the practice of law. This paragraph does not limit the ability of a lawyer to accept, decline or withdraw from a representation in accordance with Rule 1.16. This paragraph does not preclude legitimate advice or advocacy consistent with these Rules. **Rule 8.4 Comment \[1\]:** Lawyers are subject to discipline when they violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so or do so through the acts of another, as when they request or instruct an agent to do so on the lawyer\'s behalf. Paragraph (a), however, does not prohibit a lawyer from advising a client concerning action the client is legally entitled to take. **Rule 8.4 Comment \[2\]:** **\ **Many kinds of illegal conduct reflect adversely on fitness to practice law, such as offenses involving fraud and the offense of willful failure to file an income tax return. However, some kinds of offenses carry no such implication. Traditionally, the distinction was drawn in terms of offenses involving \"moral turpitude.\" That concept can be construed to include offenses concerning some matters of personal morality, such as adultery and comparable offenses, that have no specific connection to fitness for the practice of law. Although a lawyer is personally answerable to the entire criminal law, a lawyer should be professionally answerable only for offenses that indicate lack of those characteristics relevant to law practice. Offenses involving violence, dishonesty, breach of trust, or serious interference with the administration of justice are in that category. A pattern of repeated offenses, even ones of minor significance when considered separately, can indicate indifference to legal obligation. **Rule 8.4 Comment \[3\]:** Discrimination and harassment by lawyers in violation of paragraph (g) undermine confidence in the legal profession and the legal system. Such discrimination includes harmful verbal or physical conduct that manifests bias or prejudice towards others. Harassment includes sexual harassment and derogatory or demeaning verbal or physical conduct. Sexual harassment includes unwelcome sexual advances, requests for sexual favors, and other unwelcome verbal or physical conduct of a sexual nature. The substantive law of antidiscrimination and anti-harassment statutes and case law may guide application of paragraph (g). **\ ** **Rule 8.5 Disciplinary Authority; Choice of Law:** \(a) Disciplinary Authority. A lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction, regardless of where the lawyer\'s conduct occurs. A lawyer not admitted in this jurisdiction is also subject to the disciplinary authority of this jurisdiction if the lawyer provides or offers to provide any legal services in this jurisdiction. A lawyer may be subject to the disciplinary authority of both this jurisdiction and another jurisdiction for the same conduct. \(b) Choice of Law. In any exercise of the disciplinary authority of this jurisdiction, the rules of professional conduct to be applied shall be as follows: 1. for conduct in connection with a matter pending before a tribunal, the rules of the jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise; and 2. for any other conduct, the rules of the jurisdiction in which the lawyer's conduct occurred, or, if the predominant effect of the conduct is in a different jurisdiction, the rules of that jurisdiction shall be applied to the conduct. A lawyer shall not be subject to discipline if the lawyer's conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect of the lawyer's conduct will occur. **Rule 8.5 Comment \[2\]:** A lawyer may be potentially subject to more than one set of rules of professional conduct which impose different obligations. The lawyer may be licensed to practice in more than one jurisdiction with differing rules, or may be admitted to practice before a particular court with rules that differ from those of the jurisdiction or jurisdictions in which the lawyer is licensed to practice. Additionally, the lawyer's conduct may involve significant contacts with more than one jurisdiction. **Rule 8.5 Comment \[3\]:** Paragraph (b) seeks to resolve such potential conflicts. Its premise is that minimizing conflicts between rules, as well as uncertainty about which rules are applicable, is in the best interest of both clients and the profession (as well as the bodies having authority to regulate the profession). Accordingly, it takes the approach of (i) providing that any particular conduct of a lawyer shall be subject to only one set of rules of professional conduct, (ii) making the determination of which set of rules applies to particular conduct as straightforward as possible, consistent with recognition of appropriate regulatory interests of relevant jurisdictions, and (iii) providing protection from discipline for lawyers who act reasonably in the face of uncertainty. **Rule 8.5 Comment \[5\]:** When a lawyer's conduct involves significant contacts with more than one jurisdiction, it may not be clear whether the predominant effect of the lawyer's conduct will occur in a jurisdiction other than the one in which the conduct occurred. So long as the lawyer's conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect will occur, the lawyer shall not be subject to discipline under this Rule. With respect to conflicts of interest, in determining a lawyer's reasonable belief under paragraph (b)(2), a written agreement between the lawyer and client that reasonably specifies a particular jurisdiction as within the scope of that paragraph may be considered if the agreement was obtained with the client's informed consent confirmed in the agreement. **[Relevant Cases]** - In Matter of Anonymous - In re Converse - In re Gates - In re James H. Himmel **[Additional Information]** **[Additional Readings]** **[Module 3]** **Rule 7.1 Communications Concerning a Lawyer\'s Services:** A lawyer shall not make a false or misleading communication about the lawyer or the lawyer\'s services. A communication is false or 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. **Rule 7.1 Comment \[2\]:** Misleading truthful statements are prohibited by this Rule. A truthful statement is misleading if it omits a fact necessary to make the lawyer's communication considered as a whole not materially misleading. A truthful statement is misleading if a substantial likelihood exists that it will lead a reasonable person to formulate a specific conclusion about the lawyer or the lawyer's services for which there is no reasonable factual foundation. A truthful statement is also misleading if presented in a way that creates a substantial likelihood that a reasonable person would believe the lawyer's communication requires that person to take further action when, in fact, no action is required. **\ ** **Rule 7.2 Communication Concerning a Lawyer\'s Services: Specific rules:** \(a) A lawyer may communicate information regarding the lawyer's services through any media. \(b) A lawyer shall not compensate, give or promise anything of value to a person[ ]for recommending the lawyer's services except that a lawyer may: 1. pay the reasonable costs of advertisements or communications permitted by this Rule; 2. pay the usual charges of a legal service plan or a not-for-profit or qualified lawyer referral service; 3. pay for a law practice in accordance with Rule 1.17; 4. refer clients to another lawyer or a nonlawyer professional pursuant to an agreement not otherwise prohibited under these Rules that provides for the other person to refer clients or customers to the lawyer, if: i. the reciprocal referral agreement is not exclusive; and ii. the client is informed of the existence and nature of the agreement; and \(c) 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 organization that has been approved by an appropriate authority of the state or the District of Columbia or a U.S. Territory or that has been accredited by the American Bar Association; and \(2) the name of the certifying organization is clearly identified in the communication. \(d) Any communication made under this Rule must include the name and contact information of at least one lawyer or law firm responsible for its content. **Rule 7.2 Comments \[1\]:** This Rule permits public dissemination of information concerning a lawyer's or law firm's name, address, email address, website, and telephone number; the kinds of services the lawyer will undertake; the basis on which the lawyer's fees are determined, including prices for specific services and payment and credit arrangements; a lawyer's foreign language ability; names of references and, with their consent, names of clients regularly represented; and other information that might invite the attention of those seeking legal assistance. **Rule 7.2 Comments \[2\]:** Except as permitted under paragraphs (b)(1)-(b)(5), lawyers are not permitted to pay others for recommending the lawyer's services. A communication contains a recommendation if it endorses or vouches for a lawyer's credentials, abilities, competence, character, or other professional qualities. Directory listings and group advertisements that list lawyers by practice area, without more, do not constitute impermissible "recommendations." **Rule 7.2 Comments \[4\]:** Paragraph (b)(5) permits lawyers to give nominal gifts as an expression of appreciation to a person for recommending the lawyer's services or referring a prospective client. The gift may not be more than a token item as might be given for holidays, or other ordinary social hospitality.  