ABA MODEL CODE OF

PROFESSIONAL RESPONSIBILITY
The Model Code of Professional Responsibility was adopted by the House of Delegates of the
American Bar Association on August 1! 1"#" and was amended by the House of Delegates in
$ebruary 1"%&! $ebruary 1"%'! $ebruary 1"%(! August 1"%#! August 1"%%! August 1"%)!
$ebruary 1"%"! $ebruary 1")&! and August 1")&*
Contents
PREFACE
PREAMBLE AND PRELIMINARY STATEMENT
CANON 1. A LAWYER SHOULD ASSIST IN MAINTAINING THE INTEGRITY AND COMPETENCE OF THE LEGAL PROFESSION

Ethical Coni!"#ation
Dici$lina#% R&l"
DR1'1(1 Maintainin) Int")#it% an! Co*$"t"nc" o+ th" L")al P#o+"ion
DR 1'1(, Micon!&ct
DR 1'1(- Diclo&#" o+ In+o#*ation to A&tho#iti"
CANON ,. A LAWYER SHOULD ASSIST THE LEGAL PROFESSION IN FULFILLING ITS DUTY TO MA.E LEGAL COUNSEL
A/AILABLE
Ethical Coni!"#ation
R"co)nition o+ L")al P#o0l"*
S"l"ction o+ a La1%"#
S"l"ction o+ a La1%"#2 La1%"# A!3"#tiin)
Financial A0ilit% to E*$lo% Co&n"l2 G"n"#all%
Financial A0ilit% to E*$lo% Co&n"l2
P"#on A0l" to Pa% R"aona0l" F""
Financial A0ilit% to E*$lo% Co&n"l2
P"#on Una0l" to Pa% R"aona0l" F""
Acc"$tanc" an! R"t"ntion o+ E*$lo%*"nt
Dici$lina#% R&l"
DR ,'1(1 P&0licit% in G"n"#al
DR ,'1(, P#o+"ional Notic"4 L"tt"#h"a!4 O++ic"
DR ,'1(- R"co**"n!ation o+ P#o+"ional E*$lo%*"nt
DR ,'1(5 S&))"tion o+ N""! o+ L")al S"#3ic"
DR ,'1(6 Li*itation o+ P#actic"
DR ,'1(7 F"" +o# L")al S"#3ic"
DR ,'1(8 Di3iion o+ F"" A*on) La1%"#
DR ,'1(9 A)#""*"nt R"t#ictin) th" P#actic" o+ a La1%"#
DR ,'1(: Acc"$tanc" o+ E*$lo%*"nt
DR ,'11( With!#a1al +#o* E*$lo%*"nt
CANON -. A LAWYER SHOULD ASSIST IN PRE/ENTING THE UNAUTHORI;ED PRACTICE OF LAW.
Ethical Coni!"#ation
Dici$lina#% R&l"
DR -'1(1 Ai!in) Una&tho#i<"! P#actic" o+ La1
DR -'1(, Di3i!in) L")al F"" 1ith a Nonla1%"#
DR -'1(- Fo#*in) a Pa#tn"#hi$ 1ith a Nonla1%"#
CANON 5. A LAWYER SHOULD PRESER/E THE CONFIDENCES AND SECRETS OF A CLIENT
Ethical Coni!"#ation
Dici$lina#% R&l"
DR 5'1(1 P#""#3ation o+ Con+i!"nc" an! S"c#"t o+ a Cli"nt.......
CANON 6. A LAWYER SHOULD E=ERCISE INDEPENDENT PROFESSIONAL >UDGMENT ON BEHALF OF A CLIENT
Ethical Coni!"#ation
Int"#"t o+ a La1%"# That Ma% A++"ct Hi >&!)*"nt
Int"#"t o+ M&lti$l" Cli"nt
D"i#" o+ Thi#! P"#on
Dici$lina#% R&l"
DR 6'1(1 R"+&in) E*$lo%*"nt Wh"n th" Int"#"t o+ th" La1%"# Ma% I*$ai# Hi
In!"$"n!"nt P#o+"ional >&!)*"nt
DR 6'1(, With!#a1al a Co&n"l Wh"n th"
La1%"# B"co*" a Witn"
DR 6'1(- A3oi!in) Ac?&iition o+ Int"#"t in Liti)ation
DR 6'1(5 Li*itin) B&in" R"lation 1ith a Cli"nt
DR 6'1(6 'R"+&in) to Acc"$t o# Contin&" E*$lo%*"nt i+ th" Int"#"t o+ Anoth"# Cli"nt
Ma% I*$ai# th" In!"$"n!"nt P#o+"ional >&!)*"nt o+ th" La1%"#
DR 6'1(7 S"ttlin) Si*ila# Clai* o+ Cli"nt
DR 6'1(8 A3oi!in) In+l&"nc" 0% Oth"# Than th" Cli"nt
CANON 7. A LAWYER SHOULD REPRESENT A CLIENT COMPETENTLY
Ethical Coni!"#ation
Dici$lina#% R&l"
DR 7'1(1 Failin) to Act Co*$"t"ntl%
DR 7'1(, Li*itin) Lia0ilit% to Cli"nt
CANON 8. A LAWYER SHOULD REPRESENT A CLIENT ;EALOUSLY WITHIN THE BOUNDS OF THE LAW
Ethical Coni!"#ation
D&t% o+ th" La1%"# to a Cli"nt
D&t% o+ th" La1%"# to th" A!3"#a#% S%t"* o+ >&tic"
Dici$lina#% R&l"
DR 8'1(1 R"$#""ntin) a Cli"nt ;"alo&l%
DR 8'1(, R"$#""ntin) a Cli"nt Within th" Bo&n! o+ th" La1
DR 8'1(- P"#+o#*in) th" D&t% o+ P&0lic P#o"c&to# o# Oth"# Go3"#n*"nt La1%"#
DR 8'1(5 Co**&nicatin) 1ith On" o+ A!3"#" Int"#"t
DR 8'1(6 Th#"at"nin) C#i*inal P#o"c&tion
DR 8'1(7 T#ial Con!&ct
DR 8'1(8 T#ial P&0licit%
DR 8'1(9 Co**&nication 1ith o# In3"ti)ation o+ >&#o#
DR 8'1(: Contact 1ith Witn""
DR 8'11( Contact 1ith O++icial
CANON 9. A LAWYER SHOULD ASSIST IN IMPRO/ING THE LEGAL SYSTEM
Ethical Coni!"#ation
Dici$lina#% R&l"
DR 9'1(1 Action a a P&0lic O++icial
DR 9'1(, 'Stat"*"nt Conc"#nin) >&!)" an! Oth"#
A!@&!icato#% O++ic"#
DR 9'1(- La1%"# Can!i!at" +o# >&!icial O++ic"
CANON :. A LAWYER SHOULD A/OID E/EN THE APPEARANCE OF
PROFESSIONAL IMPROPRIETY
Ethical Coni!"#ation
Dici$lina#% R&l"
DR :'1(1 A3oi!in) E3"n th" A$$"a#anc" o+ I*$#o$#i"t%
DR :'1(, P#""#3in) I!"ntit% o+ F&n! an! P#o$"#t% o+ a Cli"nt
DEFINITIONS
SUB>ECT MATTER INDE=
Preface
On August 14, 1964, at the request of President Lewis F. Powell, Jr., the House of Delegates of the
Aeri!an "ar Asso!iation !reated a #$e!ial %oittee on &'aluation of &thi!al #tandards to
e(aine the then !urrent %anons of Professional &thi!s and to a)e re!oendations for !hanges.
*hat !oittee $rodu!ed the +odel %ode of Professional ,es$onsi-ilit. whi!h was ado$ted -. the
House of Delegates in 1969 and -e!ae effe!ti'e Januar. 1, 19/0. *he new +odel %ode re'ised the
$re'ious %anons in four $rin!i$al $arti!ulars1 213 there were i$ortant areas in'ol'ing the !ondu!t of
law.ers that were either onl. $artiall. !o'ered in or totall. oitted fro the %anons4 253 an.
%anons that were sound in su-stan!e were in need of editorial re'ision4 263 ost of the %anons did
not lend thesel'es to $ra!ti!al san!tions for 'iolations4 and 243 !hanged and !hanging !onditions in
our legal s.ste and ur-ani7ed so!iet. required new stateents of $rofessional $rin!i$les.
*he original 65 %anons of Professional &thi!s were ado$ted -. the Aeri!an "ar Asso!iation in
1908. *he. were -ased $rin!i$all. on the %ode of &thi!s ado$ted -. the Ala-aa #tate "ar
Asso!iation in 188/, whi!h in turn has -een -orrowed largel. fro the le!tures of Judge 9eorge
#harswood, $u-lished in 18:4 under the title of P#o+"ional Ethic, and fro the fift. resolutions
in!luded in Da'id Hoffan;s A Co&#" o+ L")al St&!% 25d ed. 18663. #in!e then a liited nu-er of
aendents ha'e -een ado$ted on a $ie!eeal -asis.
As far -a!) as 1964 +r. Justi!e 2later %hief Justi!e3 Harlan Fis)e #tone, in his eora-le address
entitled Th" P&0lic In+l&"nc" o+ th" Ba#, ade this o-ser'ation1
"efore the "ar !an fun!tion at all as a guardian of the $u-li! interests !oitted to its !are,
there ust -e a$$raisal and !o$rehension of the new !onditions, and the !hained relationshi$
of the law.er to his !lients, to his $rofessional -rethren and to the $u-li!. *hat a$$raisal ust
$ass -e.ond the $ett. details of for and anners whi!h ha'e -een so largel. the su-<e!t of our
%odes of &thi!s, to ore fundaental !onsideration of the wa. in whi!h our $rofessional
a!ti'ities affe!t the welfare of so!iet. as a whole. Our !anons of ethi!s for the ost $art are
generali7ations designed for an earlier era.
Largel. in that s$irit, the !oittee a$$ointed -. President Powell in 1964 rea!hed unanious
!on!lusion that further $ie!eeal aendent of the original %anons would not suffi!e. =t $ro!eeded
to !o$ose the +odel %ode of Professional ,es$onsi-ilit. in res$onse to the $er!ei'ed need for
!hange in the stateent of $rofessional $rin!i$les for law.ers.
>hile the o$inions of the %oittee on Professional &thi!s of the Aeri!an "ar Asso!iation had
-een $u-lished and gi'en fairl. wide distri-ution with resulting 'alue to the -en!h and -ar, the.
!ertainl. were not !on!lusi'e as to the adequa!. of the $re'ious %anons. "e!ause the o$inions were
ne!essaril. inter$retations of the e(isting %anons, the. tended to su$$ort the %anons and were !riti!al
of the onl. in the ost unusual !ase. #in!e a large nu-er of requests for o$inions fro the
%oittee on Professional &thi!s dealt with the etiquette of law $ra!ti!e, ad'ertising, $artnershi$
naes, announ!eents and the li)e, there had -een a tenden!. for an. law.ers to assue that this
was the e(!lusi'e field of interest of the %oittee and that it was not !on!erned with the ore
serious questions of $rofessional standards and o-ligations.
*he $re'ious %anons were not an effe!ti'e tea!hing instruent and failed to gi'e guidan!e to
.oung law.ers -e.ond the language of the %anons thesel'es. *here was no organi7ed
interrelationshi$ -etween the %anons and the. often o'erla$$ed. *he. were not !ast in language
designed for dis!i$linar. enfor!eent and an. a-ounded with quaint e($ressions of the $ast. *hose
%anons !ontained, ne'ertheless, an. $ro'isions that were sound in su-stan!e, and all of these were
retained in the +odel %ode ado$ted in 1969. =n the studies and eetings !ondu!ted -. the %oittee
whi!h de'elo$ed the $resent +odel %ode, the %oittee relied hea'il. u$on the onuental L")al
Ethic 219:63 of Henr. #. Drin)er, who ser'ed with great distin!tion for nine .ears as %hairan of
the %oittee on Professional &thi!s 2)nown in his da. as the %oittee on Professional &thi!s and
9rie'an!es3 of the Aeri!an "ar Asso!iation.
*he Foral O$inions of the %oittee on &thi!s and Professional ,es$onsi-ilit. were !olle!ted
and $u-lished in a single 'olue in 196/, and sin!e that tie ha'e -een $u-lished !ontinuousl. in
loose?leaf for. 2*he nae was !hanged in 19/1 to the #tanding %oittee on &thi!s and
Professional ,es$onsi-ilit..3 *he =nforal O$inions of the %oittee on &thi!s and Professional
,es$onsi-ilit. were !olle!ted and $u-lished in a two?'olue set in 19/:, and sin!e that tie new
o$inions ha'e -een $u-lished !ontinuousl. in loose?leaf for.
#in!e the ado$tion of the +odel %ode of Professional ,es$onsi-ilit. in 1969 a nu-er of
aendents ha'e -een required due to de!isions of the #u$ree %ourt of the @nited #tates and
lower !ourts relating to the $ro'ision of grou$ legal ser'i!es and the $ro'ision of additional legal
ser'i!es on a wide s!ale not onl. to indigents -ut also to $ersons of oderate eans. Furtherore,
re!ent de!isions of the #u$ree %ourt of the @nited #tates on the su-<e!t of the !onstitutionalit. of
restri!ti'e $ro'isions in the %ode relating to law.er ad'ertising ha'e required a su-stantial re'ision of
%anon 5 and of other $ortions of the $resent +odel %ode. *hese odifi!ations in the %ode are
in!luded in the $resent $rinting, u$ to and in!luding the a!tion ta)en -. the House of Delegates in
August of 19/8. *he %oittee on &thi!s and Professional ,es$onsi-ilit. is andated under the
".laws of the Aeri!an "ar Asso!iation 2Arti!le 60./3 to re!oend a$$ro$riate aendents to or
!larifi!ation of the +odel %ode. Additional !hanges are under !onsideration -. the %oittee with
$arti!ular !ogni7an!e of re!ent %ourt de!isions.
Preamble
1
*he !ontinued e(isten!e of a free and deo!rati! so!iet. de$ends u$on re!og?
nition of the !on!e$t that <usti!e is -ased u$on the rule of law grounded in res$e!t for the dignit. of
the indi'idual and his !a$a!it. through reason for enlightened self?go'ernent.
5
Law so grounded
a)es <usti!e $ossi-le, for onl. through su!h law does the dignit. of the indi'idual attain res$e!t and
$rote!tion. >ithout it, indi'idual rights -e!oe su-<e!t to unrestrained $ower, res$e!t for law is
destro.ed, and rational self?go'ernent is i$ossi-le.
Law.ers, as guardians of the law, $la. a 'ital role in the $reser'ation of so!iet.. *he fulfillent of
this role requires an understanding -. law.ers of their relationshi$ with and fun!tion in our legal
s.ste.
6
A !onsequent o-ligation of law.ers is to aintain the highest standards of ethi!al !ondu!t.
=n fulfilling his $rofessional res$onsi-ilities, a law.er ne!essaril. assues 'arious roles that
require the $erforan!e of an. diffi!ult tas)s. Aot e'er. situation whi!h he a. en!ounter !an -e
foreseen,
4
-ut fundaental ethi!al $rin!i$les are alwa.s $resent to guide hi. >ithin the fraewor)
of these $rin!i$les, a law.er ust with !ourage and foresight -e a-le and read. to sha$e the -od. of
the law to the e'er?!hanging relationshi$s of so!iet..
:
*he +odel %ode of Professional ,es$onsi-ilit. $oints the wa. to the as$iring and $ro'ides
standards -. whi!h to <udge the transgressor. &a!h law.er ust find within his own !ons!ien!e the
tou!hstone against whi!h to test the e(tent to whi!h his a!tions should rise a-o'e iniu
standards. "ut in the last anal.sis it is the desire for the res$e!t and !onfiden!e of the e-ers of his
$rofession and of the so!iet. whi!h he ser'es that should $ro'ide to a law.er the in!enti'e for the
highest $ossi-le degree of ethi!al !ondu!t. *he $ossi-le loss of that res$e!t and !onfiden!e is the
ultiate san!tion. #o long as its $ra!titioners are guided -. these $rin!i$les, the law will !ontinue to
-e a no-le $rofession. *his is its greatness and its strength, whi!h $erit of no !o$roise.
Preliminar Statement
=n furtheran!e of the $rin!i$les stated in the Prea-le, the Aeri!an "ar Asso!iation has
$roulgated this +odel %ode of Professional ,es$onsi-ilit., !onsisting of three se$arate -ut
interrelated $arts1 %anons, &thi!al %onsiderations, and Dis!i$linar. ,ules.
6
*he %ode is designed to
-e ado$ted -. a$$ro$riate agen!ies -oth as an ins$irational guide to the e-ers of the $rofession
and as a -asis for dis!i$linar. a!tion when the !ondu!t of a law.er falls -elow the required iniu
standards stated in the Dis!i$linar. ,ules.
O-'iousl. the %anons, &thi!al %onsiderations, and Dis!i$linar. ,ules !annot a$$l. to non?
law.ers4 howe'er, the. do define the t.$e of ethi!al !ondu!t that the $u-li! has a right to e($e!t not
onl. of law.ers -ut also of their non?$rofessional e$lo.ees and asso!iates in all atters $ertaining
to $rofessional e$lo.ent. A law.er should ultiatel. -e res$onsi-le for the !ondu!t of his
e$lo.ees and asso!iates in the !ourse of the $rofessional re$resentation of the !lient.
*he %anons are stateents of a(ioati! nors, e($ressing in general ters the standards of
$rofessional !ondu!t e($e!ted of law.ers in their relationshi$s with the $u-li!, with the legal s.ste,
and with the legal $rofession. *he. e-od. the general !on!e$ts fro whi!h the &thi!al
%onsiderations and the Dis!i$linar. ,ules are deri'ed.
*he &thi!al %onsiderations are as$irational in !hara!ter and re$resent the o-<e!ti'es toward whi!h
e'er. e-er of the $rofession should stri'e. *he. !onstitute a -od. of $rin!i$les u$on whi!h the
law.er !an rel. for guidan!e in an. s$e!ifi! situations.
/
*he Dis!i$linar. ,ules, unli)e the &thi!al %onsiderations, are andator. in !hara!ter. *he
Dis!i$linar. ,ules state the iniu le'el of !ondu!t -elow whi!h no law.er !an fall without -eing
su-<e!t to dis!i$linar. a!tion. >ithin the fraewor) of fair trial,
8
the Dis!i$linar. ,ules should -e
uniforl. a$$lied to all law.ers,
9
regardless of the nature of their $rofessional a!ti'ities.
10
*he +odel
%ode a)es no atte$t to $res!ri-e either dis!i$linar. $ro!edures or $enalties
11
for 'iolation of a
Dis!i$linar. ,ule,
15
nor does it underta)e to define standards for !i'il lia-ilit. of law.ers for
$rofessional !ondu!t. *he se'erit. of <udgent against one found guilt. of 'iolating a Dis!i$linar.
,ule should -e deterined -. the !hara!ter of the offense and the attendant !ir!ustan!es.
16
An
enfor!ing agen!., in a$$l.ing the Dis!i$linar. ,ules, a. find inter$reti'e guidan!e in the -asi!
$rin!i$les e-odied in the %anons and in the o-<e!ti'es refle!ted in the &thi!al %onsiderations.
NOTES
1. *he footnotes are intended erel. to ena-le the reader to relate the $ro'isions of this +odel %ode to the A"A %anons
of Professional &thi!s ado$ted in 1908, as aended, the O$inions of the A"A %oittee on Professional &thi!s, and a liited
nu-er of other sour!es4 the. are not intended to -e an annotation of the 'iews ta)en -. the A"A #$e!ial %oittee on
&'aluation of &thi!al #tandards. Footnotes !iting A"A %anons refer to the A"A %anons of Professional &thi!s, ado$ted in
1908, as aended.
5. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, Prea-le 219083
6. BC*Dhe law.er stands toda. in s$e!ial need of a !lear understanding of his o-ligations and of the 'ital !onne!tion
-etween these o-ligations and the role his $rofession $la.s in so!iet..E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint
Con+"#"nc", 44 A.".A.J. 11:9, 1160 219:83.