A gift is prohibited if offered or given in consideration of any promise, agreement or understanding that such a gift would be forthcoming or that referrals would be made or encouraged in the future. **Rule 7.2 Comments \[5\]:** A lawyer may pay others for generating client leads, such as Internet-based client leads, as long as the lead generator does not recommend the lawyer, any payment to the lead generator is consistent with Rules 1.5(e) (division of fees) and 5.4 (professional independence of the lawyer), and the lead generator's communications are consistent with Rule 7.1 (communications concerning a lawyer's services). To comply with Rule 7.1, a lawyer must not pay a lead generator that states, implies, or creates a reasonable impression that it is recommending the lawyer, is making the referral without payment from the lawyer, or has analyzed a person's legal problems when determining which lawyer should receive the referral. See Comment \[2\] (definition of "recommendation"). See also Rule 5.3 (duties of lawyers and law firms with respect to the conduct of nonlawyers); Rule 8.4(a) (duty to avoid violating the Rules through the acts of another). **Rule 7.2 Comments \[8\]:** A lawyer also may agree to refer clients to another lawyer or a nonlawyer professional, in return for the undertaking of that person to refer clients or customers to the lawyer. Such reciprocal referral arrangements must not interfere with the lawyer's professional judgment as to making referrals or as to providing substantive legal services. See Rules 2.1 and 5.4(c). Except as provided in Rule 1.5(e), a lawyer who receives referrals from a lawyer or nonlawyer professional must not pay anything solely for the referral, but the lawyer does not violate paragraph (b) of this Rule by agreeing to refer clients to the other lawyer or nonlawyer professional, so long as the reciprocal referral agreement is not exclusive and the client is informed of the referral agreement. Conflicts of interest created by such arrangements are governed by Rule 1.7. Reciprocal referral agreements should not be of indefinite duration and should be reviewed periodically to determine whether they comply with these Rules. This Rule does not restrict referrals or divisions of revenues or net income among lawyers within firms comprised of multiple entities. **Rule 7.2 Comments \[9\]:**  Paragraph (c) of this Rule permits a lawyer to communicate that the lawyer does or does not practice in particular areas of law. A lawyer is generally permitted to state that the lawyer "concentrates in" or is a "specialist," practices a "specialty," or "specializes in" particular fields based on the lawyer's experience, specialized training or education, but such communications are subject to the "false and misleading" standard applied in Rule 7.1 to communications concerning a lawyer's services. **\ ** **Rule 7.3 Solicitation of Clients:** \(a) "Solicitation" or "solicit" denotes a communication initiated by or on behalf of a lawyer or law firm that is directed to a specific person the lawyer knows or reasonably should know needs legal services in a particular matter and that offers to provide, or reasonably can be understood as offering to provide, legal services for that matter. \(b) A lawyer shall not solicit professional employment by live person-to-person contact when a significant motive for the lawyer's doing so is the lawyer's or law firm's pecuniary gain, unless the contact is with a: \(1) lawyer; 3. person who routinely uses for business purposes the type of legal services offered by the lawyer. \(c) A lawyer shall not solicit professional employment even when not otherwise prohibited by paragraph (b), if: 1. the target of the solicitation has made known to the lawyer a desire not to be solicited by the lawyer; or 2. the solicitation involves coercion, duress or harassment. \(d) This Rule does not prohibit communications authorized by law or ordered by a court or other tribunal. \(e) Notwithstanding the prohibitions in this Rule, a lawyer may participate with a prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses live person-to-person contact to enroll members or sell subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan. **Rule 7.3 Comments \[1\]:** Paragraph (b) prohibits a lawyer from soliciting professional employment by live person-to-person contact when a significant motive for the lawyer's doing so is the lawyer's or the law firm's pecuniary gain. A lawyer's communication is not a solicitation if it is directed to the general public, such as through a billboard, an Internet banner advertisement, a website or a television commercial, or if it is in response to a request for information or is automatically generated in response to electronic searches. **Rule 7.3 Comments \[2\]:** "Live person-to-person contact" means in-person, face-to-face, live telephone and other real-time visual or auditory person-to-person communications where the person is subject to a direct personal encounter without time for reflection. Such person-to-person contact does not include chat rooms, text messages or other written communications that recipients may easily disregard. A potential for overreaching exists when a lawyer, seeking pecuniary gain, solicits a person known to be in need of legal services. This form of contact subjects a person to the private importuning of the trained advocate in a direct interpersonal encounter. The person, who may already feel overwhelmed by the circumstances giving rise to the need for legal services, may find it difficult to fully evaluate all available alternatives with reasoned judgment and appropriate self‑interest in the face of the lawyer's presence and insistence upon an immediate response. The situation is fraught with the possibility of undue influence, intimidation, and overreaching. **Rule 7.3 Comments \[5\]:** There is far less likelihood that a lawyer would engage in overreaching against a former client, or a person with whom the lawyer has a close personal, family, business or professional relationship, or in situations in which the lawyer is motivated by considerations other than the lawyer's pecuniary gain. Nor is there a serious potential for overreaching when the person contacted is a lawyer or is known to routinely use the type of legal services involved for business purposes. Examples include persons who routinely hire outside counsel to represent the entity; entrepreneurs who regularly engage business, employment law or intellectual property lawyers; small business proprietors who routinely hire lawyers for lease or contract issues; and other people who routinely retain lawyers for business transactions or formations. Paragraph (b) is not intended to prohibit a lawyer from participating in constitutionally protected activities of public or charitable legal-service organizations or bona fide political, social, civic, fraternal, employee or trade organizations whose purposes include providing or recommending legal services to their members or beneficiaries. **Rule 7.3 Comments \[7\]:** This Rule does not prohibit a lawyer from contacting representatives of organizations or groups that may be interested in establishing a group or prepaid legal plan for their members, insureds, beneficiaries or other third parties for the purpose of informing such entities of the availability of and details concerning the plan or arrangement which the lawyer or lawyer\'s firm is willing to offer. This form of communication is not directed to people who are seeking legal services for themselves. Rather, it is usually addressed to an individual acting in a fiduciary capacity seeking a supplier of legal services for others who may, if they choose, become prospective clients of the lawyer. Under these circumstances, the activity which the lawyer undertakes in communicating with such representatives and the type of information transmitted to the individual are functionally similar to and serve the same purpose as advertising permitted under Rule 7.2. **Rule 7.3 Comments \[8\]:** Communications authorized by law or ordered by a court or tribunal include a notice to potential members of a class in class action litigation. **\ ** **Rule 7.6 Political Contribution to Obtain Legal Engagements or Appointments by Judge:** A lawyer or law firm shall not accept a government legal engagement or an appointment by a judge if the lawyer or law 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. **Rule 7.6 Comments \[1\]:** Lawyers have a right to participate fully in the political process, which includes making and soliciting political contributions to candidates for judicial and other public office. Nevertheless, when lawyers make or solicit political contributions in order to obtain an engagement for legal work awarded by a government agency, or to obtain appointment by a judge, the public may legitimately question whether the lawyers engaged to perform the work are selected on the basis of competence and merit. In such a circumstance, the integrity of the profession is undermined. **Rule 7.6 Comments \[2\]:** The term \"political contribution\" denotes any gift, subscription, loan, advance or deposit of anything of value made directly or indirectly to a candidate, incumbent, political party or campaign committee to influence or provide financial support for election to or retention in judicial or other government office. Political contributions in initiative and referendum elections are not included. For purposes of this Rule, the term \"political contribution\" does not include uncompensated services. **Rule 7.6 Comments \[6\]:** If a lawyer makes or solicits a political contribution under circumstances that constitute bribery or another crime, Rule 8.4(b) is implicated. **[Relevant Cases]** - Florida Bar v. Went for It **[Additional