4. BAo general stateent of the res$onsi-ilities of the legal $rofession !an en!o$ass all the situations in whi!h the
law.er a. -e $la!ed. &a!h $osition held -. hi a)es its own $e!uliar deands. *hese deands the law.er ust !larif. for
hiself in the light of the $arti!ular role in whi!h he ser'es.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44
A.".A.J. 11:9, 1518 219:83.
:. B*he law and its institutions !hange as so!ial !onditions !hange. *he. ust !hange if the. are to $reser'e, u!h less
ad'an!e, the $oliti!al and so!ial 'alues fro whi!h the. deri'e their $ur$ose and their life. *his is true of the ost i$ortant
of legal institutions, the $rofession of law. *he $rofession, too, ust !hange when !onditions !hange in order to $reser'e and
ad'an!e the so!ial 'alues that are its reasons for -eing.E %heatha, A3aila0ilit% o+ L")al S"#3ic"2 Th" R"$oni0ilit% o+ th"
In!i3i!&al La1%"# an! th" O#)ani<"! Ba#. 15 @.%.L.A. L. ,&F. 468, 440 2196:3.
6. *he #u$ree %ourt of >is!onsin ado$ted a %ode of Judi!ial &thi!s in 196/. B*he !ode is di'ided into standards and
rules, the standards -eing stateents of what the general desira-le le'el of !ondu!t should -e, the rules -eing $arti!ular
!anons, the 'iolation of whi!h shall su-<e!t an indi'idual <udge to san!tions.E =n re Proulgation of a %ode of Judi!ial &thi!s,
66 >is. 5d 5:5, 5::, 1:6 A.>.5d 8/6, 8/4 2196/3.
*he $ortion of the >is!onsin %ode of Judi!ial &thi!s entitled B#tandardsE states that BCtDhe following standards set forth the
signifi!ant qualities of the ideal <udge . . . .E I!., 66 >is. 5d at 5:6, 1:6 A.>. 5d at 8/:. *he $ortion entitled B,ulesE states that
CtDhe !ourt $roulgates the following rules -e!ause the requireents of <udi!ial !ondu!t e-odied therein are of suffi!ient
gra'it. to warrant san!tions if the. are not o-e.ed . . . .E I!., 66 >is. 5d at 5:9, 1:6 A.>.5d at 8/6.
/. B@nder the !onditions of odern $ra!ti!e it is $e!uliarl. ne!essar. that the law.er should understand, not erel. the
esta-lished standards of $rofessional !ondu!t, -ut the reasons underl.ing these standards. *oda. the law.er $la.s a !hanging
and in!reasingl. 'aried role. =n an. de'elo$ing fields the $re!ise !ontri-ution of the legal $rofession is as .et undefined.E
P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9 219:83.
BA true sense of $rofessional res$onsi-ilit. ust deri'e fro an understanding of the reasons that lie -a!) of s$e!ifi!
restraints, su!h as those e-odied in the %anons. *he grounds for the law.er;s $e!uliar o-ligations are to -e found in the
nature of his !alling. *he law.er who see)s a !lear understanding of his duties will -e led to refle!t on the s$e!ial ser'i!es his
$rofession renders to so!iet. and the ser'i!es it ight render if its full !a$a!ities were reali7ed. >hen the law.er full.
understands the nature of his offi!e, he will then dis!ern what restraints are ne!essar. to )ee$ that offi!e wholesoe and
effe!ti'e.E I!.
8. BDis-arent, designed to $rote!t the $u-li!, is a $unishent or $enalt. i$osed on the law.er . . . . He is a!!ordingl.
entitled to $ro!edural due $ro!ess, whi!h in!ludes fair noti!e of !harge.E =n re ,uffalo, 690 @.#. :44, ::0, 50 L. &d.5d 11/,
155, 88#. %t. 1555, 1556 219683, #"h"a#in) !"ni"!, 691 @.#. 961, 50 L. &d. 5d 8/4, 88 #. %t. 1966219683.
BA #tate !annot e(!lude a $erson fro the $ra!ti!e of law or fro an. other o!!u$ation in a anner or for reasons that
!ontra'ene the Due Pro!ess or &qual Prote!tion %lause of the Fourteenth Aendent . . . . A #tate !an require high standards
of qualifi!ation . . . -ut an. qualifi!ation ust ha'e a rational !onne!tion with the a$$li!ant;s fitness or !a$a!it. to $ra!ti!e
law.E #!hware '. "d. of "ar &(ainers, 6:6 @.#. 565, 569, 1 L. &d. 5d /96, 801?05, // #. %t. /:5, /:6 219:/3.
BCADn a!!used law.er a. e($e!t that he will not -e !ondened out of a !a$ri!ious self?righteousness or denied the
essentials of a fair hearing.E Gingsland '. Dorse., 668 @.#. 618, 650, 94 L. &d. 156, 156, /0 #. %t. 156, 154?5: 219493.
B*he attorne. and !ounselor -eing, -. the solen <udi!ial a!t of the !ourt, !lothed with his offi!e, does not hold it as a
atter of gra!e and fa'or. *he right whi!h it !onfers u$on hi to a$$ear for suitors, and to argue !auses, is soething ore
than a ere indulgen!e, re'o!a-le at the $leasure of the !ourt or at the !oand of the legislature. =t is a right of whi!h he !an
onl. -e de$ri'ed -. the <udgent of the !ourt for oral or $rofessional delinquen!..E &( $arte 9arland, /1 @.#. 24 >all.3 666,
6/8?/9,18 L. &d. 666, 6/0 218663.
S"" )"n"#all% %oent, P#oc"!&#al D&" P#oc" an! Cha#act"# H"a#in) +o# Ba# A$$licant, 1: #*AA. L. ,&F. :00 219663
9. B*he !anons of $rofessional ethi!s ust -e enfor!ed -. the %ourts and ust -e res$e!ted -. e-ers of the "ar if we
are to aintain $u-li! !onfiden!e in the integrit. and i$artialit. of the adinistration of <usti!e.E =n re +ee)er, /6 A. +. 6:4,
6:/, 414 P.5d 865, 864 219663, a$$"al !i*i"! 68: @.#. 449 2196/3.
10. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 4: 219083.
11. BOther than ser'ing as a odel or deri'ati'e sour!e, the Aeri!an "ar Asso!iation +odel %ode of Professional
,es$onsi-ilit. $la.s no $art in the dis!i$linar. $ro!eeding, e(!e$t as a guide for !onsideration in ado$tion of lo!al a$$li!a-le
rules for the regulation of !ondu!t on the $art of legal $ra!titioners.E A"A %O++. OA P,OF&##=OAAL &*H=%#, =AFO,+AL OP=A=OA AO.
1450 219/83 Chereinafter ea!h Foral O$inion is !ited as BABA O$inionED. For the $ur$oses and intended effe!t of the
Aeri!an "ar Asso!iation +odel %ode of Professional ,es$onsi-ilit. and of the o$inions of the #tanding %oittee on
&thi!s and Professional ,es$onsi-ilit., see =nforal O$inion Ao. 1450.
B*here is generall. no $res!ri-ed dis!i$line for an. $arti!ular t.$e of i$ro$er !ondu!t. *he dis!i$linar. easures ta)en
are dis!retionar. with the !ourts, whi!h a. dis-ar, sus$end, or erel. !ensure the attorne. as the nature of the offense and
$ast indi!ia of !hara!ter a. warrant.E Aote, 46 %O,A&LL L.H. 489, 49: 219:83.
15. *he +odel %ode see)s onl. to s$e!if. !ondu!t for whi!h a law.er should -e dis!i$lined -. !ourts and go'ernental
agen!ies whi!h ha'e ado$ted it. ,e!oendations as to the $ro!edures to -e used in dis!i$linar. a!tions are within the
<urisdi!tion of the Aeri!an "ar Asso!iation #tanding %oittee on Professional Dis!i$line.
16. B*he se'erit. of the <udgent of this !ourt should -e in $ro$ortion to the gra'it. of the offenses, the oral tur$itude
in'ol'ed, and the e(tent that the defendant;s a!ts and !ondu!t affe!t his $rofessional qualifi!ations to $ra!ti!e law.E Louisiana
#tate "ar Ass;n '. #teiner, 504 La. 10/6, 1095?96, 16 #o. 5d 846, 8:0 219443 2Higgins, J., !on!urring in de!ree3.
B%ertainl. an erring law.er who has -een dis!i$lined and who ha'ing $aid the $enalt. has gi'en satisfa!tor. e'iden!e of
re$entan!e and has -een reha-ilitated and restored to his $la!e at the -ar -. the !ourt whi!h )nows hi -est ought not to ha'e
what aounts to an order of $eranent dis-arent entered against hi -. a federal !ourt solel. on the -asis of an earlier
!riinal re!ord and without regard to his su-sequent reha-ilitation and $resent good !hara!ter . . . . >e thin), therefore, that
the distri!t !ourt should re!onsider the a$$ellant;s a$$li!ation for adission and grant it unless the !ourt finds it to -e a fa!t
that the a$$ellant is not $resentl. of good oral or $rofessional !hara!ter.E =n re Dreier, 5:8 F.5d 68, 69?/0 26d %ir. 19:83.
CANON 1
A La!er S"o#l$ Assist in
Maintainin% t"e Inte%rit an$
Com&etence of t"e Le%al Profession
ET'ICAL CONSIDERATIONS
&% 1?1 A -asi! tenet of the $rofessional res$onsi-ilit. of law.ers is that e'er. $erson in our
so!iet. should ha'e read. a!!ess to the inde$endent $rofessional ser'i!es of a law.er of integrit. and
!o$eten!e. +aintaining the integrit. and i$ro'ing the !o$eten!e of the -ar to eet the highest
standards is the ethi!al res$onsi-ilit. of e'er. law.er.
EC 1() *he $u-li! should -e $rote!ted fro those who are not qualified to -e law.ers -. reason
of a defi!ien!. in edu!ation
1
or oral standards
5
or of other rele'ant fa!tors
6
-ut who ne'ertheless
see) to $ra!ti!e law. *o assure the aintenan!e of high oral and edu!ational standards of the legal
$rofession, law.ers should affirati'el. assist !ourts and other a$$ro$riate -odies in $roulgating,
enfor!ing, and i$ro'ing requireents for adission to the -ar.
4
=n li)e anner, the -ar has a $ositi'e
o-ligation to aid in the !ontinued i$ro'eent of all $hases of $re?adission and $ost?adission
legal edu!ation.
EC 1(* "efore re!oending an a$$li!ant for adission, a law.er should satisf. hiself that the
a$$li!ant is of good oral !hara!ter. Although a law.er should not -e!oe a self?a$$ointed
in'estigator or <udge of a$$li!ants for adission, he should re$ort to $ro$er offi!ials all unfa'ora-le
inforation he $ossesses relating to the !hara!ter or other qualifi!ations of an a$$li!ant.
:
EC 1(+ *he integrit. of the $rofession !an -e aintained onl. if !ondu!t of law.ers in 'iolation
of the Dis!i$linar. ,ules is -rought to the attention of the $ro$er offi!ials. A law.er should re'eal
'oluntaril. to those offi!ials all un$ri'ileged )nowledge of !ondu!t of law.ers whi!h he -elie'es
!learl. to -e in 'iolation of the Dis!i$linar. ,ules.
6
A law.er should, u$on request, ser'e on and
assist !oittees and -oards ha'ing res$onsi-ilit. for the adinistration of the Dis!i$linar. ,ules.
/
EC 1(, A law.er should aintain high standards of $rofessional !ondu!t and should en!ourage
fellow law.ers to do li)ewise. He should -e te$erate and dignified, and he should refrain fro all
illegal and orall. re$rehensi-le !ondu!t.
8
"e!ause of his $osition in so!iet., e'en inor 'iolations
of law -. a law.er a. tend to lessen $u-li! !onfiden!e in the legal $rofession. O-edien!e to law
e(e$lifies res$e!t for law. *o law.ers es$e!iall., res$e!t for the law should -e ore than a
$latitude.
EC 1(- An a$$li!ant for adission to the -ar or a law.er a. -e unqualified, te$oraril. or
$eranentl., for other than oral and edu!ational reasons, su!h as ental or eotional insta-ilit..
Law.ers should -e diligent in ta)ing ste$s to see that during a $eriod of disqualifi!ation su!h $erson
is not granted a li!ense or, if li!ensed, is not $eritted to $ra!ti!e.
9
=n li)e anner, when the
disqualifi!ation has terinated, e-ers of the -ar should assist su!h $erson in -eing li!ensed, or, if
li!ensed, in -eing restored to his full right to $ra!ti!e.
DISCIPLINARY R.LES
D, 1?101 ?+aintaining =ntegrit. and %o$eten!e of the Legal Profession.
2A3 ?A law.er is su-<e!t to dis!i$line if he has ade a ateriall. false stateent in, or if he has
deli-eratel. failed to dis!lose a aterial fa!t requested in !onne!tion with, his a$$li!ation for
adission to the -ar.
10
2"3 ?A law.er shall not further the a$$li!ation for adission to the -ar of another $erson )nown
-. hi to -e unqualified in res$e!t to !hara!ter, edu!ation, or other rele'ant attri-ute.
11
D, 1?105 ?+is!ondu!t.
2A3 ?A law.er shall not1
213 ?Fiolate a Dis!i$linar. ,ule.
253 ?%ir!u'ent a Dis!i$linar. ,ule through a!tions of another.
15
263 ?&ngage in illegal !ondu!t in'ol'ing oral tur$itude.
16
243 ?&ngage in !ondu!t in'ol'ing dishonest., fraud, de!eit, or isre$resentation.
2:3 ?&ngage in !ondu!t that is $re<udi!ial to the adinistration of <usti!e.
263 ?&ngage in an. other !ondu!t that ad'ersel. refle!ts on his fitness to $ra!ti!e law.
D, 1?106 ?Dis!losure of =nforation to Authorities.
2A3 ?A law.er $ossessing un$ri'ileged )nowledge of a 'iolation of D, 1?105 shall re$ort su!h
)nowledge to a tri-unal or other authorit. e$owered to in'estigate or a!t u$on su!h 'iolation.
2"3 ?A law.er $ossessing un$ri'ileged )nowledge or e'iden!e !on!erning another law.er or a
<udge shall re'eal full. su!h )nowledge or e'iden!e u$on $ro$er request of a tri-unal or other
authorit. e$owered to in'estigate or a!t u$on the !ondu!t of law.ers or <udges.
NOTES
1. BC>De !annot !on!lude that all edu!ational restri!tions Con -ar adissionD are unlawful. >e assue that few would
den. that a graar s!hool edu!ation requireent -efore ta)ing the -ar e(aination was reasona-le. Or that an a$$li!ant had
to -e a-le to read or write. On!e we !on!lude that o*" restri!tion is $ro$er, then it -e!oes a atter of degreeIthe $ro-le
of drawing the line.
. . . .
B>e !on!lude the fundaental question here is whether ,ule =F, #e!tion 6 of the ,ules $ertaining to Adission of
A$$li!ants to the #tate "ar of Ari7ona is Jar-itrar., !a$ri!ious and unreasona-le.; >e !on!lude an edu!ational requireent of
graduation fro an a!!redited law s!hool is not.E Ha!)in '. Lo!)wood, 661 F.5d 499, :06?429th %ir. 19663, c"#t. !"ni"!, 68:
@.#. 960, 1/ L. &d.5d 60:, 8/ #. %t. 696 219663.
5. B&'er. state in the @nited #tates, as a $rerequisite for adission to the $ra!ti!e of law, requires that a$$li!ants $ossess
Jgood oral !hara!ter.; Although the requireent is of <udi!ial origin, it is now e-odied in legislation in ost states.E
%oent, P#oc"!&#al D&" P#oc" an! Cha#act"# H"a#in) +o# Ba# A$$licant. 1: #*AA. L. ,&F. :00 219663.
B9ood !hara!ter in the e-er of the -ar is essential to the $reser'ation of the !ourts. *he dut. and $ower of the !ourt to
guard its $ortals against intrusion -. en and woen who are entall. and orall. dishonest, unfit -e!ause of -ad !hara!ter,
e'iden!ed -. their !ourse of !ondu!t, to $arti!i$ate in the adinistrati'e law, would see to -e unquestioned in the atter of
$reser'ation of <udi!ial dignit. and integrit..E =n re +onaghan, 156 Ft. :6, 555 A.5d 66:, 6/0 219663.
BFundaentall., the question in'ol'ed in -oth situations Ci.". adission and dis!i$linar. $ro!eedingsD is the saeIis the
a$$li!ant for adission or the attorne. sought to -e dis!i$lined a fit and $ro$er $erson to -e $eritted to $ra!ti!e law, and that
usuall. turns u$on whether he has !oitted or is li)el. to !ontinue to !oit a!ts of oral tur$itude. At the tie of oral
arguent the attorne. for res$ondent fran)l. !on!eded that the test for adission and for dis!i$line is and should -e the sae.
>e agree with this !on!ession.E Hallinan '. %o. of "ar &(ainers, 6: %al.5d 44/, 4:6, 451, P.5d /6, 81, :: %al.,$tr. 558,
566 219663.
6. BPro!eedings to gain adission to the -ar are for the $ur$ose of $rote!ting the $u-li! and the !ourts fro the
inistrations of $ersons unfit to $ra!ti!e the $rofession. Attorne.s are offi!ers of the !ourt a$$ointed to assist the !ourt in the
adinistration of <usti!e. =nto their hands are !oitted the $ro$ert., the li-ert. and soeties the li'es of their !lients. *his
!oitent deands a high degree of intelligen!e, )nowledge of the law, res$e!t for its fun!tion in so!iet., sound and faithful
<udgent and, a-o'e all else, integrit. of !hara!ter in $ri'ate and $rofessional !ondu!t.E =n re +onaghan, 156 Ft. :6, 555 A.5d
66:, 6/6 219663 2Holden, %.J., dissenting3.
4. BA -ar !o$osed of law.ers of good oral !hara!ter is o-<e!ti'e -ut it is unne!essar. to sa!rifi!e 'ital freedos in
order to o-tain that goal. lt is also i$ortant -oth to so!iet. and the -ar itself that law.ers -e unintiidatedIfree to thin),
s$ea), and a!t as e-ers of an =nde$endent "ar.E Gonigs-erg '. #tate "ar, 6:6 @.#. 5:5, 5/6, 1 L. &d. 5d 810, 85:, // #. %t.
/55, /66 219:/3.
:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 59 219083.
6. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 58 219083 designates !ertain !ondu!t as un$rofessional and then states
that1 BA dut. to the $u-li! and to the $rofession de'ol'es u$on e'er. e-er of the "ar ha'ing )nowledge of su!h $ra!ti!es
u$on the $art of an. $ra!titioner iediatel. to infor thereof, to the end that the offender a. -e dis-arred.E A"A %AAOA 59
states a -roader adonition1 BLaw.ers should e($ose without fear or fa'or -efore the $ro$er tri-unals !orru$t or dishonest
!ondu!t in the $rofession.E
/. B=t is the o-ligation of the organi7ed "ar and the indi'idual law.er to gi'e unstinted !oo$eration and assistan!e to the
highest !ourt of the state in dis!harging its fun!tion and dut. with res$e!t to dis!i$line and in $urging the $rofession of the
unworth..E R"$o#t o+ th" S$"cial Co**itt"" on Dici$lina#% P#oc"!&#", 80 A.".A. ,&P. 466, 4/0 219::3.
8. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 65 219083.
9. B>e de!line, on the $resent re!ord, to dis-ar +r. #heran or to re$riand hi I not -e!ause we !ondone his a!tions,
-ut -e!ause, as heretofore indi!ated, we are !on!erned with whether he is entall. res$onsi-le for what he has done.
B*he logi! of the situation would see to di!tate the !on!lusion that, if he was entall. res$onsi-le for the !ondu!t we
ha'e outlined, he should -e dis-arred4 and, if he was not entall. res$onsi-le, he should not -e $eritted to $ra!ti!e law.
BHowe'er, the flaw in the logi! is that he a. ha'e -een entall. irres$onsi-le Cat the tie of his offensi'e !ondu!tD . . . ,
and, .et, ha'e suffi!ientl. i$ro'ed in the alost two and one?half .ears inter'ening to -e a-le to !a$a-l. and !o$etentl.
re$resent his !lients.
. . . .
B>e would a)e !lear that we are satisfied that a !ase has -een ade against +r. #heran, warranting a refusal to $erit
hi to further $ra!ti!e law in this state unless he !an esta-lish his ental irres$onsi-ilit. at the tie of the offenses !harged.
*he -urden of $roof is u$on hi.
B=f he esta-lishes su!h ental irres$onsi-ilit., the -urden is then u$on hi to esta-lish his $resent !a$a-ilit. to $ra!ti!e
law.E =n re #heran, :8 >ash. 5d 1, 6?/, 6:4 P.5d 888, 890 219603, c"#t. !"ni"!, 6/1 @.#. 9:1, 9 L. &d. 5d 499, 86 #. %t. :06
219663.
10. B*his %ourt has the inherent $ower to re'o)e a li!ense to $ra!ti!e law in this #tate, where su!h li!ense was issued -.
this %ourt, and its issuan!e was $ro!ured -. the fraudulent !on!ealent, or -. the false and fraudulent re$resentation -. the
a$$li!ant of a fa!t whi!h was anifestl. aterial to the issuan!e of the li!ense.E Aorth %arolina "A #"l. Attorne. 9eneral '.
9orson, 509 A.%. 650, 656, 186 #.&. 695, 69: 219663, c"#t. !"ni"!, 598 @.#. 665, 80 L.&d. 168/, :6 #. %t. /:5 219663.
11. #ee A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 59 219083.
15. =n ABA O$inion 9: 219663, whi!h held that a uni!i$al attorne. !ould not $erit $oli!e offi!ers to inter'iew $ersons
with !lais against the uni!i$alit. when the attorne. )new the !laiants to -e re$resented -. !ounsel, the %oittee on
Professional &thi!s said1
B*he law offi!er is, of !ourse, res$onsi-le for the a!ts of those in his de$artent who are under his su$er'ision and !ontrol.
O$inion 8:. In #" Ro0inon, 166 A.K.#. :48 2affired 509 A.K. 6:4?19153 held that it was a atter of dis-arent for an
attorne. to ado$t a general !ourse of a$$ro'ing the unethi!al !ondu!t of e$lo.ees of his !lient, e'en though he did not
a!ti'el. $arti!i$ate therein.
B J. . . *he attorne. should not ad'ise or san!tion a!ts -. his !lient whi!h he hiself should not do.; O$inion /:.E
16. B*he ost o-'ious non?$rofessional ground for dis-arent is !on'i!tion for a felon.. +ost states a)e !on'i!tion for
a felon. grounds for autoati! dis-arent. #oe of these states, in!luding Aew Kor), a)e dis-arent andator. u$on
!on'i!tion for an% felon., while others require dis-arent onl. for those felonies whi!h in'ol'e oral tur$itude. *here are
strong arguents that soe felonies, su!h as in'oluntar. anslaughter, refle!t neither on an attorne.;s fitness, trustworthiness,
nor !o$eten!e and, therefore, should not -e grounds for dis-arent -ut ost states tend to disregard these arguents and,
following the !oon law rule, a)e dis-arent andator. on !on'i!tion for an. felon..E Aote, 46 %O,A&LL L.H. 489, 490
219:83.
B#oe states treat !on'i!tion for isdeeanors as grounds for autoati! dis-arent . . . . Howe'er, the 'ast a<orit.,
a!!e$ting the !oon law rule, require that the isdeeanor in'ol'e oral tur$itude. >hile the definition of oral tur$itude
a. $ro'e diffi!ult, it sees onl. $ro$er that those inor offenses whi!h do not affe!t the attorne.;s fitness to !ontinue in the
$rofession should not -e grounds for dis-arent. A good e(a$le is an assault and -atter. !on'i!tion whi!h would not in'ol'e
oral tur$itude unless done with ali!e and deli-eration.E I!. at 491.
B*he ter Joral tur$itude; has -een used in the law for !enturies. =t has -een the su-<e!t of an. de!isions -. the !ourts
-ut has ne'er -een !learl. defined -e!ause of the nature of the ter. Perha$s the -est general definition of the ter Joral
tur$itude; is that it i$arts an a!t of -aseness, 'ileness or de$ra'it. in the duties whi!h one $erson owes to another or to
so!iet. in general, whi!h is !ontrar. to the usual, a!!e$ted and !ustoar. rule of right and dut. whi!h a $erson should follow.
:8 %.J.#. at $age 1501. Although offenses against re'enue laws ha'e -een held to -e !ries of oral tur$itude, it has also -een
held that the atte$t to e'ade the $a.ent of ta(es due to the go'ernent or an. su-di'ision thereof, while wrong and
unlawful, does not in'ol'e oral tur$itude. :8 %.J.#. at $age 150:.E %o. on Legal &thi!s '. #!heer, 149 >. Fa. /51, /56?
5/, 146 #.&.5d 141, 14: 2196:3.
B*he right and $ower to dis!i$line an attorne., as one of its offi!ers, is inherent in the !ourt . . . . *his $ower is not liited
to those instan!es of is!ondu!t wherein he has -een e$lo.ed, or has a!ted, in a $rofessional !a$a!it.4 -ut, on the !ontrar.,
this $ower a. -e e(er!ised where his is!ondu!t outside the s!o$e of his $rofessional relations shows hi to -e an unfit
$erson to $ra!ti!e law.E =n re >ilson, 691 #.>.5d 914, 91/?18 2+o. 196:3.
14. B=t is a fair !hara!teri7ation of the law.er;s res$onsi-ilit. in our so!iet. that he stands Jas a shield,; to quote De'lin, J.,
in defense of right and to ward off wrong. Fro a $rofession !harged with these res$onsi-ilities there ust -e e(a!ted those
qualities of truth?s$ea)ing, of a high sense of honor, of granite dis!retion, of the stri!test o-ser'an!e of fidu!iar. res$onsi-ilit.,
that ha'e, throughout the !enturies, -een !o$endiousl. des!ri-ed as Joral !hara!ter.;E #!hware '. "d. of "ar &(ainers,
6:6 @.#. 565, 54/, 1 L. &d. 5d /96, 806, // #. %t. /:5, /61 219:/3 2Fran)furter, J., conc&##in)3.
BParti!ularl. a$$li!a-le here is ,ule 4.4/ $ro'iding that JA law.er should alwa.s aintain his integrit.4 and shall not
willfull. !oit an. a!t against the interest of the $u-li!4 nor shall he 'iolate his dut. to the !ourts or his !lients4 no# hall h"4
0% an% *icon!&ct4 co**it an% o++"n" a)aint th" la1 o+ Mio&#i o# th" Unit"! Stat" o+ A*"#ica4 1hich a*o&nt to a
c#i*" in3ol3in) act !on" 0% hi* cont#a#% to @&tic"4 hon"t%4 *o!"t% o# )oo! *o#al4 nor shall he -e guilt. of an. other
is!ondu!t where-., for the $rote!tion of the $u-li! and those !harged with the adinistration of <usti!e, he should no longer
-e entrusted with the duties and res$onsi-ilities -elonging to the offi!e of an attorne..;E =n re >ilson, 691 #.>.5d 914, 91/
2+o. 196:3.
1:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 59 2190834 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 58 219083.
16. %f. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 58 and 59 219083.
CANON )
A La!er S"o#l$ Assist t"e
Le%al Profession in F#lfillin%
Its D#t to Ma/e Le%al Co#nsel A0ailable
ET'ICAL CONSIDERATIONS
&% 5?1 *he need of e-ers of the $u-li! for legal ser'i!es
1
is et onl. if the. re!ogni7e their
legal $ro-les, a$$re!iate the i$ortan!e of see)ing assistan!e,
5
and are a-le to o-tain the ser'i!es of
a!!e$ta-le legal !ounsel.
6
Hen!e, i$ortant fun!tions of the legal $rofession are to edu!ate la.en to
re!ogni7e their $ro-les, to fa!ilitate the $ro!ess of intelligent sele!tion of law.ers, and to assist in
a)ing legal ser'i!es full. a'aila-le.
4
Recognition of +egal Problems
EC )() *he legal $rofession should assist la.$ersons to re!ogni7e legal $ro-les -e!ause su!h
$ro-les a. not -e self?re'ealing and often are not tiel. noti!ed. *herefore, law.ers should
en!ourage and $arti!i$ate in edu!ational and $u-li! relations $rogras !on!erning our legal s.ste
with $arti!ular referen!e to legal $ro-les that frequentl. arise. Pre$aration of ad'ertiseents and
$rofessional arti!les for la. $u-li!ations
:
and $arti!i$ation in seinars, le!tures, and !i'i! $rogras
should -e oti'ated -. a desire to edu!ate the $u-li! to an awareness of legal needs and to $ro'ide
inforation rele'ant to the sele!tion of the ost a$$ro$riate !ounsel rather than to o-tain $u-li!it.
for $arti!ular law.ers. *he $ro-les of ad'ertising on tele'ision require s$e!ial !onsideration, due to
the st.le, !ost, and transitor. nature of su!h edia. =f the interests of la.$ersons in re!ei'ing rele'ant
law.er ad'ertising are not adequatel. ser'ed -. $rint edia and radio ad'ertising, and if adequate
safeguards to $rote!t the $u-li! !an reasona-l. -e forulated, tele'ision ad'ertising a. ser'e a
$u-li! interest.
EC )(* >hether a law.er a!ts $ro$erl. in 'olunteering in?$erson ad'i!e to a la.$erson to see)
legal ser'i!es de$ends u$on the !ir!ustan!es.
6
*he gi'ing of ad'i!e that one should ta)e legal a!tion
!ould well -e in fulfillent of the dut. of the legal $rofession to assist la.$ersons in re!ogni7ing
legal $ro-les.
/
*he ad'i!e is $ro$er onl. if oti'ated -. a desire to $rote!t one who does not
re!ogni7e that he a. ha'e legal $ro-les or who is ignorant of his legal rights or o-ligations. =t is
i$ro$er if oti'ated -. a desire to o-tain $ersonal -enefit, se!ure $ersonal $u-li!it., or !ause legal
a!tion to -e ta)en erel. to harass or in<ure another. A law.er should not initiate an in?$erson !onta!t
with a non?!lient, $ersonall. or through a re$resentati'e, for the $ur$ose of -eing retained to
re$resent hi for !o$ensation.
EC )(+ #in!e oti'ation is su-<e!ti'e and often diffi!ult to <udge, the oti'es of a law.er who
'olunteers in?$erson ad'i!e li)el. to $rodu!e legal !ontro'ers. a. well -e sus$e!t if he re!ei'es
$rofessional e$lo.ent or other -enefits as a result.
8
A law.er who 'olunteers in?$erson ad'i!e that
one should o-tain the ser'i!es of a law.er generall. should not hiself a!!e$t e$lo.ent,
!o$ensation, or other -enefit in !onne!tion with that atter. Howe'er, it is not i$ro$er for a
law.er to 'olunteer su!h ad'i!e and render resulting legal ser'i!es to !lose friends, relati'es, forer
!lients 2in regard to atters gerane to forer e$lo.ent3, and regular !lients.
9
EC )(, A law.er who writes or s$ea)s for the $ur$ose of edu!ating e-ers of the $u-li! to
re!ogni7e their legal $ro-les should !arefull. refrain fro gi'ing or a$$earing to gi'e a general
solution a$$li!a-le to all a$$arentl. siilar indi'idual $ro-les,
10
sin!e slight !hanges in fa!t
situations a. require a aterial 'arian!e in the a$$li!a-le ad'i!e4 otherwise, the $u-li! a. -e
isled and isad'ised. *al)s and writings -. law.ers for la.en should !aution the not to atte$t
to sol'e indi'idual $ro-les u$on the -asis of the inforation !ontained therein.
11
,election of a +awyer
EC )(- Forerl. a $otential !lient usuall. )new the re$utations of lo!al law.ers for !o$eten!.
and integrit. and therefore !ould sele!t a $ra!titioner in who he had !onfiden!e. *his traditional
sele!tion $ro!ess wor)ed well -e!ause it was initiated -. the !lient and the !hoi!e was an infored
one.
EC )(1 %hanged !onditions, howe'er, ha'e seriousl. restri!ted the effe!ti'eness of the traditional
sele!tion $ro!ess. Often the re$utations of law.ers are not suffi!ientl. )nown to ena-le la.en to
a)e intelligent !hoi!es.
15
*he law has -e!oe in!reasingl. !o$le( and s$e!iali7ed. Few law.ers
are willing and !o$etent to deal with e'er. )ind of legal atter, and an. la.en ha'e diffi!ult. in
deterining the !o$eten!e of law.ers to render different t.$es of legal ser'i!es. *he sele!tion of
legal !ounsel is $arti!ularl. diffi!ult for transients, $ersons o'ing into new areas, $ersons of liited
edu!ation or eans, and others who ha'e little or no !onta!t with law.ers.
16
La!) of inforation
a-out the a'aila-ilit. of law.ers, the qualifi!ations of $arti!ular law.ers, and the e($ense of legal
re$resentation leads la.$ersons to a'oid see)ing legal ad'i!e.
EC )(2 #ele!tion of a law.er -. a la.$erson should -e ade on an infored -asis. Ad'i!e and
re!oendation of third $artiesIrelati'es, friends, a!quaintan!es, -usiness asso!iates, or other
law.ersIand dis!losure of rele'ant inforation a-out the law.er and his $ra!ti!e a. -e hel$ful. A
la.$erson is -est ser'ed if the re!oendation is disinterested and infored. =n order that the
re!oendation -e disinterested, a law.er should not see) to influen!e another to re!oend his
e$lo.ent. A law.er should not !o$ensate another $erson for re!oending hi, for influen!ing
a $ros$e!ti'e !lient to e$lo. hi, or to en!ourage future re!oendations.
14
Ad'ertiseents and
$u-li! !ouni!ations, whether in law lists, tele$hone dire!tories, news$a$ers, other fors of $rint
edia, tele'ision or radio, should -e forulated to !on'e. onl. inforation that is ne!essar. to a)e
an a$$ro$riate sele!tion. #u!h inforation in!ludes1 213 offi!e inforation, su!h as nae, in!luding
nae of law fir and naes of $rofessional asso!iates4 addresses4 tele$hone nu-ers4 !redit !ard
a!!e$ta-ilit.4 fluen!. in foreign languages4 and offi!e hours4 253 rele'ant -iogra$hi!al inforation4
263 des!ri$tion of the $ra!ti!e, -ut onl. -. using designations and definitions authori7ed -. Cthe
agen!. ha'ing <urisdi!tion of the su-<e!t under state lawD, for e(a$le, one or ore fields of law in
whi!h the law.er or law fir $ra!ti!es4 a stateent that $ra!ti!e is liited to one or ore fields of
law4 andLor a stateent that the law.er or law fir s$e!iali7es in a $arti!ular field of law $ra!ti!e, -ut
onl. -. using designations, definitions and standards authori7ed -. Cthe agen!. ha'ing <urisdi!tion of
the su-<e!t under state lawD4 and 243 $eritted fee inforation. #elf?laudation should -e a'oided.
1:
,election of a +awyer- +awyer Ad.ertising
EC )(3 *he la!) of so$histi!ation on the $art of an. e-ers of the $u-li! !on!erning legal
ser'i!es, the i$ortan!e of the interests affe!ted -. the !hoi!e of a law.er and $rior e($erien!e with
unrestri!ted law.er ad'ertising, require that s$e!ial !are -e ta)en -. law.ers to a'oid isleading the
$u-li! and to assure that the inforation set forth in an. ad'ertising is rele'ant to the sele!tion of a
law.er. *he law.er ust -e indful that the -enefits of law.er ad'ertising de$end u$on its relia-ilit.
and a!!ura!.. &(a$les of inforation in law.er ad'ertising that would -e de!e$ti'e in!lude
isstateents of fa!t, suggestions that the ingenuit. or $rior re!ord of a law.er rather than the <usti!e
of the !lai are the $rin!i$al fa!tors li)el. to deterine the result, in!lusion of inforation irrele'ant
to sele!ting a law.er, and re$resentations !on!erning the qualit. of ser'i!e, whi!h !annot -e
easured or 'erified. #in!e law.er ad'ertising is !al!ulated and not s$ontaneous, reasona-le
regulation of law.er ad'ertising designed to foster !o$lian!e with a$$ro$riate standards ser'es the
$u-li! interest without i$eding the flow of useful, eaningful, and rele'ant inforation to the
$u-li!.
EC )(14 A law.er should ensure that the inforation !ontained in an. ad'ertising whi!h the
law.er $u-lishes, -road!asts or !auses to -e $u-lished or -road!ast is rele'ant, is disseinated in an
o-<e!ti'e and understanda-le fashion, and would fa!ilitate the $ros$e!ti'e !lient;s a-ilit. to !o$are
the qualifi!ations of the law.ers a'aila-le to re$resent hi. A law.er should stri'e to !ouni!ate
su!h inforation without undue e$hasis u$on st.le and ad'ertising stratages whi!h ser'e to
hinder rather than to fa!ilitate intelligent sele!tion of !ounsel. "e!ause te!hnologi!al !hange is a
re!urrent feature of !ouni!ations fors, and -e!ause $er!e$tions of what is rele'ant in law.er
sele!tion a. !hange, law.er ad'ertising regulations should not -e !ast in rigid, un!hangea-le ters.
+a!hiner. is therefore a'aila-le to ad'ertisers and !onsuers for $ro$t !onsideration of $ro$osals
to !hange the rules go'erning law.er ad'ertising. *he deterination of an. request for su!h !hange
should de$end u$on whether the $ro$osal is ne!essar. in light of e(isting %ode $ro'isions, whether
the $ro$osal a!!ords with standards of a!!ura!., relia-ilit. and truthfulness, and whether the $ro$osal
would fa!ilitate infored sele!tion of law.ers -. $otential !onsuers of legal ser'i!es.
,e$resentati'es of law.ers and !onsuers should -e heard in addition to the a$$li!ant !on!erning
an. $ro$osed !hange. An. !hange whi!h is a$$ro'ed should -e $roulgated in the for of an
aendent to the %ode so that all law.ers $ra!ti!ing in the <urisdi!tion a. a'ail thesel'es of its
$ro'isions.
EC )(11 *he nae under whi!h a law.er !ondu!ts his $ra!ti!e a. -e a fa!tor in the sele!tion
$ro!ess.
16
*he use of a trade nae or an assued nae !ould islead la.en !on!erning the identit.,
res$onsi-ilit., and status of those $ra!ti!ing thereunder.
1/
A!!ordingl., a law.er in $ri'ate $ra!ti!e
should $ra!ti!e onl. under his own nae, the nae of a law.er e$lo.ing hi, a designation
!ontaining the nae of one or ore of the law.ers $ra!ti!ing in a $artnershi$, or, if $eritted -. law,
the nae of a $rofessional legal !or$oration, whi!h should -e !learl. designated as su!h. For an.
.ears soe law firs ha'e used a fir nae retaining one or ore naes of de!eased or retired
$artners and su!h $ra!ti!e is not i$ro$er if the fir is a -ona fide su!!essor of a fir in whi!h the
de!eased or retired $erson was a e-er, if the use of the nae is authori7ed -. law or -. !ontra!t,
and if the $u-li! is not isled there-..
18
Howe'er, the nae of a $artner who withdraws fro a fir
-ut !ontinues to $ra!ti!e law should -e oitted fro the fir nae in order to a'oid isleading the
$u-li!.
EC )(1) A law.er o!!u$.ing a <udi!ial, legislati'e, or $u-li! e(e!uti'e or adinistrati'e $osition
who has the right to $ra!ti!e law !on!urrentl. a. allow his nae to reain in the nae of the fir
if he a!ti'el. !ontinues to $ra!ti!e law as a e-er thereof. Otherwise, his nae should -e reo'ed
fro the fir nae,
19
and he should not -e identified as a $ast or $resent e-er of the fir4 and he
should not hold hiself out as -eing a $ra!ti!ing law.er.