Information]** **[Additional Readings]** **[Module 4]** **Rule 6.1 Voluntary Pro Bono Public Service:** Every lawyer has a professional responsibility to provide legal services to those unable to pay. A lawyer should aspire to render at least (50) hours of pro bono publico legal services per year. In fulfilling this responsibility, the lawyer should: \(a) provide a substantial majority of the (50) hours of legal services without fee or expectation of fee to: \(1) persons of limited means or \(b) provide any additional services through: In addition, a lawyer should voluntarily contribute financial support to organizations that provide legal services to persons of limited means. **Rule 6.1 Comments \[1\]:** Every lawyer, regardless of professional prominence or professional work load, has a responsibility to provide legal services to those unable to pay, and personal involvement in the problems of the disadvantaged can be one of the most rewarding experiences in the life of a lawyer. The American Bar Association urges all lawyers to provide a minimum of 50 hours of pro bono services annually. States, however, may decide to choose a higher or lower number of hours of annual service (which may be expressed as a percentage of a lawyer\'s professional time) depending upon local needs and local conditions. It is recognized that in some years a lawyer may render greater or fewer hours than the annual standard specified, but during the course of his or her legal career, each lawyer should render on average per year, the number of hours set forth in this Rule. Services can be performed in civil matters or in criminal or quasi-criminal matters for which there is no government obligation to provide funds for legal representation, such as post-conviction death penalty appeal cases. **Rule 6.1 Comments \[2\]:** Paragraphs (a)(1) and (2) recognize the critical need for legal services that exists among persons of limited means by providing that a substantial majority of the legal services rendered annually to the disadvantaged be furnished without fee or expectation of fee. Legal services under these paragraphs consist of a full range of activities, including individual and class representation, the provision of legal advice, legislative lobbying, administrative rule making and the provision of free training or mentoring to those who represent persons of limited means. The variety of these activities should facilitate participation by government lawyers, even when restrictions exist on their engaging in the outside practice of law. **Rule 6.1 Comments \[4\]:** Because service must be provided without fee or expectation of fee, the intent of the lawyer to render free legal services is essential for the work performed to fall within the meaning of paragraphs (a)(1) and (2). Accordingly, services rendered cannot be considered pro bono if an anticipated fee is uncollected, but the award of statutory attorneys\' fees in a case originally accepted as pro bono would not disqualify such services from inclusion under this section. Lawyers who do receive fees in such cases are encouraged to contribute an appropriate portion of such fees to organizations or projects that benefit persons of limited means. **\ ** **Rule 6.2 Accepting Appointments:** A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for good cause, such as: **Rule 6.2 Comments \[1\]:** A lawyer ordinarily is not obliged to accept a client whose character or cause the lawyer regards as repugnant. The lawyer\'s freedom to select clients is, however, qualified. All lawyers have a responsibility to assist in providing pro bono publico service. See Rule 6.1. An individual lawyer fulfills this responsibility by accepting a fair share of unpopular matters or indigent or unpopular clients. A lawyer may also be subject to appointment by a court to serve unpopular clients or persons unable to afford legal services. **Rule 6.2 Comments \[2\]:** For good cause a lawyer may seek to decline an appointment to represent a person who cannot afford to retain counsel or whose cause is unpopular. Good cause exists if the lawyer could not handle the matter competently, see Rule 1.1, or if undertaking the representation would result in an improper conflict of interest, for example, when 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. A lawyer may also seek to decline an appointment if acceptance would be unreasonably burdensome, for example, when it would impose a financial sacrifice so great as to be unjust. **Rule 6.2 Comments \[3\]:** An appointed lawyer has the same obligations to the client as retained counsel, including the obligations of loyalty and confidentiality, and is subject to the same limitations on the client-lawyer relationship, such as the obligation to refrain from assisting the client in violation of the Rules. **Rule 6.3 Membership in Legal Services Organizations:** 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 organization serves persons having interests adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the organization: **\ ** **Rule 6.4 Law Reform Activities Affecting Client Interest:** A lawyer may serve as a director, officer or member of an organization involved in reform of the law or its administration notwithstanding that the reform may affect the interests of a client of the lawyer. When the lawyer knows that the interests of a client may be materially benefitted by a decision in which the lawyer participates, the lawyer shall disclose that fact but need not identify the client. **\ ** **Rule 6.5 Nonprofit & Court Annexed Limited Legal Service Programs:** \(a) A lawyer who, under the auspices of a program sponsored by a nonprofit organization or court, provides short-term limited legal services to a client without expectation by either the lawyer or the client that the lawyer will provide continuing representation in the matter: 1. is subject to Rules 1.7 and 1.9(a) only if the lawyer knows that the representation of the client involves a conflict of interest; and 2. is subject to Rule 1.10 only if the lawyer knows that another lawyer associated with the lawyer in a law firm is disqualified by Rule 1.7 or 1.9(a) with respect to the matter. \(b) Except as provided in paragraph (a)(2), Rule 1.10 is inapplicable to a representation governed by this Rule. **Rule 6.5 Comments \[1\]:** Legal services organizations, courts and various nonprofit organizations have established programs through which lawyers provide short-term limited legal services --- such as advice or the completion of legal forms - that will assist persons to address their legal problems without further representation by a lawyer. In these programs, such as legal-advice hotlines, advice-only clinics or pro se counseling programs, a client-lawyer relationship is established, but there is no expectation that the lawyer\'s representation of the client will continue beyond the limited consultation. Such programs are normally operated under circumstances in which it is not feasible for a lawyer to systematically screen for conflicts of interest as is generally required before undertaking a representation. See, e.g., Rules 1.7, 1.9 and 1.10. **Rule 6.5 Comments \[2\]:** A lawyer who provides short-term limited legal services pursuant to this Rule must secure the client\'s informed consent to the limited scope of the representation. See Rule 1.2(c). If a short-term limited representation would not be reasonable under the circumstances, the lawyer may offer advice to the client but must also advise the client of the need for further assistance of counsel. Except as provided in this Rule, the Rules of Professional Conduct, including Rules 1.6 and 1.9(c), are applicable to the limited representation. **Rule 6.5 Comments \[3\]:** Because a lawyer who is representing a client in the circumstances addressed by this Rule ordinarily is not able to check systematically for conflicts of interest, paragraph (a) requires compliance with Rules 1.7 or 1.9(a) only if the lawyer knows that the representation presents a conflict of interest for the lawyer, and with Rule 1.10 only if the lawyer knows that another lawyer in the lawyer\'s firm is disqualified by Rules 1.7 or 1.9(a) in the matter. **Rule 6.5 Comments \[4\]:** Because the limited nature of the services significantly reduces the risk of conflicts of interest with other matters being handled by the lawyer\'s firm, paragraph (b) provides that Rule 1.10 is inapplicable to a representation governed by this Rule except as provided by paragraph (a)(2). Paragraph (a)(2) requires the participating lawyer to comply with Rule 1.10 when the lawyer knows that the lawyer\'s firm is disqualified by Rules 1.7 or 1.9(a). By virtue of paragraph (b), however, a lawyer\'s participation in a short-term limited legal services program will not preclude the lawyer\'s firm from undertaking or continuing the representation of a client with interests adverse to a client being represented under the program\'s auspices. Nor will the personal disqualification of a lawyer participating in the program be imputed to other lawyers participating in the program. **\ ** **Rule 1.1 Competence:** A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation. **Rule 1.1 Comments \[1\]:** In determining whether a lawyer employs the requisite knowledge and skill in a particular matter, relevant factors include the relative complexity and specialized nature of the matter, the lawyer\'s general experience, the lawyer\'s training and experience in the field in question, the preparation and study the lawyer is able to give the matter and whether it is feasible to refer the matter to, or associate or consult