EC )(1* =n order to a'oid the $ossi-ilit. of isleading $ersons with who he deals, a law.er
should -e s!ru$ulous in the re$resentation of his $rofessional status.
50
He should not hold hiself out
as -eing a $artner or asso!iate of a law fir if he is not one in fa!t,
51
and thus should not hold hiself
out as a $artner or asso!iate if he onl. shares offi!es with another law.er.
55
EC )(1+ =n soe instan!es a law.er !onfines his $ra!ti!e to a $arti!ular field of law.
56
=n the
a-sen!e of state !ontrols to insure the e(isten!e of s$e!ial !o$eten!e, a law.er should not -e
$eritted to hold hiself out as a s$e!ialist or as ha'ing offi!ial re!ognition as a s$e!ialist, other than
in the fields of adiralt., tradear), and $atent law where a holding out as a s$e!ialist histori!all.
has -een $eritted. A law.er a., howe'er, indi!ate in $eritted ad'ertising, if it is fa!tual, a
liitation of his $ra!ti!e or one or ore $arti!ular areas or fields of law in whi!h he $ra!ti!es using
designations and definitions authori7ed for that $ur$ose -. Cthe state agen!. ha'ing <urisdi!tionD. A
law.er $ra!ti!ing in a <urisdi!tion whi!h !ertifies s$e!ialists ust also -e !areful not to !onfuse
la.$ersons as to his status. =f a law.er dis!loses areas of law in whi!h he $ra!ti!es or to whi!h he
liits his $ra!ti!e, -ut is not !ertified in Cthe <urisdi!tionD, he, and the designation authori7ed in Cthe
<urisdi!tionD, should a'oid an. i$li!ation that he is in fa!t !ertified.
EC )(1, *he legal $rofession has de'elo$ed law.er referral s.stes designed to aid indi'iduals
who are a-le to $a. fees -ut need assistan!e in lo!ating law.ers !o$etent to handle their $arti!ular
$ro-les. @se of a law.er referral s.ste ena-les a la.an to a'oid an uninfored sele!tion of a
law.er -e!ause su!h a s.ste a)es $ossi-le the e$lo.ent of !o$etent law.ers who ha'e
indi!ated an interest in the su-<e!t atter in'ol'ed. Law.ers should su$$ort the $rin!i$le of law.er
referral s.stes and should en!ourage the e'olution of other ethi!al $lans whi!h aid in the sele!tion
of qualified !ounsel.
$inancial Ability to /mploy Counsel- 0enerally
EC )(1- *he legal $rofession !annot reain a 'ia-le for!e in fulfilling its role in our so!iet. unless
its e-ers re!ei'e adequate !o$ensation for ser'i!es rendered, and reasona-le fees
54
should -e
!harged in a$$ro$riate !ases to !lients a-le to $a. the. Ae'ertheless, $ersons una-le to $a. all or a
$ortion of a reasona-le fee should -e a-le to o-tain ne!essar. legal ser'i!es,
5:
and law.ers should
su$$ort and $arti!i$ate in ethi!al a!ti'ities designed to a!hie'e that o-<e!ti'e.
56
$inancial Ability to /mploy Counsel- Persons Able to Pay Reasonable $ees
EC )(11 *he deterination of a $ro$er fee requires !onsideration of the interests of -oth !lient and
law.er.
5/
A law.er should not !harge ore than a reasona-le fee,
58
for e(!essi'e !ost of legal ser'i!e
would deter la.en fro utili7ing the legal s.ste in $rote!tion of their rights. Furtherore, an
e(!essi'e !harge a-uses the $rofessional relationshi$ -etween law.er and !lient. On the other hand,
adequate !o$ensation is ne!essar. in order to ena-le the law.er to ser'e his !lient effe!ti'el. and to
$reser'e the integrit. and inde$enden!e of the $rofession.
59
EC )(12 *he deterination of the reasona-leness of a fee requires !onsideration of all rele'ant
!ir!ustan!es,
60
in!luding those stated in the Dis!i$linar. ,ules. *he fees of a law.er will 'ar.
a!!ording to an. fa!tors, in!luding the tie required, his e($erien!e, a-ilit., and re$utation, the
nature of the e$lo.ent, the res$onsi-ilit. in'ol'ed, and the results o-tained. =t is a !oenda-le
and long?standing tradition of the -ar that s$e!ial !onsideration is gi'en in the fi(ing of an. fee for
ser'i!es rendered a -rother law.er or a e-er of his iediate fail..
EC )(13 As soon as feasi-le after a law.er has -een e$lo.ed, it is desira-le that he rea!h a !lear
agreeent with his !lient as to the -asis of the fee !harges to -e ade. #u!h a !ourse will not onl.
$re'ent later isunderstanding -ut will also wor) for good relations -etween the law.er and the
!lient. =t is usuall. -enefi!ial to redu!e to writing the understanding of the $arties regarding the fee,
$arti!ularl. when it is !ontingent. A law.er should -e indful that an. $ersons who desire to
e$lo. hi a. ha'e had little or no e($erien!e with fee !harges of law.ers, and for this reason he
should e($lain full. to su!h $ersons the reasons for the $arti!ular fee arrangeent he $ro$oses.
EC )()4 %ontingent fee arrangeents
61
in !i'il !ases ha'e long -een !oonl. a!!e$ted in the
@nited #tates in $ro!eedings to enfor!e !lais. *he histori!al -ases of their a!!e$tan!e are that 213
the. often, and in a 'ariet. of !ir!ustan!es, $ro'ide the onl. $ra!ti!al eans -. whi!h one ha'ing a
!lai against another !an e!onoi!all. afford, finan!e, and o-tain the ser'i!es of a !o$etent law.er
to $rose!ute his !lai, and 253 a su!!essful $rose!ution of the !lai $rodu!es a #" out of whi!h the
fee !an -e $aid.
65
Although a law.er generall. should de!line to a!!e$t e$lo.ent on a !ontingent
fee -asis -. one who is a-le to $a. a reasona-le fi(ed fee, it is not ne!essaril. i$ro$er for a law.er,
where <ustified -. the $arti!ular !ir!ustan!es of a !ase, to enter into a !ontingent fee !ontra!t in a
!i'il !ase with an. !lient who, after -eing full. infored of all rele'ant fa!tors, desires that
arrangeent. "e!ause of the huan relationshi$s in'ol'ed and the unique !hara!ter of the
$ro!eedings, !ontingent fee arrangeents in doesti! relation !ases are rarel. <ustified. =n
adinistrati'e agen!. $ro!eedings !ontingent fee !ontra!ts should -e go'erned -. the sae
!onsideration as in other !i'il !ases. Pu-li! $oli!. $ro$erl. !ondens !ontingent fee arrangeents in
!riinal !ases, largel. on the ground that legal ser'i!es in !riinal !ases do not $rodu!e a #" with
whi!h to $a. the fee.
EC )()1 A law.er should not a!!e$t !o$ensation or an. thing of 'alue in!ident to his
e$lo.ent or ser'i!es fro one other than his !lient without the )nowledge and !onsent of his
!lient after full dis!losure.
66
EC )()) >ithout the !onsent of his !lient, a law.er should not asso!iate in a $arti!ular atter
another law.er outside his fir. A fee a. $ro$erl. -e di'ided -etween law.ers
64
$ro$erl. asso!iated
if the di'ision is in $ro$ortion to the ser'i!es $erfored and the res$onsi-ilit. assued -. ea!h
law.er
6:
and if the total fee is reasona-le.
EC )()* A law.er should -e 7ealous in his efforts to a'oid !ontro'ersies o'er fees with !lients
66
and should atte$t to resol'e ai!a-l. an. differen!es on the su-<e!t.
6/
He should not sue a !lient for
a fee unless ne!essar. to $re'ent fraud or gross i$osition -. the !lient.
68
$inancial Ability to /mploy Counsel- Persons 1nable to Pay Reasonable $ees
EC )()+ A la.an whose finan!ial a-ilit. is not suffi!ient to $erit $a.ent of an. fee !annot
o-tain legal ser'i!es, other than in !ases where a !ontingent fee is a$$ro$riate, unless the ser'i!es are
$ro'ided for hi. &'en a $erson of oderate eans a. -e una-le to $a. a reasona-le fee whi!h is
large -e!ause of the !o$le(it., no'elt., or diffi!ult. of the $ro-le or siilar fa!tors.
69
EC )(), Histori!all., the need for legal ser'i!es of those una-le to $a. reasona-le fees has -een
et in $art -. law.ers who donated their ser'i!es or a!!e$ted !ourt a$$ointents on -ehalf of su!h
indi'iduals. *he -asi! res$onsi-ilit. for $ro'iding legal ser'i!es for those una-le to $a. ultiatel.
rests u$on the indi'idual law.er, and $ersonal in'ol'eent in the $ro-les of the disad'antaged !an
-e one of the ost rewarding e($erien!es in the life of a law.er. &'er. law.er, regardless of
$rofessional $roinen!e or $rofessional wor)load, should find tie to $arti!i$ate in ser'ing the
disad'antaged. *he rendition of free legal ser'i!es to those una-le to $a. reasona-le fees !ontinues to
-e an o-ligation of ea!h law.er, -ut the efforts of indi'idual law.ers are often not enough to eet the
need.
40
*hus it has -een ne!essar. for the $rofession to institute additional $rogras to $ro'ide legal
ser'i!es.
41
A!!ordingl., legal aid offi!es,
45
law.er referral ser'i!es, and other related $rogras ha'e
-een de'elo$ed, and others will -e de'elo$ed, -. the $rofession.
46
&'er. law.er should su$$ort all
$ro$er efforts to eet this need for legal ser'i!es.
44
Acceptance and Retention of /mployment
EC )()- A law.er is under no o-ligation to a!t as ad'iser or ad'o!ate for e'er. $erson who a.
wish to -e!oe his !lient4 -ut in furtheran!e of the o-<e!ti'e of the -ar to a)e legal ser'i!es full.
a'aila-le, a law.er should not lightl. de!line $roffered e$lo.ent. *he fulfillent of this o-<e!ti'e
requires a!!e$tan!e -. a law.er of his share of tendered e$lo.ent whi!h a. -e unattra!ti'e -oth
to hi and the -ar generall..
4:
EC )()1 Histor. is re$lete with instan!es of distinguished and sa!rifi!ial ser'i!es -. law.ers who
ha'e re$resented un$o$ular !lients and !auses. ,egardless of his $ersonal feelings, a law.er should
not de!line re$resentation -e!ause a !lient or a !ause is un$o$ular or !ounit. rea!tion is ad'erse.
46
EC )()2 *he $ersonal $referen!e of a law.er to a'oid ad'ersar. alignent against <udges, other
law.ers,
4/
$u-li! offi!ials, or influential e-ers of the !ounit. does not <ustif. his re<e!tion of
tendered e$lo.ent.
EC )()3 >hen a law.er is a$$ointed -. a !ourt or requested -. a -ar asso!iation to underta)e
re$resentation of a $erson una-le to o-tain !ounsel, whether for finan!ial or other reasons, he should
not see) to -e e(!used fro underta)ing the re$resentation e(!e$t for !o$elling reasons.
48
%o$elling reasons do not in!lude su!h fa!tors as the re$ugnan!e of the su-<e!t atter of the
$ro!eeding, the identit.
49
or $osition of a $erson in'ol'ed in the !ase, the -elief of the law.er that the
defendant in a !riinal $ro!eeding is guilt.,
:0
or the -elief of the law.er regarding the erits of the
!i'il !ase.
:1
EC )(*4 &$lo.ent should not -e a!!e$ted -. a law.er when he is una-le to render !o$etent
ser'i!e
:5
or when he )nows or it is o-'ious that the $erson see)ing to e$lo. hi desires to institute
or aintain an a!tion erel. for the $ur$ose of harassing or ali!iousl. in<uring another.
:6
Li)ewise,
a law.er should de!line e$lo.ent if the intensit. of his $ersonal feeling, as distinguished fro a
!ounit. attitude, a. i$air his effe!ti'e re$resentation of a $ros$e!ti'e !lient. =f a law.er )nows
a !lient has $re'iousl. o-tained !ounsel, he should not a!!e$t e$lo.ent in the atter unless the
other !ounsel a$$ro'es
:4
or withdraws, or the !lient terinates the $rior e$lo.ent.
::
EC )(*1 Full a'aila-ilit. of legal !ounsel requires -oth that $ersons -e a-le to o-tain !ounsel and
that law.ers who underta)e re$resentation !o$lete the wor) in'ol'ed. *rial !ounsel for a !on'i!ted
defendant should !ontinue to re$resent his !lient -. ad'ising whether to ta)e an a$$eal and, if the
a$$eal is $rose!uted, -. re$resenting hi through the a$$eal unless new !ounsel is su-stituted or
withdrawal is $eritted -. the a$$ro$riate !ourt.
EC )(*) A de!ision -. a law.er to withdraw should -e ade onl. on the -asis of !o$elling
!ir!ustan!es,
:6
and in a atter $ending -efore a tri-unal he ust !o$l. with the rules of the
tri-unal regarding withdrawal. A law.er should not withdraw without !onsidering !arefull. and
endea'oring to inii7e the $ossi-le ad'erse effe!t on the rights of his !lient and the $ossi-ilit. of
$re<udi!e to his !lient
:/
as a result of his withdrawal. &'en when he <ustifia-l. withdraws, a law.er
should $rote!t the welfare of his !lient -. gi'ing due noti!e of his withdrawal,
:8
suggesting
e$lo.ent of other !ounsel, deli'ering to the !lient all $a$ers and $ro$ert. to whi!h the !lient is
entitled, !oo$erating with !ounsel su-sequentl. e$lo.ed, and otherwise endea'oring to inii7e
the $ossi-ilit. of har. Further, he should refund to the !lient an. !o$ensation not earned during
the e$lo.ent.
:9
EC )(** As a $art of the legal $rofession;s !oitent to the $rin!i$le that high qualit. legal
ser'i!es should -e a'aila-le to all, attorne.s are en!ouraged to !oo$erate with qualified legal
assistan!e organi7ations $ro'iding $re$aid legal ser'i!es. #u!h $arti!i$ation should at all ties -e in
a!!ordan!e with the -asi! tenets of the $rofession1 inde$enden!e, integrit., !o$eten!e and de'otion
to the interests of indi'idual !lients. An attorne. so $arti!i$ating should a)e !ertain that his
relationshi$ with a qualified legal assistan!e organi7ation in no wa. interferes with his inde$endent,
$rofessional re$resentation of the interests of the indi'idual !lient. An attorne. should a'oid
situations in whi!h offi!ials of the organi7ation who are not law.ers atte$t to dire!t attorne.s
!on!erning the anner in whi!h legal ser'i!es are $erfored for indi'idual e-ers, and should also
a'oid situations in whi!h !onsiderations of e!ono. are gi'en undue weight in deterining the
attorne.s e$lo.ed -. an organi7ation or the legal ser'i!es to -e $erfored for the e-er or
-enefi!iar. rather than !o$eten!e and qualit. of ser'i!e. An attorne. interested in aintaining the
histori! traditions of the $rofession and $reser'ing the fun!tion of a law.er as a trusted and
inde$endent ad'isor to indi'idual e-ers of so!iet. should !arefull. assess su!h fa!tors when
a!!e$ting e$lo.ent -., or otherwise $arti!i$ating in, a $arti!ular qualified legal assistan!e
organi7ation, and while so $arti!i$ating should adhere to the highest $rofessional standards of effort
and !o$eten!e.
60
DISCIPLINARY R.LES
D, 5?101 ?Pu-li!it. in 9eneral.
2A3 ?A law.er shall not, on -ehalf of hiself, his $artner, asso!iate or an. other law.er affiliated
with hi or his fir, use or $arti!i$ate in the use of an. for of $u-li! !ouni!ation !ontaining a
false, fraudulent, isleading, de!e$ti'e, self?laudator. or unfair stateent or !lai.
2"3 ?=n order to fa!ilitate the $ro!ess of infored sele!tion of a law.er -. $otential !onsuers of
legal ser'i!es, a law.er a. $u-lish or -road!ast, su-<e!t to D, 5?106, the following inforation in
$rint edia distri-uted or o'er tele'ision or radio -road!ast in the geogra$hi! area or areas in whi!h
the law.er resides or aintains offi!es of in whi!h a signifi!ant $art of the law.er;s !lientele resides,
$ro'ided that the inforation dis!losed -. the law.er in su!h $u-li!ation or -road!ast !o$lies with
D, 5?1012A3, and is $resented in a dignified anner.
61
213 ?Aae, in!luding nae of law fir and naes of $rofessional asso!iates4 addresses and
tele$hone nu-ers4
253 ?One or ore fields of law in whi!h the law.er or law fir $ra!ti!es, a stateent that
$ra!ti!e is liited to one or ore fields of law, or a stateent that the law.er or law fir s$e!iali7es
in a $arti!ular field of law $ra!ti!e, to the e(tent authori7ed under D, 5?10:4
263 ?Date and $la!e of -irth4
243 ?Date and $la!e of adission to the -ar of state and federal !ourts4
2:3 ?#!hools attended, with dates of graduation, degrees and other s!holasti! distin!tions4
263 ?Pu-li! or quasi?$u-li! offi!es4
2/3 ?+ilitar. ser'i!e4
283 ?Legal authorshi$s4
293 ?Legal tea!hing $ositions4
2103 ?+e-ershi$s, offi!es, and !oittee assignents, in -ar asso!iations4
2113 ?+e-ershi$ and offi!es in legal fraternities and legal so!ieties4
2153 ?*e!hni!al and $rofessional li!enses4
2163 ?+e-ershi$s in s!ientifi!, te!hni!al and $rofessional asso!iations and so!ieties4
2143 ?Foreign language a-ilit.4
21:3 ?Aaes and addresses of -an) referen!es4
2163 ?>ith their written !onsent, naes of !lients regularl. re$resented4
21/3 ?Pre$aid or grou$ legal ser'i!es $rogras in whi!h the law.er $arti!i$ates4
2183 ?>hether !redit !ards or other !redit arrangeents are a!!e$ted4
2193 ?Offi!e and tele$hone answering ser'i!e hours4
2503 ?Fee for an initial !onsultation4
2513 ?A'aila-ilit. u$on request of a written s!hedule of fees andLor estiate of the fee to -e
!harged for s$e!ifi! ser'i!es4
2553 ?%ontingent fee rates su-<e!t to D, 5?1062%3, $ro'ided that the stateent dis!loses
whether $er!entages are !o$uted -efore or after dedu!tion of !osts4
2563 ?,ange of fees for ser'i!es, $ro'ided that the stateent dis!loses that the s$e!ifi! fee
within the range whi!h will -e !harged will 'ar. de$ending u$on the $arti!ular atter to -e handled
for ea!h !lient and the !lient is entitled without o-ligation to an estiate of the fee within the range
li)el. to -e !harged, in $rint si7e equi'alent to the largest $rint used in setting forth the fee
inforation4
2543 ?Hourl. rate, $ro'ided that the stateent dis!loses that the total fee !harged will de$end
u$on the nu-er of hours whi!h ust -e de'oted to the $arti!ular atter to -e handled for ea!h
!lient and the !lient is entitled to without o-ligation an estiate of the fee li)el. to -e !harged, in
$rint si7e at least equi'alent to the largest $rint used in setting forth the fee inforation4
25:3 ?Fi(ed fees for s$e!ifi! legal ser'i!es,M the des!ri$tion of whi!h would not -e
isunderstood or -e de!e$ti'e, $ro'ided that the stateent dis!loses that the quoted fee will -e
a'aila-le onl. to !lients whose atters fall into the ser'i!es des!ri-ed and that the !lient is entitled
without o-ligation to a s$e!ifi! estiate of the fee li)el. to -e !harged in $rint si7e at least equi'alent
to the largest $rint used in setting forth the fee inforation.