with, a lawyer of established competence in the field in question. In many instances, the required proficiency is that of a general practitioner. Expertise in a particular field of law may be required in some circumstances. **Rule 1.1 Comments \[2\]:** A lawyer need not necessarily have special training or prior experience to handle legal problems of a type with which the lawyer is unfamiliar. A newly admitted lawyer can be as competent as a practitioner with long experience. Some important legal skills, such as the analysis of precedent, the evaluation of evidence and legal drafting, are required in all legal problems. Perhaps the most fundamental legal skill consists of determining what kind of legal problems a situation may involve, a skill that necessarily transcends any particular specialized knowledge. A lawyer can provide adequate representation in a wholly novel field through necessary study. Competent representation can also be provided through the association of a lawyer of established competence in the field in question. **Rule 1.1 Comments \[3\]:** In an emergency a lawyer may give advice or assistance in a matter in which the lawyer does not have the skill ordinarily required where referral to or consultation or association with another lawyer would be impractical. Even in an emergency, however, assistance should be limited to that reasonably necessary in the circumstances, for ill-considered action under emergency conditions can jeopardize the client\'s interest. **Rule 1.1 Comments \[6\]:** Before a lawyer retains or contracts with other lawyers outside the lawyer's own firm to provide or assist in the provision of legal services to a client, the lawyer should ordinarily obtain informed consent from the client and must reasonably believe that the other lawyers' services will contribute to the competent and ethical representation of the client.  See also Rules 1.2 (allocation of authority), 1.4 (communication with client), 1.5(e) (fee sharing), 1.6 (confidentiality), and 5.5(a) (unauthorized practice of law).  The reasonableness of the decision to retain or contract with other lawyers outside the lawyer's own firm will depend upon the circumstances, including the education, experience and reputation of the nonfirm lawyers; the nature of the services assigned to the nonfirm lawyers; and the legal protections, professional conduct rules, and ethical environments of the jurisdictions in which the services will be performed, particularly relating to confidential information. **Rule 1.1 Comments \[8\]:** To maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice, including the benefits and risks associated with relevant technology, engage in continuing study and education and comply with all continuing legal education requirements to which the lawyer is subject. **\ ** **Rule 1.2 Scope of Representation & allocation of Authority Between Client & Lawyer:** \(a) Subject to paragraphs (c) and (d), a lawyer shall abide by a client\'s decisions concerning the objectives of representation and, as required by Rule 1.4, shall consult with 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 with the lawyer, as to a plea to be entered, whether to waive jury trial and 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. **Rule 1.2 Comments \[2\]:** On occasion, however, a lawyer and a client may disagree about the means to be used to accomplish the client\'s objectives. Clients normally defer to the special knowledge and skill of their lawyer with respect to the means to be used to accomplish their objectives, particularly with respect to technical, legal and tactical matters. Conversely, lawyers usually defer to the client regarding such questions as the expense to be incurred and concern for third persons who might be adversely affected. Because of the varied nature of the matters about which a lawyer and client might disagree and because the actions in question may implicate the interests of a tribunal or other persons, this Rule does not prescribe how such disagreements are to be resolved. Other law, however, may be applicable and should be consulted by the lawyer. The lawyer should also consult with the client and seek a mutually acceptable resolution of the disagreement. If such efforts are unavailing and the lawyer has a fundamental disagreement with the client, the lawyer may withdraw from the representation. See Rule 1.16(b)(4). Conversely, the client may resolve the disagreement by discharging the lawyer. See Rule 1.16(a)(3). **Rule 1.2 Comments \[3\]:** At the outset of a representation, the client may authorize the lawyer to take specific action on the client\'s behalf without further consultation. Absent a material change in circumstances and subject to Rule 1.4, a lawyer may rely on such an advance authorization. The client may, however, revoke such authority at any time. **Rule 1.2 Comments \[7\]:** Although this Rule affords the lawyer and client substantial latitude to limit the representation, the limitation must be reasonable under the circumstances. If, for example, a client\'s objective is limited to securing general information about the law the client needs in order to handle a common and typically uncomplicated legal problem, the lawyer and client may agree that the lawyer\'s services will be limited to a brief telephone consultation. Such a limitation, however, would not be reasonable if the time allotted was not sufficient to yield advice upon which the client could rely. Although an agreement for a limited representation does not exempt a lawyer from the duty to provide competent representation, the limitation is a factor to be considered when determining the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation. See Rule 1.1. **Rule 1.2 Comments \[9\]:** Paragraph (d) prohibits a lawyer from knowingly counseling or assisting a client to commit a crime or fraud. This prohibition, however, does not preclude the lawyer from giving an honest opinion about the actual consequences that appear likely to result from a client\'s conduct. Nor does the fact that a client uses advice in a course of action that is criminal or fraudulent of itself make a lawyer a party to the course of action. There is a critical distinction between presenting an analysis of legal aspects of questionable conduct and recommending the means by which a crime or fraud might be committed with impunity. **Rule 1.2 Comments \[10\]:** When the client\'s course of action has already begun and is continuing, the lawyer\'s responsibility is especially delicate. The lawyer is required to avoid assisting the client, for example, by drafting or delivering documents that the lawyer knows are fraudulent or by suggesting how the wrongdoing might be concealed. A lawyer may not continue assisting a client in conduct that the lawyer originally supposed was legally proper but then discovers is criminal or fraudulent. The lawyer must, therefore, withdraw from the representation of the client in the matter. See Rule 1.16(a). In some cases, withdrawal alone might be insufficient. It may be necessary for the lawyer to give notice of the fact of withdrawal and to disaffirm any opinion, document, affirmation or the like. See Rule 4.1. **Rule 1.3: Diligence:** A lawyer shall act with reasonable diligence and promptness in representing a client. **Rule 1.3 Comments \[1\]:** A lawyer should pursue a matter on behalf of a client despite opposition, obstruction or personal inconvenience to the lawyer, and take whatever lawful and ethical measures are required to vindicate a client\'s cause or endeavor. A lawyer must also act with commitment and dedication to the interests of the client and with zeal in advocacy upon the client\'s behalf. A lawyer is not bound, however, to press for every advantage that might be realized for a client. For example, a lawyer may have authority to exercise professional discretion in determining the means by which a matter should be pursued. See Rule 1.2. The lawyer\'s duty to act with reasonable diligence does not require the use of offensive tactics or preclude the treating of all persons involved in the legal process with courtesy and respect. **Rule 1.3 Comments \[2\]:** A lawyer\'s workload must be controlled so that each matter can be handled competently. **Rule 1.3 Comments \[3\]:** Perhaps no professional shortcoming is more widely resented than procrastination. A client\'s interests often can be adversely affected by the passage of time or the change of conditions; in extreme instances, as when a lawyer overlooks a statute of limitations, the client\'s legal position may be destroyed. Even when the client\'s interests are not affected in substance, however, unreasonable delay can cause a client needless anxiety and undermine confidence in the lawyer\'s trustworthiness. A lawyer\'s duty to act with reasonable promptness, however, does not preclude the lawyer from agreeing to a reasonable request for a postponement that will not prejudice the lawyer\'s client. **\ ** **Rule 1.4: Communication:** \(a) A lawyer shall: \(3) keep the client reasonably informed about the status of the matter; \(4) promptly comply with reasonable requests for information; and \(b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation. **Rule 1.4 Comments \[1\]:** Reasonable communication between the lawyer and the client is necessary for the client effectively to participate in the representation. **Rule 1.4 Comments \[3\]:** Paragraph (a)(2) requires the lawyer to reasonably consult with the client about the means to be used to accomplish the client\'s objectives. In some situations --- depending on both the importance of the action under consideration and the feasibility of consulting with the client --- this duty will require consultation prior to taking action. In other circumstances, such as during a trial when an immediate decision must be made, the exigency of the situation may require the lawyer to act without prior consultation. In such cases the lawyer must nonetheless act reasonably to inform the client of actions the lawyer has taken on the client\'s behalf.  