2%3 ?An. $erson desiring to e($and the inforation authori7ed for dis!losure in D, 5?1012"3, or
to $ro'ide for its disseination through other forus a. a$$l. to Cthe agen!. ha'ing <urisdi!tion
under state lawD. An. su!h a$$li!ation shall -e ser'ed u$on Cthe agen!ies ha'ing <urisdi!tion under
state law o'er the regulation of the legal $rofession and !onsuer attersD who shall -e heard,
together with the a$$li!ant, on the issue of whether the $ro$osal is ne!essar. in light of the e(isting
$ro'isions of the %ode, a!!ords with standards of a!!ura!., relia-ilit. and truthfulness, and would
fa!ilitate the $ro!ess of infored sele!tion of law.ers -. $otential !onsuers of legal ser'i!es. *he
relief granted in res$onse to an. su!h a$$li!ation shall -e $roulgated as an aendent to D, 5?
1012"3, uni'ersall. a$$li!a-le to all law.ers.MM
2D3 ?=f the ad'ertiseent is !ouni!ated to the $u-li! o'er tele'ision or radio, it shall -e $re?
re!orded, a$$ro'ed for -road!ast -. the law.er, and a re!ording of the a!tual transission shall -e
retained -. the law.er.
65
2&3 ?=f a law.er ad'ertises a fee for a ser'i!e, the law.er ust render that ser'i!e for no ore
than the fee ad'ertised.
2F3 ?@nless otherwise s$e!ified in the ad'ertiseent if a law.er $u-lishes an. fee inforation
authori7ed under D, 5?1012"3 in a $u-li!ation that is $u-lished ore frequentl. than one tie $er
onth, the law.er shall -e -ound -. an. re$resentation ade therein for a $eriod of not less than 60
da.s after su!h $u-li!ation. =f a law.er $u-lishes an. fee inforation authori7ed under D, 5?1012"3
in a $u-li!ation that is $u-lished on!e a onth or less frequentl., he shall -e -ound -. an.
re$resentation ade therein until the $u-li!ation of the su!!eeding issue. =f a law.er $u-lishes an.
fee inforation authori7ed under D, 5?1012"3 in a $u-li!ation whi!h has no fi(ed date for
$u-li!ation of a su!!eeding issue, the law.er shall -e -ound -. an. re$resentation ade therein for a
reasona-le $eriod of tie after $u-li!ation -ut in no e'ent less than one .ear.
293 ?@nless otherwise s$e!ified, if a law.er -road!asts an. fee inforation authori7ed under D,
5?1012"3, the law.er shall -e -ound -. an. re$resentation ade therein for a $eriod of not less than
60 da.s after su!h -road!ast.
2H3 ?*his rule does not $rohi-it liited and dignified identifi!ation of a law.er as a law.er as
well as -. nae1
213 ?=n $oliti!al ad'ertiseents when his $rofessional status is gerane to the $oliti!al
!a$aign or to a $oliti!al issue.
253 ?=n $u-li! noti!es when the nae and $rofession of a law.er are required or authori7ed
-. law or are reasona-l. $ertinent for a $ur$ose other than the attra!tion of $otential !lients.
263 ?=n routine re$orts and announ!eents of a -ona fide -usiness, !i'i!, $rofessional, or
$oliti!al organi7ation in whi!h he ser'es as a dire!tor or offi!er.
243 ?=n and on legal do!uents $re$ared -. hi.
2:3 ?=n and on legal te(t-oo)s, treatises, and other legal $u-li!ations, and in dignified
ad'ertiseents thereof.
2=3 ?A law.er shall not !o$ensate or gi'e an. thing of 'alue to re$resentati'es of the $ress,
radio, tele'ision, or other !ouni!ation ediu in anti!i$ation of or in return for $rofessional
$u-li!it. in a news ite.
D, 5?105 ?Professional Aoti!es, Letterheads and Offi!es
2A3 ?A law.er or law fir shall not use or $arti!i$ate in the use of
66
$rofessional !ards,
$rofessional announ!eent !ards, offi!e signs, letterheads, tele$hone dire!tor. listings, law lists,
legal dire!tor. listings, or siilar $rofessional noti!es or de'i!es, e(!e$t that the following a. -e
used if the. are in dignified for1
213 ?A $rofessional !ard of a law.er identif.ing hi -. nae and as a law.er, and gi'ing
his addresses, tele$hone nu-ers, the nae of his law fir, and an. inforation $eritted under D,
5?10:. A $rofessional !ard of a law fir a. also gi'e the naes of e-ers and asso!iates. #u!h
!ards a. -e used for identifi!ation.
253 ?A -rief $rofessional announ!eent !ard stating new or !hanged asso!iations or
addresses, !hange of fir nae, or siilar atters $ertaining to the $rofessional offi!e of a law.er or
law fir, whi!h a. -e ailed to law.ers, !lients, forer !lients, $ersonal friends, and relati'es.
64
=t
shall not state -iogra$hi!al data e(!e$t to the e(tent reasona-l. ne!essar. to identif. the law.er or to
e($lain the !hange in his asso!iation, -ut it a. state the iediate $ast $osition of the law.er.
6:
=t
a. gi'e the naes and dates of $rede!essor firs in a !ontinuing line of su!!ession. =t shall not
state the nature of the $ra!ti!e e(!e$t as $eritted under D, 5?10:.
66
263 ?A sign on or near the door of the offi!e and in the -uilding dire!tor. identif.ing the law
offi!e. *he sign shall not state the nature of the $ra!ti!e, e(!e$t as $eritted under D, 5?10:.
243 ?A letterhead of a law.er identif.ing hi -. nae and as a law.er, and gi'ing his
addresses, tele$hone nu-ers, the nae of his law fir, asso!iates and an. inforation $eritted
under D, 5?10:. A letterhead of a law fir a. also gi'e the naes of e-ers and asso!iates,
6/
and
naes and dates relating to de!eased and retired e-ers.
68
A law.er a. -e designated BOf
%ounselE on a letterhead if he has a !ontinuing relationshi$ with a law.er or law fir, other than as a
$artner or asso!iate. A law.er or law fir a. -e designated as B9eneral %ounselE or -. siilar
$rofessional referen!e on stationer. of a !lient if he or the fir de'otes a su-stantial aount of
$rofessional tie in the re$resentation of that !lient.
69
*he letterhead of a law fir a. gi'e the
naes and dates of $rede!essor firs in a !ontinuing line of su!!ession.
2"3 ?A law.er in $ri'ate $ra!ti!e shall not $ra!ti!e under a trade nae, a nae that is isleading
as to the identit. of the law.er or law.ers $ra!ti!ing under su!h nae, or a fir nae !ontaining
naes other than those of one or ore of the law.ers in the fir, e(!e$t that the nae of a
$rofessional !or$oration or $rofessional asso!iation a. !ontain BP.%.E or BP.A.E or siilar s.-ols
indi!ating the nature of the organi7ation, and if otherwise lawful a fir a. use as, or !ontinue to
in!lude in, its nae the nae or naes of one or ore de!eased or retired e-ers of the fir or of
a $rede!essor fir in a !ontinuing line of su!!ession.
/0
A law.er who assues a <udi!ial, legislati'e,
or $u-li! e(e!uti'e or adinistrati'e $ost or offi!e shall not $erit his nae to reain in the nae of
a law fir or to -e used in $rofessional noti!es of the fir during an. signifi!ant $eriod in whi!h he
is not a!ti'el. and regularl. $ra!ti!ing law as a e-er of the fir,
/1
and during su!h $eriod other
e-ers of the fir shall not use his nae in the fir nae or in $rofessional noti!es of the fir.
/5
2%3 ?A law.er shall not hold hiself out as ha'ing a $artnershi$ with one or ore other law.ers
or $rofessional !or$orations
/6
unless the. are in fa!t $artners.
/4
2D3 ?A $artnershi$ shall not -e fored or !ontinued -etween or aong law.ers li!ensed in
different <urisdi!tions unless all enuerations of the e-ers and asso!iates of the fir on its
letterhead and in other $erissi-le listings a)e !lear the <urisdi!tional liitations on those e-ers
and asso!iates of the fir not li!ensed to $ra!ti!e in all listed <urisdi!tions4
/:
howe'er, the sae fir
nae a. -e used in ea!h <urisdi!tion.
2&3 ?Aothing !ontained herein shall $rohi-it a law.er fro using or $eritting the use of, in
!onne!tion with his nae, an earned degree or title deri'ed therefro indi!ating his training in the
law.
/6
D, 5?106 ?,e!oendation of Professional &$lo.ent.
//
2A3 ?A law.er shall not, e(!e$t as authori7ed in D, 5?1012"3, re!oend e$lo.ent, as a
$ri'ate $ra!titioner,
/8
of hiself, his $artner, or asso!iate to a la.$erson who has not sought his ad'i!e
regarding e$lo.ent of a law.er.
/9
2"3 ?A law.er shall not !o$ensate or gi'e an.thing of 'alue to a $erson or organi7ation to
re!oend or se!ure his e$lo.ent
80
-. a !lient, or as a reward for ha'ing ade a re!oendation
resulting in his e$lo.ent
81
-. a !lient, e(!e$t that he a. $a. the usual and reasona-le fees or
dues !harged -. an. of the organi7ations listed in D, 5?1062D3.
85
2%3 ?A law.er shall not request a $erson or organi7ation to re!oend or $roote the use of his
ser'i!es or those of his $artner or asso!iate, or an. other law.er affiliated with hi or his fir, as a
$ri'ate $ra!titioner,
86
e(!e$t as authori7ed in D, 5?101, and e(!e$t that
213 ?He a. request referrals fro a law.er referral ser'i!e o$erated, s$onsored, or
a$$ro'ed -. a -ar asso!iation and a. $a. its fees in!ident thereto.
84
253 ?He a. !oo$erate with the legal ser'i!e a!ti'ities of an. of the offi!es or organi7ations
enuerated in D, 5?1062D3213 through 243 and a. $erfor legal ser'i!es for those to who he was
re!oended -. it to do su!h wor) if1
2a3 ?*he $erson to who the re!oendation is ade is a e-er or -enefi!iar. of
su!h offi!e or organi7ations4 and
2-3 ?*he law.er reains free to e(er!ise his inde$endent $rofessional <udgent on
-ehalf of his !lient.
8:
2D3 ?A law.er or his $artner or asso!iate or an. other law.er affiliated with hi or his fir a.
-e re!oended, e$lo.ed or $aid -., or a. !oo$erate with, one of the following offi!es or
organi7ations that $roote the use of his ser'i!es or those of his $artner or asso!iate or an. other
law.er affiliated with hi or his fir if there is no interferen!e with the e(er!ise of inde$endent
$rofessional <udgent in -ehalf of his !lient1
213 ?A legal aid offi!e or $u-li! defender offi!e1
2a3 ?O$erated or s$onsored -. a dul. a!!redited law s!hool.
2-3 ?O$erated or s$onsored -. a -ona fide non$rofit !ounit. organi7ation.
2!3 ?O$erated or s$onsored -. a go'ernental agen!..
2d3 ?O$erated, s$onsored, or a$$ro'ed -. a -ar asso!iation.
86
253 ?A ilitar. legal assistan!e offi!e.
263 ?A law.er referral ser'i!e o$erated, s$onsored, or a$$ro'ed -. a -ar asso!iation.
243 ?An. -ona fide organi7ation that re!oends, furnishes or $a.s for legal ser'i!es to its
e-ers or -enefi!iaries
8/
$ro'ided the following !onditions are satisfied1
2a3 ?#u!h organi7ation, in!luding an. affiliate, is so organi7ed and o$erated that no
$rofit is deri'ed -. it fro the rendition of legal ser'i!es -. law.ers, and that, if the organi7ation is
organi7ed for $rofit, the legal ser'i!es are not rendered -. law.ers e$lo.ed, dire!ted, su$er'ised or
sele!ted -. it e(!e$t in !onne!tion with atters where su!h organi7ation -ears ultiate lia-ilit. of its
e-er or -enefi!iar..
2-3 ?Aeither the law.er, nor his $artner, nor asso!iate, nor an. other law.er affiliated
with hi or his fir, nor an. non?law.er, shall ha'e initiated or $rooted su!h organi7ation for the
$riar. $ur$ose of $ro'iding finan!ial or other -enefit to su!h law.er, $artner, asso!iate or affiliated
law.er.
2!3 ?#u!h organi7ation is not o$erated for the $ur$ose of $ro!uring legal wor) or
finan!ial -enefit for an. law.er as a $ri'ate $ra!titioner outside of the legal ser'i!es $rogra of the
organi7ation.
2d3 ?*he e-er or -enefi!iar. to who the legal ser'i!es are furnished, and not su!h
organi7ation, is re!ogni7ed as the !lient of the law.er in the atter.
2e3 ?An. e-er or -enefi!iar. who is entitled to ha'e legal ser'i!es furnished or $aid
for -. the organi7ation a., if su!h e-er or -enefi!iar. so desires, sele!t !ounsel other than that
furnished, sele!ted or a$$ro'ed -. the organi7ation for the $arti!ular atter in'ol'ed4 and the legal
ser'i!e $lan of su!h organi7ation $ro'ides a$$ro$riate relief for an. e-er or -enefi!iar. who
asserts a !lai that re$resentation -. !ounsel furnished, sele!ted or a$$ro'ed would -e unethi!al,
i$ro$er or inadequate under the !ir!ustan!es of the atter in'ol'ed and the $lan $ro'ides an
a$$ro$riate $ro!edure for see)ing su!h relief.
2f3 ?*he law.er does not )now or ha'e !ause to )now that su!h organi7ation is in
'iolation of a$$li!a-le laws, rules of !ourt and other legal requireents that go'ern its legal ser'i!e
o$erations.
2g3 ?#u!h organi7ation has filed with the a$$ro$riate dis!i$linar. authorit. at least
annuall. a re$ort with res$e!t to its legal ser'i!e $lan, if an., showing its ters, its s!hedule of
-enefits, its su-s!ri$tion !harges, agreeents with !ounsel, and finan!ial results of its legal ser'i!e
a!ti'ities or, if it has failed to do so, the law.er does not )now or ha'e !ase to )now of su!h failure.
88
2&3 ?A law.er shall not a!!e$t e$lo.ent when he )nows or it is o-'ious that the $erson who
see)s his ser'i!es does so as a result of !ondu!t $rohi-ited under this Dis!i$linar. ,ule.
D, 5?104 ?#uggestion of Aeed of Legal #er'i!es.
89, 90
2A3 ?A law.er who has gi'en unsoli!ited ad'i!e to a la.an that he should o-tain !ounsel or
ta)e legal a!tion shall not a!!e$t e$lo.ent resulting fro that ad'i!e,
91
e(!e$t that1
213 ?A law.er a. a!!e$t e$lo.ent -. a !lose friend, relati'e, forer !lient 2if the
ad'i!e is gerane to the forer e$lo.ent3, or one who the law.er reasona-l. -elie'es to -e a
!lient.
95
253 ?A law.er a. a!!e$t e$lo.ent that results fro his $arti!i$ation in a!ti'ities
designed to edu!ate la.en to re!ogni7e legal $ro-les, to a)e intelligent sele!tion of !ounsel, or
to utili7e a'aila-le legal ser'i!es if su!h a!ti'ities are !ondu!ted or s$onsored -. a qualified legal
assistan!e organi7ation.
96
263 ?A law.er who is re!oended, furnished or $aid -. an. of the offi!es or organi7ations
enuerated in D, 5?1062D3213 through 243
94
a. re$resent a e-er or -enefi!iar. thereof, to the
e(tent and under the !onditions $res!ri-ed therein.
243 ?>ithout affe!ting his right to a!!e$t e$lo.ent, a law.er a. s$ea) $u-li!l. or write
for $u-li!ation on legal to$i!s
9:
so long as he does not e$hasi7e his own $rofessional e($erien!e or
re$utation and does not underta)e to gi'e indi'idual ad'i!e.
2:3 ?=f su!!ess in asserting rights or defenses of his !lient in litigation in the nature of a
!lass a!tion is de$endent u$on the <oinder of others, a law.er a. a!!e$t, -ut shall not see),
e$lo.ent fro those !onta!ted for the $ur$ose of o-taining their <oinder.
96
D, 5?10: ?Liitation of Pra!ti!e.
9/
2A3 ?A law.er shall not hold hiself out $u-li!l. as a s$e!ialist, as $ra!ti!ing in !ertain areas of
law or as liiting his $ra!ti!e $eritted under D, 5?1012"3, e(!e$t as follows1
213 ?A law.er aditted to $ra!ti!e -efore the @nited #tates Patent and *radear) Offi!e
a. use the designation BPatents,E BPatent Attorne.,E or BPatent Law.er,E or B,egistered Patent
Attorne.E or an. !o-ination of those ters, on his letterhead and offi!e sign.
253 ?A law.er who $u-li!l. dis!loses fields of law in whi!h the law.er or the law fir
$ra!ti!es or states that his $ra!ti!e is liited to one or ore fields of law shall do so -. using
designations and definitions authori7ed and a$$ro'ed -. Cthe agen!. ha'ing <urisdi!tion of the
su-<e!t under state lawD.
263 ?A law.er who is !ertified as a s$e!ialist in a $arti!ular field of law or law $ra!ti!e -.
Cthe authorit. ha'ing <urisdi!tion under state law o'er the su-<e!t of s$e!iali7ation -. law.ersD a.
hold hiself out as su!h, -ut onl. in a!!ordan!e with the rules $res!ri-ed -. that authorit..
98
D, 5?106 ?Fees for Legal #er'i!es.
99
2A3 ?A law.er shall not enter into an agreeent for, !harge, or !olle!t an illegal or !learl.
e(!essi'e fee.
100
2"3 ?A fee is !learl. e(!essi'e when, after a re'iew of the fa!ts, a law.er of ordinar. $ruden!e
would -e left with a definite and fir !on'i!tion that the fee is in e(!ess of a reasona-le fee. Fa!tors
to -e !onsidered as guides in deterining the reasona-leness of a fee in!lude the following1
213 ?*he tie and la-or required, the no'elt. and diffi!ult. of the questions in'ol'ed, and
the s)ill requisite to $erfor the legal ser'i!e $ro$erl..
253 ?*he li)elihood, if a$$arent to the !lient, that the a!!e$tan!e of the $arti!ular
e$lo.ent will $re!lude other e$lo.ent -. the law.er.
263 ?*he fee !ustoaril. !harged in the lo!alit. for siilar legal ser'i!es.
243 ?*he aount in'ol'ed and the results o-tained.
2:3 ?*he tie liitations i$osed -. the !lient or -. the !ir!ustan!es.
263 ?*he nature and length of the $rofessional relationshi$ with the !lient.
2/3 ?*he e($erien!e, re$utation, and a-ilit. of the law.er or law.ers $erforing the
ser'i!es.
283 ?>hether the fee is fi(ed or !ontingent.
101
2%3 ?A law.er shall not enter into an arrangeent for, !harge, or !olle!t a !ontingent fee for
re$resenting a defendant in a !riinal !ase.
105
D, 5?10/ ?Di'ision of Fees Aong Law.ers.
2A3 ?A law.er shall not di'ide a fee for legal ser'i!es with another law.er who is not a $artner in
or asso!iate of his law fir or law offi!e, unless1
213 ?*he !lient !onsents to e$lo.ent of the other law.er after a full dis!losure that a
di'ision of fees will -e ade.
253 ?*he di'ision is ade in $ro$ortion to the ser'i!es $erfored and res$onsi-ilit.
assued -. ea!h.
106
263 ?*he total fee of the law.ers does not !learl. e(!eed reasona-le !o$ensation for all
legal ser'i!es the. rendered the !lient.
104
2"3 ?*his Dis!i$linar. ,ule does not $rohi-it $a.ent to a forer $artner or asso!iate $ursuant
to a se$aration or retireent agreeent.
D, 5?108 ?Agreeents ,estri!ting the Pra!ti!e of a Law.er.
2A3 ?A law.er shall not -e a $art. to or $arti!i$ate in a $artnershi$ or e$lo.ent agreeent
with another law.er that restri!ts the right of a law.er to $ra!ti!e law after the terination of a
relationshi$ !reated -. the agreeent, e(!e$t as a !ondition to $a.ent of retireent -enefits.
10:
2"3 ?N=n !onne!tion with the settleent of a !ontro'ers. or suit, a law.er shall not enter into an
agreeent that restri!ts his right to $ra!ti!e law.
D, 5?109 ?A!!e$tan!e of &$lo.ent.
2A3 ?A law.er shall not a!!e$t e$lo.ent on -ehalf of a $erson if he )nows or it is o-'ious
that su!h $erson wishes to1
213 ?"ring a legal a!tion, !ondu!t a defense, or assert a $osition in litigation, or otherwise
ha'e ste$s ta)en for hi, erel. for the $ur$ose of harassing or ali!iousl. in<uring an. $erson.
106
253 ?Present a !lai or defense in litigation that is not warranted under e(isting law, unless
it !an -e su$$orted -. good faith arguent for an e(tension, odifi!ation, or re'ersal of e(isting law.
D, 5?110 >ithdrawal fro &$lo.ent.
10/
2A3 ?=n general.
213 ?=f $erission for withdrawal fro e$lo.ent is required -. the rules of a tri-unal, a
law.er shall not withdraw fro e$lo.ent in a $ro!eeding -efore that tri-unal without its
$erission.
253 ?=n an. e'ent, a law.er shall not withdraw fro e$lo.ent until he has ta)en
reasona-le ste$s to a'oid foreseea-le $re<udi!e to the rights of his !lient, in!luding gi'ing due noti!e
to his !lient, allowing tie for e$lo.ent of other !ounsel, deli'ering to the !lient all $a$ers and
$ro$ert. to whi!h the !lient is entitled, and !o$l.ing with a$$li!a-le laws and rules.
263 ?A law.er who withdraws fro e$lo.ent shall refund $ro$tl. an. $art of a fee
$aid in ad'an!e that has not -een earned.
2"3 ?+andator. withdrawal.
?A law.er re$resenting a !lient -efore a tri-unal, with its $erission if required -. its rules,
shall withdraw fro e$lo.ent, and a law.er re$resenting a !lient in other atters shall withdraw
fro e$lo.ent, if1
213 ?He )nows or it is o-'ious that his !lient is -ringing the legal a!tion, !ondu!ting the
defense, or asserting a $osition in the litigation, or is otherwise ha'ing ste$s ta)en for hi, erel. for
the $ur$ose of harassing or ali!iousl. in<uring an. $erson.
253 ?He )nows or it is o-'ious that his !ontinued e$lo.ent will result in 'iolation of a
Dis!i$linar. ,ule.
108
263 ?His ental or $h.si!al !ondition renders it unreasona-l. diffi!ult for hi to !arr. out
the e$lo.ent effe!ti'el..
243 ?He is dis!harged -. his !lient.
2%3 ?Perissi'e withdrawal.
109
?=f D, 5?1102"3 is not a$$li!a-le, a law.er a. not request $erission to withdraw in
atters $ending -efore a tri-unal, and a. not withdraw in other atters, unless su!h request or su!h
withdrawal is -e!ause1
213 ?His !lient1
2a3 ?=nsists u$on $resenting a !lai or defense that is not warranted under e(isting law
and !annot -e su$$orted -. good faith arguent for an e(tension, odifi!ation, or re'ersal of
e(isting law.
110
2-3 ?Personall. see)s to $ursue an illegal !ourse of !ondu!t.
2!3 ?=nsists that the law.er $ursue a !ourse of !ondu!t that is illegal or that is $rohi-ited
under the Dis!i$linar. ,ules.
2d3 ?". other !ondu!t renders it unreasona-l. diffi!ult for the law.er to !arr. out his
e$lo.ent effe!ti'el..
2e3 ?=nsists, in a atter not $ending -efore a tri-unal, that the law.er engage in !ondu!t
that is !ontrar. to the <udgent and ad'i!e of the law.er -ut not $rohi-ited under the Dis!i$linar.
,ules.
2f3 ?Deli-eratel. disregards an agreeent or o-ligation to the law.er as to e($enses or
fees.
253 ?His !ontinued e$lo.ent is li)el. to result in a 'iolation of a Dis!i$linar. ,ule.
263 ?His ina-ilit. to wor) with !o?!ounsel indi!ates that the -est interests of the !lient li)el.
will -e ser'ed -. withdrawal.
243 ?His ental or $h.si!al !ondition renders it diffi!ult for hi to !arr. out the
e$lo.ent effe!ti'el..
2:3 ?His !lient )nowingl. and freel. assents to terination of his e$lo.ent.
263 ?He -elie'es in good faith, in a $ro!eeding $ending -efore a tri-unal, that the tri-unal
will find the e(isten!e of other good !ause for withdrawal.
NOTES
1. B+en ha'e need for ore than a s.ste of law4 the. ha'e need for a s.ste of law whi!h fun!tions, and that eans
the. ha'e need for law.ers.E %heatha, Th" La1%"#B Rol" an! S&##o&n!in), 5: ,O%GK +*. L. ,&F. 40: 219:63.
5. BLaw is not self?a$$l.ing4 en ust a$$l. and utili7e it in !on!rete !ases. "ut the ordinar. an is in!a$a-le. He
!annot )now the $rin!i$les of law or the rules guiding the a!hiner. of law adinistration4 he does not )now how to
forulate his desires with $re!ision and to $ut the into writing, he is ineffe!ti'e in the $resentation of his !lais.E I!.
6. B*his need Cto $ro'ide legal ser'i!esD was re!ogni7ed -. . . . +r. CLewis F.D Powell CJr., President, Aeri!an "ar
Asso!iation, 1966?64D, who said1 JLoo)ing at !onte$orar. Aeri!a realisti!all., we ust adit that des$ite all our efforts to
date 2and these ha'e not -een insignifi!ant3, far too an. $ersons are not a-le to o-tain equal <usti!e under law. *his usuall.
results -e!ause their $o'ert. or their ignoran!e has $re'ented the fro o-taining legal !ounsel.; E Address -. &. %linton
"a-erger, Asso!iation of Aeri!an Law #!hools 196: Annual +eeting, De!. 58, 196:, in P,O%&&D=A9#, PA,* ==, 196:, 61, 66?
64 2196:3.
BA wide ga$ se$arates the need for legal ser'i!es and its satisfa!tion, as nuerous studies re'eal. Loo)ed at fro the side
of the la.an, one reason for the ga$ is $o'ert. and the !onsequent ina-ilit. to $a. legal fees. Another set of reasons is
ignoran!e of the need for and the 'alue of legal ser'i!es, and ignoran!e of where to find a de$enda-le law.er. *here is fear of
the .sterious $ro!esses and dela.s of the law, and there is fear of o'errea!hing and o'er!harging -. law.ers, a fear
stiulated -. the o!!asional e($osure of sh.sters.E %heatha, A3aila0ilit% o+ L")al S"#3ic"2 Th" R"$oni0ilit% o+ th"
In!i3i!&al La1%"# an! o+ th" O#)ani<"! Ba#, 15 @.%.L.A. L. ,&F. 468 2196:3.
4. B=t is not onl. the right -ut the dut. of the $rofession as a whole to utili7e su!h ethods as a. -e de'elo$ed to -ring
the ser'i!es of its e-ers to those who need the, so long as this !an -e done ethi!all. and with dignit..E ABA O$inion 650
219683.
BC*Dhere is a res$onsi-ilit. on the -ar to a)e legal ser'i!es a'aila-le to those who need the. *he a(i, J$ri'ilege
-rings res$onsi-ilities,; !an -e e($anded to read, e(!lusi'e $ri'ilege to render $u-li! ser'i!e -rings res$onsi-ilit. to assure that
the ser'i!e is a'aila-le to those in need of it.E %heatha, A3aila0ilit% o+ L")al S"#3ic"2 Th" R"$oni0ilit% o+ th" In!i3i!&al
La1%"# an! o+ th" O#)ani<"! Ba#, 15 @.%.L.A. L. ,&F. 468, 446 2196:3.
B*he o-ligation to $ro'ide legal ser'i!es for those a!tuall. !aught u$ in litigation !arries with it the o-ligation to a)e
$re'enti'e legal ad'i!e a!!essi-le to all. =t is aong those una!!ustoed to -usiness affairs and fearful of the wa.s of the law
that su!h ad'i!e is often ost needed. =f it is not re!ei'ed in tie, the ost 'aliant and s)illful re$resentation in !ourt a.
!oe too late.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1516 219:83.
:. BA law.er a. with $ro$riet. write arti!les for $u-li!ations in whi!h he gi'es inforation u$on the law . . . .E A"A
%AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 40 219083.
6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 58 219083.
/. *his question !an assue !onstitutional diensions1 B>e eet at the outset the !ontention that Jsoli!itation; is wholl.
outside the area of freedos $rote!ted -. the First Aendent. *o this !ontention there are two answers. *he first is that a
#tate !annot fore!lose the e(er!ise of !onstitutional rights -. ere la-els. *he se!ond is that a-stra!t dis!ussion is not the onl.
s$e!ies of !ouni!ation whi!h the %onstitution $rote!ts4 the First Aendent also $rote!ts 'igorous ad'o!a!., !ertainl. of
lawful ends, against go'ernental intrusion . . . .
. . . .
BHowe'er 'alid a. -e Firginia;s interest in regulating the traditionall. illegal $ra!ti!e of -arratr., aintenan!e and
!ha$ert., that interest does not <ustif. the $rohi-ition of the AAA%P a!ti'ities dis!losed -. this re!ord. +ali!ious intent was
of the essen!e of the !oon?law offenses of foenting or stirring u$ litigation. And whate'er a. -e or a. ha'e -een true
of suits against go'ernents in other !ountries, the e(er!ise in our own, as in this !ase of First Aendent rights to enfor!e
%onstitutional rights through litigation, as a atter of law, !annot -e deeed ali!ious.E AAA%P '. "utton, 6/1 @.#. 41:,
459, 469?40, 9 L. &d. 5d 40:, 41:?16, 455, 86 #. %t. 658, 666, 641 219663.
8. =t is disre$uta-le for an attorne. to -reed litigation -. see)ing out those who ha'e !lais for $ersonal in<uries or other
grounds of a!tion in order to se!ure the as !lients. or to e$lo. agents or runners, or to reward those who -ring or influen!e
the -ringing of -usiness to his offi!e . . . . +oreo'er, it tends quite easil. to the institution of -aseless litigation and the
anufa!ture of $er<ured testion.. Fro earl. ties, this danger has -een re!ogni7ed in the law -. the !ondenation of the
!rie of !oon -arratr., or the stirring u$ of suits or quarrels -etween indi'iduals at law or otherwise.E =n re Ades, 6 F.#u$$.
46/, 4/4?/: 2D. +ar.. 19643.
9. BR&l" 5.
BOa . . . .
BCAD e-er of the #tate "ar shall not soli!it $rofessional e$lo.ent -.
B213 Folunteering !ounsel or ad'i!e e(!e$t where ties of -lood relationshi$ or trust a)e it a$$ro$riate.E %AL. "@#=A&## AAD
P,OF&##=OA# %OD& O60/6 2>est 19653.
10. BR&l" 19 . . . A e-er of the #tate "ar shall not ad'ise inquirers or render o$inions to the through or in !onne!tion
with a news$a$er, radio or other $u-li!it. ediu of an. )ind in res$e!t to their s$e!ifi! legal $ro-les, whether or not su!h
attorne. shall -e !o$ensated for his ser'i!e.E %AL. "@#=A&## AAD P,OF&##=OA# %OD& O60/6 2>est 19653.
11. B=n an. !ase where a e-er ight well a$$l. the ad'i!e gi'en in the o$inion to his indi'idual affairs, the law.er
rendering the o$inion C!on!erning $ro-les !oon to e-ers of an asso!iation and distri-uted to the e-ers through a
$eriodi! -ulletinD should s$e!ifi!all. state that this o$inion should not -e relied on -. an. e-er as a -asis for handling his
indi'idual affairs, -ut that in e'er. !ase he should !onsult his !ounsel. =n the $u-li!ation of the o$inion the asso!iation should
a)e a siilar stateent.E ABA O$inion 5/6 219463.
15. BA grou$ of re!ent interrelated !hanges -ears dire!tl. on the a'aila-ilit. of legal ser'i!es . . . . COneD !hange is the
!onstantl. a!!elerating ur-ani7ation of the !ountr. and the de!line of $ersonal and neigh-orhood )nowledge of who to retain
as a $rofessional an.E %heatha, A3aila0ilit% o+ L")al S"#3ic"2 Th" R"$oni0ilit% o+ th" In!i3i!&al La1%"# an! o+ th"
O#)ani<"! Ba#, 15 @.%.L.A. L. ,&F. 468, 440 2196:3.
16. C+. %heatha, A La1%"# Wh"n N""!"!2 L")al S"#3ic" +o# th" Mi!!l" Cla", 66 %OL@+. L. ,&F. 9/6, 9/4 219663.
14. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 58 219083.
1:. Aended, August 19/8, House =nforational ,e$ort Ao. 118.
16. C+. ABA O$inion 606 219613.
1/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219083.
18. I!.
B*he !ontinued use of a fir nae -. one or ore sur'i'ing $artners after the death of a e-er of the fir whose nae
is in the fir title is e($ressl. $eritted -. the %anons of &thi!s. *he reason for this is that all of the $artners ha'e -. their
<oint and se'eral efforts o'er a $eriod of .ears !ontri-uted to the good will atta!hed to the fir nae. =n the !ase of a fir
ha'ing wides$read !onne!tions, this good will is distur-ed -. a !hange in fir nae e'er. tie a nae $artner dies, and that
refle!ts a loss in soe degree of the good will to the -uilding u$ of whi!h the sur'i'ing $artners ha'e !ontri-uted their tie,
s)ill and la-or through a $eriod of .ears. *o a'oid this loss the fir nae is !ontinued, and to eet the requireents of the
%anon the indi'iduals !onstituting the fir fro tie to tie are listed.E ABA O$inion 56/ 2194:3.
BA!!e$ted lo!al !usto in Aew Kor) re!ogni7es that the nae of a law fir does not ne!essaril. identif. the indi'idual
e-er of the fir, and hen!e the !ontinued use of a fir nae after the death of one or ore $artners is not a de!e$tion and
is $erissi-le . . . . *he !ontinued use of a de!eased $artner;s nae in the fir title is not affe!ted -. the fa!t that another
$artner withdraws fro the fir and his nae is dro$$ed, or the nae of the new $artner is added to the fir nae.E O$inion
Ao. 4:, %oittee on Professional &thi!s, Aew Kor) #tate "ar Ass;n, 69 A.K.#t.".J. 4:: 2196/3.
C+. ABA O$inion 5:8 219463.
19. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 2 19083 and ABA O$inion 61: 2196:3.
50. C+. ABA O$inion 586 219:03 and 81 219653.
51. S"" ABA O$inion 616 2196/3.
55. B*he word Jasso!iates; has a 'ariet. of eanings. Prin!i$all. through !usto the word when used on the letterheads of
law firs has !oe to -e regarded as des!ri-ing those who are e$lo.ees of the fir. "e!ause the word has a!quired this
s$e!ial signifi!an!e in !onne!tion with the $ra!ti!e of the law the use of the word to des!ri-e law.er relationshi$s other than
e$lo.er?e$lo.ee is li)el. to -e isleading.E =n re #ussan and *anner, 541 Ore. 546, 548, 40: P.5d 6::, 6:6 2196:3.
A!!ording to ABA O$inion 610 219663, use of the ter Basso!iatesE would -e isleading in two situations1 2 = 3 where two
law.ers are $artners and the. share -oth res$onsi-ilit. and lia-ilit. for the $artnershi$4 and 253 where two law.ers $ra!ti!e
se$aratel., sharing no res$onsi-ilit. or lia-ilit., and onl. share a suite of offi!es and soe !osts.
56. BFor a long tie, an. law.ers ha'e, of ne!essit., liited their $ra!ti!e to !ertain -ran!hes of law. *he in!reasing
!o$le(it. of the law and the deand of the $u-li! for ore e($ertness on the $art of the law.er has, in the $ast few .earsI
$arti!ularl. in the last ten .earsI-rought a-out s$e!iali7ation on an in!reasing s!ale.E R"$o#t o+ th" S$"cial Co**itt"" on
S$"ciali<ation an! S$"ciali<"! L")al S"#3ic", /9 A.".A. ,&P. :85, :84 219:43.
54. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 15 219083.
5:. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 15 219083.
56. B=f there is an. fundaental $ro$osition of go'ernent on whi!h all would agree, it is that one of the highest goals of
so!iet. ust -e to a!hie'e and aintain equalit. -efore the law. Ket this ideal reains an e$t. for of words unless the legal
$rofession is read. to $ro'ide adequate re$resentation for those una-le to $a. the usual fees.E P#o+"ional R"$#""ntation2
R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1516 219:83.
5/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 15 219083.
58. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 15 219083.
59. B>hen e-ers of the "ar are indu!ed to render legal ser'i!es for inadequate !o$ensation, as a !onsequen!e the
qualit. of the ser'i!e rendered a. -e lowered, the welfare of the $rofession in<ured and the adinistration of <usti!e ade
less effi!ient.E ABA O$inion 605 219613.
C+. ABA O$inion 60/ 219653.
60. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 15 219083.
61. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 164 "" alo +A%G=AAOA, %OA*=A9&A* F&&# FO, L&9AL #&,F=%&# 219643 2A
re$ort of the Aeri!an "ar Foundation3.
BA !ontra!t for a reasona-le !ontingent fee where san!tioned -. law is $eritted -. Canon 1-, -ut the !lient ust reain
res$onsi-le to the law.er for e($enses ad'an!ed -. the latter. J*here is to -e no -arter of the $ri'ilege of $rose!uting a !ause
for gain in e(!hange for the $roise of the attorne. to $rose!ute at his own e($ense.; 2%ardo7o, %. J. in +atter of 9ilan, 5:1
A.K. 56:, 5/0?5/1.3E ABA O$inion 546 219453.
65. S"" %oent, P#o3i!in) L")al S"#3ic" +o# th" Mi!!l" Cla in Ci3il Matt"#2 Th" P#o0l"*4 th" D&t% an! a Sol&tion.
56 @. P=**. L. ,&F. 811, 859 2196:3.
66. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 68 219083.
BOf !ourse, as . . . C=nforal O$inion 6/9D $oints out, there ust -e full dis!losure of the arrangeent Cthat an entit. other
than the !lient $a.s the attorne.;s feeD -. the attorne. to the !lient . . . .E ABA O$inion 650 219683.
64. BOnl. law.ers a. share in . . . a di'ision of fees, -ut . . . it is not ne!essar. that -oth law.ers -e aditted to $ra!ti!e
in the sae state, so long as the di'ision was -ased on the di'ision of ser'i!es or res$onsi-ilit..E ABA O$inion 616 2196/3
6:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 64 219083.
B>e adhere to our $re'ious rulings that where a law.er erel. -rings a-out the e$lo.ent of another law.er 0&t #"n!"#
no "#3ic" an! a&*" no #"$oni0ilit% in th" *att"#4 a di'ision of the latter;s fee is i$ro$er. 2O$inion 18 and 1:63.
B=t is assued that the -ar, generall., understands what a!ts or !ondu!t of a law.er a. !onstitute Jser'i!es; to a !lient
within the intendent of Canon 1,. #u!h a!ts or !ondu!t in'aria-l., if not alwa.s, in'ol'e Jres$onsi-ilit.; on the $art of the
law.er, whether the word Jres$onsi-ilit.; -e !onstrued to denote the $ossi-le resultant legal or oral lia-ilit. on the $art of the
law.er to the !lient or to others, or the onus of de!iding what should or should not -e done in -ehalf of the !lient. *he word
Jser'i!es; in Canon 1, ust -e !onstrued in this -road sense and a. a$$l. to the sele!tion and retainer of asso!iate !ounsel as
well as to other a!ts or !ondu!t in the !lient;s -ehalf.E ABA O$inion 504 219403.
66. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 14 219083.
6/. C+ ABA O$inion 650 219683.
68. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 14 219083.