Additionally, paragraph (a)(3) requires that the lawyer keep the client reasonably informed about the status of the matter, such as significant developments affecting the timing or the substance of the representation. **Rule 1.4 Comments \[4\]:** A lawyer\'s regular communication with clients will minimize the occasions on which a client will need to request information concerning the representation. When a client makes a reasonable request for information, however, paragraph (a)(4) requires prompt compliance with the request, or if a prompt response is not feasible, that the lawyer, or a member of the lawyer\'s staff, acknowledge receipt of the request and advise the client when a response may be expected. A lawyer should promptly respond to or acknowledge client communications. **Rule 1.4 Comments \[5\]:** The client should have sufficient information to participate intelligently in decisions concerning the objectives of the representation and the means by which they are to be pursued, to the extent the client is willing and able to do so. Adequacy of communication depends in part on the kind of advice or assistance that is involved. For example, when there is time to explain a proposal made in a negotiation, the lawyer should review all important provisions with the client before proceeding to an agreement. In litigation a lawyer should explain the general strategy and prospects of success and ordinarily should consult the client on tactics that are likely to result in significant expense or to injure or coerce others. On the other hand, a lawyer ordinarily will not be expected to describe trial or negotiation strategy in detail. The guiding principle is that the lawyer should fulfill reasonable client expectations for information consistent with the duty to act in the client\'s best interests, and the client\'s overall requirements as to the character of representation. In certain circumstances, such as when a lawyer asks a client to consent to a representation affected by a conflict of interest, the client must give informed consent, as defined in Rule 1.0(e). **Rule 1.4 Comments \[6\]:** Ordinarily, the information to be provided is that appropriate for a client who is a comprehending and responsible adult. However, fully informing the client according to this standard may be impracticable, for example, where the client is a child or suffers from diminished capacity. See Rule 1.14. When the client is an organization or group, it is often impossible or inappropriate to inform every one of its members about its legal affairs; ordinarily, the lawyer should address communications to the appropriate officials of the organization. See Rule 1.13.  Where many routine matters are involved, a system of limited or occasional reporting may be arranged with the client. **Rule 1.4 Comments \[7\]:** In some circumstances, a lawyer may be justified in delaying transmission of information when the client would be likely to react imprudently to an immediate communication. Thus, a lawyer might withhold a psychiatric diagnosis of a client when the examining psychiatrist indicates that disclosure would harm the client. A lawyer may not withhold information to serve the lawyer\'s own interest or convenience or the interests or convenience of another person. Rules or court orders governing litigation may provide that information supplied to a lawyer may not be disclosed to the client. Rule 3.4(c) directs compliance with such rules or orders. **\ ** **Rule 1.14: Clients with Diminished Capacity:** \(a) When a client\'s capacity to make adequately considered decisions in connection with 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 and 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) Information relating to the representation of a client with diminished capacity is protected by Rule 1.6. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client\'s interests. **Rule 1.14 Comments \[3\]:** The client may wish to have family members or other persons participate in discussions with the lawyer. When necessary to assist in the representation, the presence of such persons generally does not affect the applicability of the attorney-client evidentiary privilege. Nevertheless, the lawyer must keep the client\'s interests foremost and, except for protective action authorized under paragraph (b), must look to the client, and not family members, to make decisions on the client\'s behalf. **Rule 1.14 Comments \[5\]:** If a lawyer reasonably believes that a client is at risk of substantial physical, financial or other harm unless action is taken, and that a normal client-lawyer relationship cannot be maintained as provided in paragraph (a) because the client lacks sufficient capacity to communicate or to make adequately considered decisions in connection with the representation, then paragraph (b) permits the lawyer to take protective measures deemed necessary. Such measures could include: consulting with family members, using a reconsideration period to permit clarification or improvement of circumstances, using voluntary surrogate decision making tools such as durable powers of attorney or consulting with support groups, professional services, adult-protective agencies or other individuals or entities that have the ability to protect the client. In taking any protective action, the lawyer should be guided by such factors as the wishes and values of the client to the extent known, the client\'s best interests and the goals of intruding into the client\'s decision-making autonomy to the least extent feasible, maximizing client capacities and respecting the client\'s family and social connections. **Rule 1.14 Comments \[6\]:** In determining the extent of the client\'s diminished capacity, the lawyer should consider and balance such factors as: the client\'s ability to articulate reasoning leading to a decision, variability of state of mind and ability to appreciate consequences of a decision; the substantive fairness of a decision; and the consistency of a decision with the known long-term commitments and values of the client. In appropriate circumstances, the lawyer may seek guidance from an appropriate diagnostician. **Rule 1.14 Comments \[8\]:** Disclosure of the client\'s diminished capacity could adversely affect the client\'s interests. For example, raising the question of diminished capacity could, in some circumstances, lead to proceedings for involuntary commitment. Information relating to the representation is protected by Rule 1.6. Therefore, unless authorized to do so, the lawyer may not disclose such information. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized to make the necessary disclosures, even when the client directs the lawyer to the contrary. Nevertheless, given the risks of disclosure, paragraph (c) limits what the lawyer may disclose in consulting with other individuals or entities or seeking the appointment of a legal representative. At the very least, the lawyer should determine whether it is likely that the person or entity consulted with will act adversely to the client\'s interests before discussing matters related to the client. The lawyer\'s position in such cases is an unavoidably difficult one. **\ ** **Rule 1.18: Duties to Prospective Client:** (a)  A person who consults with a lawyer about the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client. (b)  Even when no client-lawyer relationship ensues, a lawyer who has learned information from a prospective client shall not use or reveal that information, except as Rule 1.9 would permit with respect to information of a former client. (c)   A lawyer subject to paragraph (b) shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in paragraph (d). If a lawyer is disqualified from representation under this paragraph, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter, except as provided in paragraph (d). (d)   When the lawyer has received disqualifying information as defined in paragraph (c), representation is permissible if: **Rule 1.18 Comments \[1\]:** Prospective clients, like clients, may disclose information to a lawyer, place documents or other property in the lawyer\'s custody, or rely on the lawyer\'s advice. A lawyer\'s consultations with a prospective client usually are limited in time and depth and leave both the prospective client and the lawyer free (and sometimes required) to proceed no further. Hence, prospective clients should receive some but not all of the protection afforded clients. **Rule 1.18 Comments \[2\]:** A person becomes a prospective client by consulting with a lawyer about the possibility of forming a client-lawyer relationship with respect to a matter.  Whether communications, including written, oral, or electronic communications, constitute a consultation depends on the circumstances.  For example, a consultation is likely to have occurred if a lawyer, either in person or through the lawyer's advertising in any medium, specifically requests or invites the submission of information about a potential representation without clear and reasonably understandable warnings and cautionary statements that limit the lawyer's obligations, and a person provides information in response. See also Comment \[4\].  In contrast, a consultation does not occur if a person provides information to a lawyer in response to advertising that merely describes the lawyer's education, experience, areas of practice, and contact information, or provides legal information of general interest. Such a person communicates information unilaterally to a lawyer, without any reasonable expectation that the lawyer is willing to discuss the possibility of forming a client-lawyer relationship, and is thus not a \"prospective client.\" Moreover, a person who communicates with a lawyer for the purpose of disqualifying the lawyer is not a "prospective client." **Rule 1.18 Comments \[3\]:** It is often necessary for a prospective client to reveal information to the lawyer during an initial consultation prior to the decision about formation of a client-lawyer relationship. The lawyer often must learn such information to determine whether there is a conflict of interest with an existing client and whether the matter is one that the lawyer is willing to undertake. Paragraph (b) prohibits the lawyer from using or revealing that information, except as permitted by Rule 1.9, even if the client or lawyer decides not to proceed with the representation. The duty exists regardless of how brief the initial conference may be. **Rule 1.18 Comments \[4\]:** In order to avoid acquiring disqualifying information from a prospective client, a lawyer considering whether or not to undertake a new matter should limit the initial consultation to only such information as reasonably appears necessary for that purpose. Where the information indicates that a conflict of interest or other reason for non-representation exists, the lawyer should so inform the prospective client or decline the representation. If the prospective client wishes to retain the lawyer, and if consent is possible under Rule 1.7, then consent from all affected present or former clients must be obtained before accepting the representation. **Rule 1.18 Comments \[5\]:** A lawyer may condition a consultation with a prospective client on the person\'s informed consent that no information disclosed during the consultation will prohibit the lawyer from representing a different client in the matter. See Rule 1.0(e) for the definition of informed consent. If the agreement expressly so provides, the prospective client may also consent to the lawyer\'s subsequent use of information received from the prospective client. **Rule 1.18 Comments \[6\]:** Even in the absence of an agreement, under paragraph (c), the lawyer is not prohibited from representing a client with interests adverse to those of the prospective client in the same or a substantially related matter unless the lawyer has received from the prospective client information that could be significantly harmful if used in the matter. **[Relevant Cases]** - Louisiana State Bar Association v. Amberg - McCoy v. Louisiana - Attorney Grievance Commission v. Lee **[Additional Information]** **[Additional Readings]** **[Module 5/6]** **[\ ]** **Rule 1.5 Fees:** \(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 reasonableness of a fee include the following: \(3) the fee customarily charged in the locality for similar legal services; \(4) the amount involved and the results obtained; \(5) the time limitations imposed by the client or by the circumstances; \(6) the nature and length of the professional relationship with the client; \(8) whether the fee is fixed or contingent. \(b) The scope of the representation and 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 paragraph (d) or other law. A contingent fee agreement shall be in a writing signed by the client and shall state the method by which the fee is to be determined, including the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal; litigation and 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: \(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: \(3) the total fee is reasonable. **Rule 1.5 Comments \[1\]:** Paragraph (a) requires that lawyers charge fees that are reasonable under the circumstances. The factors specified in (1) through (8) are not exclusive. Nor will each factor be relevant in each instance. Paragraph (a) also requires that expenses for which the client will be charged must be reasonable. A lawyer may seek reimbursement for the cost of services performed in-house, such as copying, or for other expenses incurred in-house, such as telephone charges, either by charging a reasonable amount to which the client has agreed in advance or by charging an amount that reasonably reflects the cost incurred by the lawyer. **Rule 1.5 Comments \[2\]:** When the lawyer has regularly represented a client, they ordinarily will have evolved an understanding concerning the basis or rate of the fee and the expenses for which the client will be responsible. In a new client-lawyer relationship, however, an understanding as to fees and expenses must be promptly established. Generally, it is desirable to furnish the client with at least a simple memorandum or copy of the lawyer\'s customary fee arrangements that states the general nature of the legal services to be provided, the basis, rate or total amount of the fee and whether and to what extent the client will be responsible for any costs, expenses or disbursements in the course of the representation. A written statement concerning the terms of the engagement reduces the possibility of misunderstanding. **Rule 1.5 Comments \[4\]:** A lawyer may require advance payment of a fee, but is obliged to return any unearned portion. See Rule 1.16(d). A lawyer may accept property in payment for services, such as an ownership interest in an enterprise, providing this does not involve acquisition of a proprietary interest in the cause of action or subject matter of the litigation contrary to Rule 1.8 (i). However, a fee paid in property instead of money may be subject to the requirements of Rule 1.8(a) because such fees often have the essential qualities of a business transaction with the client. **Rule 1.5 Comments \[6\]:** Paragraph (d) prohibits a lawyer from charging a contingent fee in a domestic relations matter when payment is contingent upon the securing of a divorce or upon the amount of alimony or support or property settlement to be obtained. This provision does not preclude a contract for a contingent fee for legal representation in connection with the recovery of post-judgment balances due under support, alimony or other financial orders because such contracts do not implicate the same policy concerns. **Rule 1.5 Comments \[7\]:** A division of fee is a single billing to a client covering the fee of two or more lawyers who are not in the same firm. A division of fee facilitates association of more than one lawyer in a matter in which neither alone could serve the client as well, and most often is used when the fee is contingent and the division is between a referring lawyer and a trial specialist. Paragraph (e) permits the lawyers to divide a fee either on the basis of the proportion of services they render or if each lawyer assumes responsibility for the representation as a whole. In addition, the client must agree to the arrangement, including the share that each lawyer is to receive, and the agreement must be confirmed in writing. Contingent fee agreements must be in a writing signed by the client and must otherwise comply with paragraph (c) of this Rule. Joint responsibility for the representation entails financial and ethical responsibility for the representation as if the lawyers were associated in a partnership. A lawyer should only refer a matter to a lawyer whom the referring lawyer reasonably believes is competent to handle the matter. See Rule 1.1. **\ ** **Rule 1.6 Confidentiality of Information:** \(a) A lawyer shall not reveal information 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 paragraph (b). \(b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary: (c)  A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client. **Rule 1.6 Comments \[1\]:** This Rule governs the disclosure by a lawyer of information relating to the representation of a client during the lawyer\'s representation of the client. See Rule 1.18 for the lawyer\'s duties with respect to information provided to the lawyer by a prospective client, Rule 1.9(c)(2) for the lawyer\'s duty not to reveal information relating to the lawyer\'s prior representation of a former client and Rules 1.8(b) and 1.9(c)(1) for the lawyer\'s duties with respect to the use of such information to the disadvantage of clients and former clients. **Rule 1.6 Comments \[2\]:** A fundamental principle in the client-lawyer relationship is that, in the absence of the client\'s informed consent, the lawyer must not reveal information relating to the representation. See Rule 1.0(e) for the definition of informed consent. This contributes to the trust that is the hallmark of the client-lawyer relationship. The client is thereby encouraged to seek legal assistance and to communicate fully and frankly with the lawyer even as to embarrassing or legally damaging subject matter. The lawyer needs this information to represent the client effectively and, if necessary, to advise the client to refrain from wrongful conduct. Almost without exception, clients come to lawyers in order to determine their rights and what is, in the complex of laws and regulations, deemed to be legal and correct. Based upon experience, lawyers know that almost all clients follow the advice given, and the law is upheld. **Rule 1.6 Comments \[3\]:** The principle of client-lawyer confidentiality is given effect by related bodies of law: the attorney-client privilege, the work product doctrine and the rule of confidentiality established in professional ethics. The attorney-client privilege and work product doctrine apply in judicial and other proceedings in which a lawyer may be called as a witness or otherwise required to produce evidence concerning a client. The rule of client-lawyer confidentiality applies in situations other than those where evidence is sought from the lawyer through compulsion of law. The confidentiality rule, for example, applies not only to matters communicated in confidence by the client but also to all information relating to the representation, whatever its source. A lawyer may not disclose such information except as authorized or required by the Rules of Professional Conduct or other law. See also Scope. **Rule 1.6 Comments \[4\]:** Paragraph (a) prohibits a lawyer from revealing information relating to the representation of a client. This prohibition also applies to disclosures by a lawyer that do not in themselves reveal protected information but could reasonably lead to the discovery of such information by a third person. A lawyer\'s use of a hypothetical to discuss issues relating to the representation is permissible so long as there is no reasonable likelihood that the listener will be able to ascertain the identity of the client or the situation involved. **Rule 1.6 Comments \[5\]:** Except to the extent that the client\'s instructions or special circumstances limit that authority, a lawyer is impliedly authorized to make disclosures about a client when appropriate in carrying out the representation. In some situations, for example, a lawyer may be impliedly authorized to admit a fact that cannot properly be disputed or to make a disclosure that facilitates a satisfactory conclusion to a matter. Lawyers in a firm may, in the course of the firm\'s practice, disclose to each other information relating to a client of the firm, unless the client has instructed that particular information be confined to specified lawyers. **Rule 1.6 Comments \[6\]:** Although the public interest is usually best served by a strict rule requiring lawyers to preserve the confidentiality of information relating to the representation of their clients, the confidentiality rule is subject to limited exceptions. Paragraph (b)(1) recognizes the overriding value of life and physical integrity and permits disclosure reasonably necessary to prevent reasonably certain death or substantial bodily harm. Such harm is reasonably certain to occur if it will be suffered imminently or if there is a present and substantial threat that a person will suffer such harm at a later date if the lawyer fails to take action necessary to eliminate the threat. Thus, a lawyer who knows that a client has accidentally discharged toxic waste into a town\'s water supply may reveal this information to the authorities if there is a present and substantial risk that a person who drinks the water will contract a life-threatening or debilitating disease and the lawyer\'s disclosure is necessary to eliminate the threat or reduce the number of victims. **Rule 1.6 Comments \[7\]:** Paragraph (b)(2) is a limited exception to the rule of confidentiality that permits the lawyer to reveal information to the extent necessary to enable affected persons or appropriate authorities to prevent the client from committing a crime or fraud, as defined in Rule 1.0(d), that is reasonably certain to result in substantial injury to the financial or property interests of another and in furtherance of which the client has used or is using the lawyer's services. Such a serious abuse of the client-lawyer relationship by the client forfeits the protection of this Rule. The client can, of course, prevent such disclosure by refraining from the wrongful conduct. Although paragraph (b)(2) does not require the lawyer to reveal the client's misconduct, the lawyer may not counsel or assist the client in conduct the lawyer knows is criminal or fraudulent. See Rule 1.2(d). See also Rule 1.16 with respect to the lawyer's obligation or right to withdraw from the representation of the client in such circumstances, and Rule 1.13(c), which permits the lawyer, where the client is an organization, to reveal information relating to the representation in limited circumstances. **Rule 1.6 Comments \[8\]:** Paragraph (b)(3) addresses the situation in which the lawyer does not learn of the client's crime or fraud until after it has been consummated. Although the client no longer has the option of preventing disclosure by refraining from the wrongful conduct, there will be situations in which the loss suffered by the affected person can be prevented, rectified or mitigated. In such situations, the lawyer may disclose information relating to the representation to the extent necessary to enable the affected persons to prevent or mitigate reasonably certain losses or to attempt to recoup their losses. Paragraph (b)(3) does not apply when a person who has committed a crime or fraud thereafter employs a lawyer for representation concerning that offense. **Rule 1.6 Comments \[13\]:** Paragraph (b)(7) recognizes that lawyers in different firms may need to disclose limited information to each other to detect and resolve conflicts of interest, such as when a lawyer is considering an association with another firm, two or more firms are considering a merger, or a lawyer is considering the purchase of a law practice.  See Rule 1.17, Comment \[7\].  Under these circumstances, lawyers and law firms are permitted to disclose limited information, but only once substantive discussions regarding the new relationship have occurred.  Any such disclosure should ordinarily include no more than the identity of the persons and entities involved in a matter, a brief summary of the general issues involved, and information about whether the matter has terminated.  Even this limited information, however, should be disclosed only to the extent reasonably necessary to detect and resolve conflicts of interest that might arise from the possible new relationship.  Moreover, the disclosure of any information is prohibited if it would compromise the attorney-client privilege or otherwise prejudice the client (e.g., the fact that a corporate client is seeking advice on a corporate takeover that has not been publicly announced; that a person has consulted a lawyer about the possibility of divorce before the person\'s intentions are known to the person\'s spouse; or that a person has consulted a lawyer about a criminal investigation that has not led to a public charge).  Under those circumstances, paragraph (a) prohibits disclosure unless the client or former client gives informed consent.  A lawyer's fiduciary duty to the lawyer's firm may also govern a lawyer's conduct when exploring an association with another firm and is beyond the scope of these Rules. **Rule 1.6 Comments \[20\]:** The duty of confidentiality continues after the client-lawyer relationship has terminated. See Rule 1.9(c)(2). See Rule 1.9(c)(1) for the prohibition against using such information to the disadvantage of the former client. **\ ** **Rule 1.15 Safekeeping Property:** \(a) A lawyer shall hold property of clients or third persons that is in a lawyer\'s possession in connection with 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 with the consent of the client or third person. Other property shall be identified as such and appropriately safeguarded. Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period of \[five years\] 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 third person has an interest, a lawyer shall promptly notify the client or third person. Except as stated in this rule or otherwise permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, upon request by the client or third 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 two 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. **Rule 1.15 Comments \[1\]:** A lawyer should hold property of others with the care required of a professional fiduciary. Securities should be kept in a safe deposit box, except when some other form of safekeeping is warranted by special circumstances. All property that is the property of clients or third persons, including prospective clients, must be kept separate from the lawyer\'s business and personal property and, if monies, in one or more trust accounts. Separate trust accounts may be warranted when administering estate monies or acting in similar fiduciary capacities. A lawyer should maintain on a current basis books and records in accordance with generally accepted accounting practice and comply with any recordkeeping rules established by law or court order. See, e.g., Model Rules for Client Trust Account Records. **Rule 1.15 Comments \[3\]:** Lawyers often receive funds from which the lawyer\'s fee will be paid. The lawyer is not required to remit to the client funds that the lawyer reasonably believes represent fees owed. However, a lawyer may not hold funds to coerce a client into accepting the lawyer\'s contention. The disputed portion of the funds must be kept in a trust account and the lawyer should suggest means for prompt resolution of the dispute, such as arbitration. The undisputed portion of the funds shall be promptly distributed. **[Relevant Cases]** - In re Dorothy - People v. Belge - People v. Godlewski **[Additional Information]** **[Additional Readings]** **[Module 7]** **[\ ]** **Rule 1.7 Conflict of Interest: Current Clients:** \(a) Except as provided in paragraph (b), a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if: \(b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a), a lawyer may represent a client if: \(2) the representation is not prohibited by law; \(4) each affected client gives informed consent, confirmed in writing. **Rule 1.7 Comments \[2\]:** Resolution of a conflict of interest problem under this Rule requires the lawyer to: 1) clearly identify the client or clients; 2) determine whether a conflict of interest exists; 3) decide whether the representation may be undertaken despite the existence of a conflict, i.e., whether the conflict is consentable; and 4) if so, consult with the clients affected under paragraph (a) and obtain their informed consent, confirmed in writing. The clients affected under paragraph (a) include both of the clients referred to in paragraph (a)(1) and the one or more clients whose representation might be materially limited under paragraph (a)(2). **Rule 1.7 Comments \[3\]:** A conflict of interest may exist before representation is undertaken, in which event the representation must be declined, unless the lawyer obtains the informed consent of each client under the conditions of paragraph (b). To determine whether a conflict of interest exists, a lawyer should adopt reasonable procedures, appropriate for the size and type of firm and practice, to determine in both litigation and non-litigation matters the persons and issues involved. See also Comment to Rule 5.1. Ignorance caused by a failure to institute such procedures will not excuse a lawyer\'s violation of this Rule. As to whether a client-lawyer relationship exists or, having once been established, is continuing, see Comment to Rule 1.3 and Scope. **Rule 1.7 Comments \[4\]:** If a conflict arises after representation has been undertaken, the lawyer ordinarily must withdraw from the representation, unless the lawyer has obtained the informed consent of the client under the conditions of paragraph (b). See Rule 1.16. Where more than one client is involved, whether the lawyer may continue to represent any of the clients is determined both by the lawyer\'s ability to comply with duties owed to the former client and by the lawyer\'s ability to represent adequately the remaining client or clients, given the lawyer\'s duties to the former client. See Rule 1.9. See also Comments \[5\] and \[29\]. **Rule 1.7 Comments \[5\]:** Unforeseeable developments, such as changes in corporate and other organizational affiliations or the addition or realignment of parties in litigation, might create conflicts in the midst of a representation, as when a company sued by the lawyer on behalf of one client is bought by another client represented by the lawyer in an unrelated matter. Depending on the circumstances, the lawyer may have the option to withdraw from one of the representations in order to avoid the conflict. The lawyer must seek court approval where necessary and take steps to minimize harm to the clients. See Rule 1.16. The lawyer must continue to protect the confidences of the client from whose representation the lawyer has withdrawn. See Rule 1.9(c). **Rule 1.7 Comments \[6\]:** Loyalty to a current client prohibits undertaking representation directly adverse to that client without that client\'s informed consent. Thus, absent consent, a lawyer may not act as an advocate in one matter against a person the lawyer represents in some other matter, even when the matters are wholly unrelated. The client as to whom the representation is directly adverse is likely to feel betrayed, and the resulting damage to the client-lawyer relationship is likely to impair the lawyer\'s ability to represent the client effectively. In addition, the client on whose behalf the adverse representation is undertaken reasonably may fear that the lawyer will pursue that client\'s case less effectively out of deference to the other client, i.e., that the representation may be materially limited by the lawyer\'s interest in retaining the current client. Similarly, a directly adverse conflict may arise when a lawyer is required to cross-examine a client who appears as a witness in a lawsuit involving another client, as when the testimony will be damaging to the client who is represented in the lawsuit. On the other hand, simultaneous representation in unrelated matters of clients whose interests are only economically adverse, such as representation of competing economic enterprises in unrelated litigation, does not ordinarily constitute a conflict of interest and thus may not require consent of the respective clients. **Rule 1.7 Comments \[7\]:** Directly adverse conflicts can also arise in transactional matters. For example, if a lawyer is asked to represent the seller of a business in negotiations with a buyer represented by the lawyer, not in the same transaction but in another, unrelated matter, the lawyer could not undertake the representation without the informed consent of each client. **Rule 1.7 Comments \[10\]:** The lawyer\'s own interests should not be permitted to have an adverse effect on representation of a client. For example, if the probity of a lawyer\'s own conduct in a transaction is in serious question, it may be difficult or impossible for the lawyer to give a client detached advice. Similarly, when a lawyer has discussions concerning possible employment with an opponent of the lawyer\'s client, or with a law firm representing the opponent, such discussions could materially limit the lawyer\'s representation of the client. In addition, a lawyer may not allow related business interests to affect representation, for example, by referring clients to an enterprise in which the lawyer has an undisclosed financial interest. See Rule 1.8 for specific Rules pertaining to a number of personal interest conflicts, including business transactions with clients. See also Rule 1.10 (personal interest conflicts under Rule 1.7 ordinarily are not imputed to other lawyers in a law firm). **Rule 1.7 Comments \[11\]:** When lawyers representing different clients in the same matter or in substantially related matters are closely related by blood or marriage, there may be a significant risk that client confidences will be revealed and that the lawyer\'s family relationship will interfere with both loyalty and independent professional judgment. As a result, each client is entitled to know of the existence and implications of the relationship between the lawyers before the lawyer agrees to undertake the representation. Thus, a lawyer related to another lawyer, e.g., as parent, child, sibling or spouse, ordinarily may not represent a client in a matter where that lawyer is representing another party, unless each client gives informed consent. The disqualification arising from a close family relationship is personal and ordinarily is not imputed to members of firms with whom the lawyers are associated. See Rule 1.10. **Rule 1.7 Comments \[12\]:** A lawyer is prohibited from engaging in sexual relationships with a client unless the sexual relationship predates the formation of the client-lawyer relationship. See Rule 1.8(j). **Rule 1.7 Comments \[20\]:** Paragraph (b) requires the lawyer to obtain the informed consent of the client, confirmed in writing. Such a writing may consist of a document executed by the client or one that the lawyer promptly records and transmits to the client following an oral consent. See Rule 1.0(b). See also Rule 1.0(n) (writing includes electronic transmission). If it is not feasible to obtain or transmit the writing at the time the client gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter. See Rule 1.0(b). The requirement of a writing does not supplant the need in most cases for the lawyer to talk with the client, to explain the risks and advantages, if any, of representation burdened with a conflict of interest, as well as reasonably available alternatives, and to afford the client a reasonable opportunity to consider the risks and alternatives and to raise questions and concerns. Rather, the writing is required in order to impress upon clients the seriousness of the decision the client is being asked to make and to avoid disputes or ambiguities that might later occur in the absence of a writing. **Rule 1.7 Comments \[35\]:** A lawyer for a corporation or other organization who is also a member of its board of directors should determine whether the responsibilities of the two roles may conflict. The lawyer may be called on to advise the corporation in matters involving actions of the directors. Consideration should be given to the frequency with which such situations may arise, the potential intensity of the conflict, the effect of the lawyer\'s resignation from the board and the possibility of the corporation\'s obtaining legal advice from another lawyer in such situations. If there is material risk that the dual role will compromise the lawyer\'s independence of professional judgment, the lawyer should not serve as a director or should cease to act as the corporation\'s lawyer when conflicts of interest arise. The lawyer should advise the other members of the board that in some circumstances matters discussed at board meetings while the lawyer is present in the capacity of director might not be protected by the attorney-client privilege and that conflict-of-interest considerations might require the lawyer\'s recusal as a director or might require the lawyer and the lawyer\'s firm to decline representation of the corporation in a matter. **\ ** **Rule 1.8 Conflict of Interest: Current Clients: Specific Rules:** (a)  A lawyer 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: (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 paragraph, 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