BOurs is a learned $rofession, not a ere one.?getting trade . . . . #uits to !olle!t fees should -e a'oided. Onl. where the
!ir!ustan!es i$erati'el. require, should resort -e had to a suit to !o$el $a.ent. And where a law.er does resort to a suit
to enfor!e $a.ent of fees whi!h in'ol'es a dis!losure, he should !arefull. a'oid an. dis!losure not !learl. ne!essar. to
o-taining or defending his rights.E ABA O$inion 5:0 219463.
B&t c+. ABA O$inion 650 219683.
69. BAs a so!iet. in!reases in si7e, so$histi!ation and te!hnolog., the -od. of laws whi!h is required to !ontrol that so!iet.
also in!reases in si7e, s!o$e and !o$le(it.. >ith this growth, the law dire!tl. affe!ts ore and ore fa!ets of indi'idual
-eha'ior, !reating an e($anding need for legal ser'i!es on the $art of the indi'idual e-ers of the so!iet. . . . . As legal
guidan!e in so!ial and !oer!ial -eha'ior in!reasingl. -e!oes ne!essar., there will !oe a !on!urrent deand fro the
la.an that su!h guidan!e -e ade a'aila-le to hi. *his deand will not !oe fro those who are a-le to e$lo. the -est
legal talent, nor fro those who !an o-tain legal assistan!e at little or no !ost. =t will !oe fro the large Jforgotten iddle
in!oe !lass,; who !an neither afford to $a. $ro$ortionatel. large fees nor qualif. for ultra?low?!ost ser'i!es. *he legal
$rofession ust re!ogni7e this ine'ita-le deand and !onsider ethods where-. it !an -e satisfied. =f the $rofession fails to
$ro'ide su!h ethods, the lait. will.E %oent, P#o3i!in) L")al S"#3ic" +o# th" Mi!!l" Cla in Ci3il Matt"#2 Th" P#o0l"*4
th" D&t% an! a Sol&tion, 56 @. P=**. L ,&F. 811, 811?15 2196:3.
B*he issue is not whether we shall do soething or do nothing. *he deand for ordinar. e'er.da. legal <usti!e is so great
and the oral nature of the deand is so strong that the issue has -e!oe whether we de'ise, aintain, and su$$ort suita-le
agen!ies a-le to satisf. the deand or, -. our own default, for!e the go'ernent to ta)e o'er the <o-, su$$lant us, and
ultiatel. doinate us.E #ith, L")al S"#3ic" O++ic" +o# P"#on o+ Mo!"#at" M"an, 1949 >=#. L ,&F. 416, 418 219493.
40. BLaw.ers ha'e $e!uliar res$onsi-ilities for the <ust adinistration of the law and these res$onsi-ilities in!lude
$ro'iding ad'i!e and re$resentation for need. $ersons. *o a degree not alwa.s a$$re!iated -. the $u-li! at large, the -ar has
$erfored these o-ligations with 7eal and de'otion. *he %oittee is $ersuaded, howe'er, that a s.ste of <usti!e that
atte$ts, in id?twentieth !entur. Aeri!a, to eet the needs of the finan!iall. in!a$a!itated a!!used through $riar. or
e(!lusi'e relian!e on the un!o$ensated ser'i!es of !ounsel will $ro'e unsu!!essful and inadequate . . . . A s.ste of adequate
re$resentation, therefore, should -e stru!tured and finan!ed in a anner refle!ting its $u-li! i$ortan!e . . . . >e -elie'e that
fees for $ri'ate a$$ointed !ounsel should -e set -. the !ourt within a(iu liits esta-lished -. the statute.E ,&PO,* OF *H&
A**;K 9&A;# %O++. OA POF&,*K AAD *H& AD+=A=#*,A*=OA OF %,=+=AAL J@#*=%& 41?46 219663.
41. BAt $resent this re$resentation Cof those una-le to $a. usual feesD is -eing su$$lied in soe easure through the
s$ontaneous generosit. of indi'idual law.ers, through legal aid so!ieties, andIin!reasingl.Ithrough the organi7ed efforts of
the "ar. =f those who stand in need of this ser'i!e )now of its a'aila-ilit. and their need is in fa!t adequatel. et, the $re!ise
e!hanis -. whi!h this ser'i!e is $ro'ided -e!oes of se!ondar. i$ortan!e. =t is of great i$ortan!e, howe'er, that -oth
the i$ulse to render this ser'i!e, and the $lan for a)ing that i$ulse effe!ti'e, should arise within the legal $rofession
itself.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1516 219:83.
45. BFree legal !lini!s !arried on -. the organi7ed -ar are not ethi!all. o-<e!tiona-le. On the !ontrar., the. ser'e a 'er.
worthwhile $ur$ose and should -e en!ouraged.E ABA O$inion 191 219693.
46. B>hereas the Aeri!an "ar Asso!iation -elie'es that it is a fundaental dut. of the -ar to see to it that all $ersons
requiring legal ad'i!e -e a-le to attain it, irres$e!ti'e of their e!onoi! status . . . .
B,esol'ed, that the Asso!iation a$$ro'es and s$onsors the setting u$ -. state and lo!al -ar asso!iations of law.er referral
$lans and low?!ost legal ser'i!e ethods for the $ur$ose of dealing with !ases of $ersons who ight not otherwise ha'e the
-enefit of legal ad'i!e . . . .E P#oc""!in) o+ th" Ho&" o+ D"l")at" o+ th" A*"#ican Ba# Aociation, O!t. 60, 1946, /1 A.".A.
,&P. 106, 109?10219463.
44. B*he defense of indigent !iti7ens, without !o$ensation, is !arried on throughout the !ountr. -. law.ers re$resenting
legal aid so!ieties, not onl. with the a$$ro'al, -ut with the !oendation of those a!quainted with the wor). Aot infrequentl.
ser'i!es are rendered out of s.$ath. or for other $hilanthro$i! reasons, -. indi'idual law.ers who do not re$resent legal aid
so!ieties. *here is nothing whate'er in the %anons to $re'ent a law.er fro $erforing su!h an a!t, nor should there -e.E ABA
O$inion 148 2196:3.
4:. B&t c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 61 219083.
46. BOne of the highest ser'i!es the law.er !an render to so!iet. is to a$$ear in !ourt on -ehalf of !lients whose !auses are
in disfa'or with the general $u-li!.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc". 44 A.".A.J. 11:9, 1516
219:83.
One author $ro$oses the following $ro$osition to -e in!luded in BA Pro$er Oath for Ad'o!atesE1 B= re!ogni7e that it is
soeties diffi!ult for !lients with un$o$ular !auses to o-tain $ro$er legal re$resentation. = will do all that = !an to assure that
the !lient with the un$o$ular !ause is $ro$erl. re$resented, and that the law.er re$resenting su!h a !lient re!ei'es !redit fro
and su$$ort of the -ar for handling su!h a atter.E *hode, Th" Ethical Stan!a#! +o# th" A!3ocat", 69 *&PA# L. ,&F. :/:, :95
219613.
O6068 . . . . =t is the dut. of an attorne.1
. . . .
B2h3 Ae'er to re<e!t, for an. !onsideration $ersonal to hiself, the !ause of the defenseless or the o$$ressed.E %AL. "@#=A&##
AAD P,OF&##=OA# %OD& O6068 2>est 19653. Firtuall. the sae language is found in the Oregon statutes at O,&. ,&F. #*A*#. %h. 9
O9.460283.
S"" ,ostow, Th" La1%"# an! Hi Cli"nt. 48 A.".A.J. 5: and 146 219653.
4/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# / and 59 219083.
B>e are of the o$inion that it is not $rofessionall. i$ro$er for a law.er to a!!e$t e$lo.ent to !o$el another law.er to
honor the <ust !lai of a la.an. On the !ontrar., it is highl. $ro$er that he do so. @nfortunatel., there a$$ears to -e a
wides$read feeling aong la.en that it is diffi!ult, if not i$ossi-le, to o-tain <usti!e when the. ha'e !lais against
e-ers of the "ar -e!ause other law.ers will not a!!e$t e$lo.ent to $ro!eed against the. *he honor of the $rofession,
whose e-ers $roudl. st.le thesel'es offi!ers of the !ourt, ust surel. -e sullied if its e-ers -ind thesel'es -.
!usto to refrain fro enfor!ing <ust !lais of la.en against law.ers.E ABA O$inion 144 2196:3.
48. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 4 219083 uses a slightl. different test, sa.ing, BA law.er assigned as
!ounsel for an indigent $risoner ought not to as) to -e e(!used for an. tri'ial reason . . . .E
49. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA / 219083.
:0. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA : 219083.
:1. Dr. Johnson;s re$l. to "oswell u$on -eing as)ed what he thought of Bsu$$orting a !ause whi!h .ou )now to -e -adE
was1 B#ir, .ou do not )now it to -e good or -ad till the Judge deterines it. = ha'e said that .ou are to state fa!ts fairl.4 so that
.our thin)ing, or what .ou !all )nowing, a !ause to -e -ad, ust -e fro reasoning, ust -e fro su$$osing .our arguents
to -e wea) and in!on!lusi'e. "ut, #ir, that is not enough. An arguent whi!h does not !on'in!e .ourself, a. !on'in!e the
Judge to who .ou urge it1 and if it does !on'in!e hi, wh., then, #ir, .ou are wrong, and he is right.E 5 "O#>&LL, *H& L=F& OF
JOHA#OA 4/?48 2Hill ed. 188/3.
:5. B*he law.er de!iding whether to underta)e a !ase ust -e a-le to <udge o-<e!ti'el. whether he is !a$a-le of handling
it and whether he !an assue its -urdens without $re<udi!e to $re'ious !oitents . . . .E P#o+"ional R"$oni0ilit%2
R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:8, 1518 219:83.
:6. B*he law.er ust de!line to !ondu!t a !i'il !ause or to a)e a defense when !on'in!ed that it is intended erel. to
harass or to in<ure the o$$osite $art. or to wor) o$$ression or wrong.E A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 60 219083.
:4. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA / 219083.
::. I!.
BFro the fa!ts stated we assue that the !lient has dis!harged the first attorne. and gi'en noti!e of the dis!harge. #u!h
-eing the !ase, the se!ond attorne. a. $ro$erl. a!!e$t e$lo.ent. Canon 8C O$inion 1(4 1-(4 15:.EABA O$inion 509
219413.
:6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 44 219083.
B= will !arefull. !onsider, -efore ta)ing a !ase, whether it a$$ears that = !an full. re$resent the !lient within the fraewor)
of law. =f the de!ision is in the affirati'e then it will ta)e e(tree !ir!ustan!es to !ause e to de!ide later that = !annot so
re$resent hi.E *hode, Th" Ethical Stan!a#! +o# th" A!3ocat", 69 *&PA# L. ,&F. :/:, :95 219613 2fro BA Pro$er Oath for
Ad'o!atesE3.
:/. ABA O$inion 614 2l96:3 held that a law.er should not disasso!iate hiself fro a !ause when Bit is o-'ious that the
'er. a!t of disasso!iation would ha'e the effe!t of 'iolating Canon -8.E
:8. A"A %AAOA 44 enuerates instan!es in whi!h B . . . the law.er a. -e warranted in withdrawing on due noti!e to the
!lient, allowing hi tie to e$lo. another law.er.E
:9. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 44 2 19083.
60. Aended, Fe-ruar. 19/:, House =nforational ,e$ort Ao. 110.
61. Aended, August 19/8, House =nforational ,e$ort Ao. 160.
65. I!.
66. Aended, Fe-ruar. 19/6, House =nforational ,e$ort Ao. 100.
64. S"" ABA O$inion 601 219613.
6:. BC=Dt has -e!oe !oon$la!e for an. law.ers to $arti!i$ate in go'ernent ser'i!e4 to den. the the right, u$on
their return to $ri'ate $ra!ti!e, to refer to their $rior e$lo.ent in a -rief and dignified anner, would $la!e an undue
liitation u$on a large eleent of our $rofession. =t is entirel. $ro$er for a e-er of the $rofession to e($lain his a-sen!e
fro $ri'ate $ra!ti!e, where su!h is the $riar. $ur$ose of the announ!eent, -. a -rief and dignified referen!e to the $rior
e$lo.ent.
B. . . CADn. su!h announ!eent should -e liited to the iediate $ast !onne!tion of the law.er with the go'ernent,
ade u$on his lea'ing that $osition to enter $ri'ate $ra!ti!e.E ABA O$inion 601 219613.
66. S"" ABA O$inion 5:1 219463.
6/. B*hose law.ers who are wor)ing for an indi'idual law.er or a law fir a. -e designated on the letterhead and in
other a$$ro$riate $la!es as Jasso!iates.; E ABA O$inion 610 219663.
68. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219083.
69. B&t "" ABA O$inion 58: 219:13.
/0. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 2190834 c+. ABA O$inion 618 2196/3, 56/ 2194:3, 519 219413, 508
219403. 195 219693, 9/ 219663, and 6 2195:3.
/1. ABA O$inion 618 2196/3 held, Ban.thing to the !ontrar. in Foral O$inion 61: or in the other o$inions !ited
notwithstanding that1 J>here a $artner whose nae a$$ears in the nae of a law fir is ele!ted or a$$ointed to high lo!al,
state or federal offi!e, whi!h offi!e he intends to o!!u$. onl. te$oraril., at the end of whi!h tie he intends to return to his
$osition with the fir, and $ro'ided that he is not $re!luded -. holding su!h offi!e fro engaging in the $ra!ti!e of law and
does not in fa!t se'er his relationshi$ with the fir -ut onl. ta)es a lea'e of a-sen!e, and $ro'ided that there is no lo!al law,
statute or !usto to the !ontrar., his nae a. -e retained in the fir nae during his ter or ters of offi!e, -ut onl. if
$ro$er $re!autions are ta)en not to islead the $u-li! as to his degree of $arti!i$ation in the fir;s affairs.; E
C+. ABA O$inion 146 2196:3, Aew Kor) %ount. O$inion 6/, and Aew Kor) %it. O$inions 66 and /984 0&t c+. ABA O$inion
195 219693 and +i!higan O$inion 164.
/5. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219083.
/6. Aended, Fe-ruar. 19/9, House =nforational ,e$ort Ao. 156.
/4. S"" ABA O$inion 5// 2194834 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219083 and ABA O$inion 618 2196/3,
156 2196:3, 11: 219643, 106 219643, and 1686 219//3.
/:. S"" ABA O$inion 618 2196/3 and 616 2196/34 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219083.
/6. D, 5?1052&3 was deleted and D, 5?1052F3 was redesignated as D, 5?1052&3 in Fe-ruar. 1980, House =nforational
,e$ort Ao. 10/.
//. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 58 219083.
/8. B>e thin) it !lear that a law.er;s see)ing e$lo.ent in an ordinar. law offi!e, or a$$ointent to a !i'il ser'i!e
$osition, is not $rohi-ited -. . . . C%anon 5/D.E ABA O$inion 19/ 219693.
/9. BCAD law.er a. not see) fro $ersons not his !lients the o$$ortunit. to $erfor . . . a ClegalD !he!)?u$.E ABA
O$inion 60/ 219653.
80. C+. ABA O$inion /8 219653.
81. BAo finan!ial !onne!tion of an. )ind -etween the "rotherhood and an. law.er is $erissi-le. Ao law.er !an $ro$erl.
$a. an. aount whatsoe'er to the "rotherhood or an. of its de$artents, offi!ers or e-ers as !o$ensation,
rei-urseent of e($enses or gratuit. in !onne!tion with the $ro!ureent of a !ase.;E =n re "rotherhood of ,. ,. *rainen,
16 =11. 5d 691, 698, 1:0 A. &. 5d 166, 16/ 219:83, ?&ot"! in =n re ,atner, 194 Gan. 665, 6/5, 699 P.5d 86:, 8/6 2196:3.
S"" ABA O$inion 14/ 2196:3.
85. Aended, Fe-ruar. 19/:, House =nforational ,e$ort Ao. 110.
86. B*his %ourt has !ondened the $ra!ti!e of a-ulan!e !hasing through the edia of runners and touters. =n siilar
fashion we ha'e with equal e$hasis !ondened the $ra!ti!e of dire!t soli!itation -. a law.er. >e ha'e !lassified -oth
offenses as serious -rea!hes of the %anons of &thi!s deanding se'ere treatent of the offending law.er.E #tate '. Dawson,
111 #o. 5d 45/, 461 2Fla. 19:93.
84. B,egistrants Cof a law.er referral $lanD a. -e required to !ontri-ute to the e($ense of o$erating it -. a reasona-le
registration !harge or -. a reasona-le $er!entage of fees !olle!ted -. the.E ABA O$inion 591 219:63.
C+. ABA O$inion 55/ 219413.
8:. Aended, Fe-ruar. 19/:, House =nforational ,e$ort Ao. 110.
86. C+. ABA O$inion 148 2196:3.
8/. @nited +ine >or)ers '. =ll. #tate "ar Ass;n, 689 @.#. 51/, 19 L. &d. 5d 456, 88 #. %t. 6:6 2196/34 "rotherhood of
,.,. *rainen '. Firginia, 6/1 @.#. 1, 15 L. &d. 5d 89, 84 #. %t. 1116 2196434 AAA%P '. "utton, 6/1 @.#. 41:, 9 L. &d. 5d
40:, 86 #. %t. 658 219663. Also "" ABA O$inion 665 219/63 and 666 219/63.
88. Aended, Fe-ruar. 19/:, House =nforational ,e$ort Ao. 110.
89. B=f a -ar asso!iation has e-ar)ed on a $rogra of institutional ad'ertising for an annual legal !he!)?u$ and $ro'ides
-ro!hures and re$rints, it is not i$ro$er to ha'e these a'aila-le in the law.er;s offi!e for $ersons to read and ta)e.E ABA
O$inion 60/ 219653.
C+. ABA O$inion 151 219643.
90. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 58 219083.
91. C+. ABA O$inion 559 219413 and 1/6 2196/3.
95. B=t !ertainl. is not i$ro$er for a law.er to ad'ise his regular !lients of new statutes, !ourt de!isions, and
adinistrati'e rulings, whi!h a. affe!t the !lient;s interests, $ro'ided the !ouni!ation is stri!tl. liited to su!h
inforation . . . .
B>hen su!h !ouni!ations go to !on!erns or indi'iduals other than regular !lients of the law.er, the. are thinl.
disguised ad'ertiseents for $rofessional e$lo.ent, and are o-'iousl. i$ro$er.E ABA O$inion 516 219413.
B=t is our o$inion that where the law.er has no reason to -elie'e that he has -een su$$lanted -. another law.er, it is not
onl. his right, -ut it ight e'en -e his dut. to ad'ise his !lient of an. !hange of fa!t or law whi!h ight defeat the !lient;s
testaentar. $ur$ose as e($ressed in the will.
BPeriodi! noti!es ight -e sent to the !lient for who a law.er has drawn a will, suggesting that it ight -e wise for the
!lient to ree(aine his will to deterine whether or not there has -een an. !hange in his situation requiring a odifi!ation of
his will.E ABA O$inion 510 219413.
C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 58 219083.
96. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
94. Aended, Fe-ruar. 19/:, House =nforational ,e$ort Ao. 110.
9:. C+. ABA O$inion 168 2196/3.
96. B&t c+. ABA O$inion 111 219643.
9/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 4: 2190834 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 46, and 46
219083.
98. *his $ro'ision is in!luded to !onfor to a!tion ta)en -. the A"A House of Delegates at the +id?>inter +eeting,
Januar., 1969.
99. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 15 219083.
100. *he !harging of a B!learl. e(!essi'e feeE is a ground for dis!i$line. #tate e( rel. Ae-ras)a #tate "ar Ass;n '. ,i!hards,
16: Ae-. 80, 90, 84 A.>.5d 166, 146 219:/3.
BAn attorne. has the right to !ontra!t for an. fee he !hooses so long as it is not e(!essi'e 2see O$inion 1903, and this
%oittee is not !on!erned with the aount of su!h fees unless so e(!essi'e as to !onstitute a isa$$ro$riation of the !lient;s
funds 2see O$inion 5/3.E ABA O$inion 650 219683.
C+. ABA O$inion 509 219403, 190 219693, and 5/ 219603 and #tate e( rel. Lee '. "u!hanan, 191 #o. 5d 66 2Fla. 19663.
101. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 16 2190834 "" )"n"#all% +A%G=AAOA, %OA*=A9&A* F&&# FO, L&9AL
#&,F=%&# 219643 2A ,e$ort of the Aeri!an "ar Foundation3.
105. B%ontingent fees, whether in !i'il or !riinal !ases, are a s$e!ial !on!ern of the law . . . .
B=n !riinal !ases, the rule is stri!ter -e!ause of the danger of !orru$ting <usti!e. *he se!ond $art of #e!tion :45 of the
,estateent Cof %ontra!tsD reads1 JA -argain to !ondu!t a !riinal !ase . . . in !onsideration of a $roise of a fee !ontingent on
su!!ess is illegal . . . .; E Pe.ton '. +argiotti, 698 Pa. 86, 1:6 A.5d 86:, 96/ 219:93.
B*he third area of $ra!ti!e in whi!h the use of the !ontingent fee is generall. !onsidered to -e $rohi-ited is the $rose!ution
and defense of !riinal !ases. Howe'er, there are so few !ases, and these are $redoinantl. old, that it is dou-tful that there
!an -e said to -e an. !urrent law on the su-<e!t . . . . =n the a-sen!e of !ases on the 'alidit. of !ontingent fees for defense
attorne.s, it is ne!essar. to rel. on the !onsensus aong !oentators that su!h a fee is 'oid as against $u-li! $oli!.. *he
nature of !riinal $ra!ti!e itself a)es unli)el. the use of !ontingent fee !ontra!ts.E +A%G=AAOA, %OA*=A9&A* F&&# FO, L&9AL
#&,F=%&# :5 219643 2A ,e$ort of the Aeri!an "ar Foundation3.
106. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 64 219083 and ABA O$inion 616 2196/3 and 594 219:834 ""
)"n"#all% ABA O$inion 56: 2194:3, 504 219403, 190 219693, 1/1 2196/3, 1:6 219663, 9/ 219663, 66 219653, 58 219603, 5/
219603, and 18 219603.
104. BCanon 1, !onte$lates that a law.er;s fee should not e(!eed the 'alue of the ser'i!es rendered . . . .
BCanon 1, a$$lies, whether <oint or se$arate fees are !harged C-. asso!iate attorne.sD . . . .E ABA O$inion 504 219403.
10:. BCAD general !o'enant restri!ting an e$lo.ed law.er, after lea'ing the e$lo.ent, fro $ra!ti!ing in the
!ounit. for a stated $eriod, a$$ears to this %oittee to -e an unwarranted restri!tion on the right of a law.er to !hoose
where he will $ra!ti!e and in!onsistent with our $rofessional status. A!!ordingl., the %oittee is of the o$inion it would -e
i$ro$er for the e$lo.ing law.er to require the !o'enant and li)ewise for the e$lo.ed law.er to agree to it.E ABA O$inion
600 219613.
106. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 60 219083.
BR&l" 1- . . . . A e-er of the #tate "ar shall not a!!e$t e$lo.ent to $rose!ute or defend a !ase solel. out of s$ite, or
solel. for the $ur$ose of harassing or dela.ing another . . . .E %AL. "@#=A&## AAD P,OF&##=OA# %OD& O606/ 2>est 19653.
10/. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 44 219083.
108. S"" alo +OD&L %OD& OF P,OF&##=OAAL ,&#POA#="=L=*K, D, :?105 and D, :?10:.
109. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 4 219083.
110. C+. Anders '. %alifornia, 686 @.#. /68, 18 L. &d. 5d 496, 8/ #. %t. 1696 2196/3, #"h"a#in) !"ni"!, 688 @.#. 954, 18 L.
&d. 5d 16//, 8/ #. %t. 5094 2196/3.
CANON *
A La!er S"o#l$ Assist
In Pre0entin% t"e .na#t"ori5e$
Practice of La!
ET'ICAL CONSIDERATIONS
&% 6?1 *he $rohi-ition against the $ra!ti!e of law -. a la.an is grounded in the need of the
$u-li! for integrit. and !o$eten!e of those who underta)e to render legal ser'i!es. "e!ause of the
fidu!iar. and $ersonal !hara!ter of the law.er?!lient relationshi$ and the inherentl. !o$le( nature
of our legal s.ste, the $u-li! !an -etter -e assured of the requisite res$onsi-ilit. and !o$eten!e if
the $ra!ti!e of law is !onfined to those who are su-<e!t to the requireents and regulations i$osed
u$on e-ers of the legal $rofession.
EC *() *he sensiti'e 'ariations in the !onsiderations that -ear on legal deterinations often a)e
it diffi!ult e'en for a law.er to e(er!ise a$$ro$riate $rofessional <udgent, and it is therefore
essential that the $ersonal nature of the relationshi$ of !lient and law.er -e $reser'ed. %o$etent
$rofessional <udgent is the $rodu!t of a trained failiarit. with law and legal $ro!esses, a
dis!i$lined, anal.ti!al a$$roa!h to legal $ro-les, and a fir ethi!al !oitent.
EC *(* A non?law.er who underta)es to handle legal atters is not go'erned as to integrit. or
legal !o$eten!e -. the sae rules that go'ern the !ondu!t of a law.er. A law.er is not onl. su-<e!t
to that regulation -ut also is !oitted to high standards of ethi!al !ondu!t. *he $u-li! interest is
-est ser'ed in legal atters -. a regulated $rofession !oitted to su!h standards.
1
*he Dis!i$linar.
,ules $rote!t the $u-li! in that the. $rohi-it a law.er fro see)ing e$lo.ent -. i$ro$er
o'ertures, fro a!ting in !ases of di'ided lo.alties, and fro su-itting to the !ontrol of others in the
e(er!ise of his <udgent. +oreo'er, a $erson who entrusts legal atters to a law.er is $rote!ted -.
the attorne.?!lient $ri'ilege and -. the dut. of the law.er to hold in'iolate the !onfiden!es and
se!rets of his !lient.
EC *(+ A la.an who see)s legal ser'i!es often is not in a $osition to <udge whether he will
re!ei'e $ro$er $rofessional attention. *he entrustent of a legal atter a. well in'ol'e the
!onfiden!es, the re$utation, the $ro$ert., the freedo, or e'en the life of the !lient. Pro$er $rote!tion
of e-ers of the $u-li! deands that no $erson -e $eritted to a!t in the !onfidential and
deanding !a$a!it. of a law.er unless he is su-<e!t to the regulations of the legal $rofession.
EC *(, =t is neither ne!essar. nor desira-le to atte$t the forulation of a single, s$e!ifi!
definition of what !onstitutes the $ra!ti!e of law.
5
Fun!tionall., the $ra!ti!e of law relates to the
rendition of ser'i!es for others that !all for the $rofessional <udgent of a law.er. *he essen!e of the
$rofessional <udgent of the law.er is his edu!ated a-ilit. to relate the general -od. and $hiloso$h.
of law to a s$e!ifi! legal $ro-le of a !lient4 and thus, the $u-li! interest will -e -etter ser'ed if onl.
law.ers are $eritted to a!t in atters in'ol'ing $rofessional <udgent. >here this $rofessional
<udgent is not in'ol'ed, non?law.ers, su!h as !ourt !ler)s, $oli!e offi!ers, a-stra!ters, and an.
go'ernental e$lo.ees, a. engage in o!!u$ations that require a s$e!ial )nowledge of law in
!ertain areas. "ut the ser'i!es of a law.er are essential in the $u-li! interest whene'er the e(er!ise of
$rofessional legal <udgent is required.
EC *(- A law.er often delegates tas)s to !ler)s, se!retaries, and other la. $ersons. #u!h
delegation is $ro$er if the law.er aintains a dire!t relationshi$ with his !lient, su$er'ises the
delegated wor), and has !o$lete $rofessional res$onsi-ilit. for the wor) $rodu!t.
6
*his delegation
ena-les a law.er to render legal ser'i!e ore e!onoi!all. and effi!ientl..
EC *(1 *he $rohi-ition against a non?law.er $ra!ti!ing law does not $re'ent a la.an fro
re$resenting hiself, for then he is ordinaril. e($osing onl. hiself to $ossi-le in<ur.. *he $ur$ose
of the legal $rofession is to a)e edu!ated legal re$resentation a'aila-le to the $u-li!4 -ut an.one
who does not wish to a'ail hiself of su!h re$resentation is not required to do so. &'en so, the legal
$rofession should hel$ e-ers of the $u-li! to re!ogni7e legal $ro-les and to understand wh. it
a. -e unwise for the to a!t for thesel'es in atters ha'ing legal !onsequen!es.
EC *(2 #in!e a law.er should not aid or en!ourage a la.an to $ra!ti!e law, he should not
$ra!ti!e law in asso!iation with a la.an or otherwise share legal fees with a la.an.
4
*his does not
ean, howe'er, that the $e!uniar. 'alue of the interest of a de!eased law.er in his fir or $ra!ti!e
a. not -e $aid to his estate or s$e!ified $ersons su!h as his widow or heirs.
:
=n li)e anner, $rofit?
sharing retireent $lans of a law.er or law fir whi!h in!lude non?law.er offi!e e$lo.ees are not
i$ro$er.
6
*hese liited e(!e$tions to the rule against sharing legal fees with la.en are $erissi-le
sin!e the. do not aid or en!ourage la.en to $ra!ti!e law.
EC *(3 ,egulation of the $ra!ti!e of law is a!!o$lished $rin!i$all. -. the res$e!ti'e states.
/
Authorit. to engage in the $ra!ti!e of law !onferred in an. <urisdi!tion is not $er se a grant of the
right to $ra!ti!e elsewhere, and it is i$ro$er for a law.er to engage in $ra!ti!e where he is not
$eritted -. law or -. !ourt order to do so. Howe'er, the deands of -usiness and the o-ilit. of
our so!iet. $ose distin!t $ro-les in the regulation of the $ra!ti!e of law -. the states.
8
=n furtheran!e
of the $u-li! interest, the legal $rofession should dis!ourage regulation that unreasona-l. i$oses
territorial liitations u$on the right of a law.er to handle the legal affairs of his !lient or u$on the
o$$ortunit. of a !lient to o-tain the ser'i!es of a law.er of his !hoi!e in all atters in!luding the
$resentation of a !ontested atter in a tri-unal -efore whi!h the law.er is not $eranentl. aditted
to $ra!ti!e.
9
DISCIPLINARY R.LES
D, 6?101 ?Aiding @nauthori7ed Pra!ti!e of Law.
10
2A3 ?A law.er shall not aid a non?law.er in the unauthori7ed $ra!ti!e of law.
11
2"3 ?A law.er shall not $ra!ti!e law in a <urisdi!tion where to do so would -e in 'iolation of
regulations of the $rofession in that <urisdi!tion.
15
D, 6?105 ?Di'iding Legal Fees with a Aon?Law.er.
2A3 ?A law.er or law fir shall not share legal fees with a non?law.er,
16
e(!e$t that1
213 ?An agreeent -. a law.er with his fir, $artner, or asso!iate a. $ro'ide for the
$a.ent of one., o'er a reasona-le $eriod of tie after his death, to his estate or to one or ore
s$e!ified $ersons.
14
253 ?A law.er who underta)es to !o$lete unfinished legal -usiness of a de!eased law.er
a. $a. to the estate of the de!eased law.er that $ro$ortion of the total !o$ensation whi!h fairl.
re$resents the ser'i!es rendered -. the de!eased law.er.
263 ?A law.er or law fir a. in!lude non?law.er e$lo.ees in a retireent $lan, e'en
though the $lan is -ased in whole or in $art on a $rofit?sharing arrangeent,
1:
$ro'iding su!h $lan
does not !ir!u'ent another Dis!i$linar. ,ule.
16, 1/
D, 6?106 ?Foring a Partnershi$ with a Aon?Law.er.
2A3 ?A law.er shall not for a $artnershi$ with a non?law.er if an. of the a!ti'ities of the
$artnershi$ !onsist of the $ra!ti!e of law.
18
NOTES
1. B*he !ondenation of the unauthori7ed $ra!ti!e of law is designed to $rote!t the $u-li! fro legal ser'i!es -. $ersons
uns)illed in the law. *he $rohi-ition of la. interediaries is intended to insure the lo.alt. of the law.er to the !lient
uni$aired -. inter'ening and $ossi-l. !onfli!ting interests.E %heatha, A3aila0ilit% o+ L")al S"#3ic"2 Th" R"$oni0ilit% o+
th" In!i3i!&al La1%"# an! o+ th" O#)ani<"! Ba#, 15 @.%.L.A. L. ,&F. 468, 469 2196:3.
5. B>hat !onstitutes unauthori7ed $ra!ti!e of the law in a $arti!ular <urisdi!tion is a atter for deterination -. the
!ourts of that <urisdi!tion.E ABA O$inion 198 219693.
B=n the light of the histori!al de'elo$ent of the law.er;s fun!tions, it is i$ossi-le to la. down an e(hausti'e definition of
Jthe $ra!ti!e of law; -. atte$ting to enuerate e'er. !on!ei'a-le a!t $erfored -. law.ers in the noral !ourse of their
wor).E #tate "ar of Ari7ona '. Ari7ona Land *itle Q *rust %o., 90 Ari7., /6, 8/, 666 P.5d 1, 8?9 219613, *o!i+i"!, 91 Ari7. 596,
6/1 P.5d 1050 219653.
6. BA law.er !an e$lo. la. se!retaries, la. in'estigators, la. dete!ti'es, la. resear!hers, a!!ountants, la. s!ri'eners,
nonlaw.er draftsen or nonlaw.er resear!hers. =n fa!t, he a. e$lo. nonlaw.ers to do an. tas) for hi e(!e$t !ounsel
!lients a-out law atters, engage dire!tl. in the $ra!ti!e of law, a$$ear in !ourt or a$$ear in foral $ro!eedings that are a $art
of the <udi!ial $ro!ess, so long as it is he who ta)es the wor) and 'ou!hes for it to the !lient and -e!oes res$onsi-le to the
!lient.E ABA O$inion 616 2196/3.
ABA O$inion 616 2196/3 also stated that if a law.er $ra!ti!es law as $art of a law fir whi!h in!ludes law.ers fro se'eral
states, he a. delegate tas)s to fir e-ers in other states so long as he Bis the $erson who, on -ehalf of the fir, 'ou!hed
for the wor) of all of the others and, with the !lient and in the !ourts, did the legal a!ts defined -. that state as the $ra!ti!e of
law.E
BA law.er !annot delegate his $rofessional res$onsi-ilit. to a law student e$lo.ed in his offi!e. He a. a'ail hiself of
the assistan!e of the student in an. of the fields of the law.er;s wor), su!h as e(aination of !ase law, finding and
inter'iewing witnesses, a)ing !olle!tions of !lais, e(aining !ourt re!ords, deli'ering $a$ers, !on'e.ing i$ortant
essages, and other siilar atters. "ut the student is not $eritted, until he is aditted to the "ar, to $erfor the
$rofessional fun!tions of a law.er, su!h as !ondu!ting !ourt trials, gi'ing $rofessional ad'i!e to !lients or drawing legal
do!uents for the. *he student in all his wor) ust a!t as agent for the law.er e$lo.ing hi, who ust su$er'ise his wor)
and -e res$onsi-le for his good !ondu!t.E ABA O$inion 8: 219653.
4. BAo di'ision of fees for legal ser'i!es is $ro$er, e(!e$t with another law.er . . . .E A"A %AAOA# OF P,OF&##=OAAL &*H=%#,
%AAOA 64 219083. Otherwise, a!!ording to ABA O$inion 616 2196/3, BCtDhe %anons of &thi!s do not e(aine into the ethod
-. whi!h su!h $ersons are reunerated -. the law.er . . . . *he. a. -e $aid a salar., a $er die !harge, a flat fee, a !ontra!t
$ri!e, et!.E
S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 66 and 4/ 219083.
:. B+an. $artnershi$ agreeents $ro'ide that the a!ti'e $artners, on the death of an. one of the, are to a)e $a.ents
to the estate or to the noinee of a de!eased $artner on a $re?deterined forula. =t is onl. where the effe!t of su!h an
arrangeent is to a)e the estate or noinee a e-er of the $artnershi$ along with the sur'i'ing $artners that it is $rohi-ited
-. Canon -5. >here the $a.ents are ade in a!!ordan!e with a $re?e(isting agreeent entered into -. the de!eased $artner
during his lifetie and $ro'iding for a fi(ed ethod for deterining their aount -ased u$on the 'alue of ser'i!es rendered
during the $artner;s lifetie and $ro'iding for a fi(ed $eriod o'er whi!h the $a.ents are to -e ade, this is not the !ase.
@nder these !ir!ustan!es, whether the $a.ents are !onsidered to -e dela.ed $a.ent of !o$ensation earned -ut withheld
during the $artner;s lifetie, or whether the. are !onsidered to -e an a$$ro(iation of his interest in atters $ending at the
tie of his death, is iaterial. =n either e'ent, as Henr. #. Drin)er sa.s in his -oo), L&9AL &*H=%#, at $age 1891 J=t would
see, howe'er, that a reasona-le agreeent to $a. the estate a $ro$ortion of the re!ei$ts for a reasona-le $eriod is a $ro$er
$ra!ti!al settleent for the law.er;s ser'i!es to his retireent or death.; E ABA O$inion 608 219663.
6. C+. ABA O$inion 611 219643.
/. B*hat the #tates ha'e -road $ower to regulate the $ra!ti!e of law is, of !ourse, -e.ond question.E @nited +ine
>or)ers '. =ll. #tate "ar Ass;n, 689 @.#. 51/, 555 2196/3.
B=t is a atter of law, not of ethi!s, as to where an indi'idual a. $ra!ti!e law. &a!h state has its own rules.E ABA O$inion
616 2196/3.
8. B+u!h of !lients; -usiness !rosses state lines. Peo$le are o-ile, o'ing fro state to state. +an. etro$olitan areas
!ross state lines. =t is !oon toda. to ha'e a single e!onoi! and so!ial !ounit. in'ol'ing ore than one state. *he
-usiness of a single !lient a. in'ol'e legal $ro-les in se'eral states.E ABA O$inion 616 2196/3.
9. BC>De reaffired the general $rin!i$le that legal ser'i!es to Aew Jerse. residents with res$e!t to Aew Jerse. atters
a. ordinaril. -e furnished onl. -. Aew Jerse. !ounsel4 -ut we $ointed out that there a. -e ultistate transa!tions where
stri!t adheren!e to this thesis would not -e in the $u-li! interest and that, under the !ir!ustan!es, it would ha'e -een not onl.
ore !ostl. to the !lient -ut also Jgrossl. i$ra!ti!al and ineffi!ient; to ha'e had the settleent negotiations !ondu!ted -.
se$arate law.ers fro different states.E =n re &state of >aring, 4/ A.J. 66/, 6/6, 551 A.5d 196, 19/ 219663.
C+. ABA O$inion 616 2196/3.
10. %ondu!t $eritted -. Dis!i$linar. ,ules of %anons 5 and : does not 'iolate D, 6?101.
11. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 4/ 219083.
15. =t should -e noted, howe'er, that a law.er a. engage in !ondu!t, otherwise $rohi-ited -. this Dis!i$linar. ,ule,
where su!h !ondu!t is authori7ed -. $ree$ti'e federal legislation. S"" #$err. '. Florida, 6/6 @.#. 6/9, 10 L. &d. 5d 458, 86
#. %t. 1655 219663.
16. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 64 219083 and ABA O$inion 616 2196/3, 180 219683, and 48 219613.
B*he re!ei'ing attorne. shall not under an. guise or for share his fee for legal ser'i!es with a la. agen!., $ersonal or
!or$orate, without $re<udi!e, howe'er, to the right of the la. forwarder to !harge and !olle!t fro the !reditor $ro$er
!o$ensation for non?legal ser'i!es rendered -. the law CicD forwarder whi!h are se$arate and a$art fro the ser'i!es
$erfored -. the re!ei'ing attorne..E ABA O$inion 594 219:83.
14. S"" ABA O$inion 566 2194:3.
1:. C+. ABA O$inion 611 219643.
16. S"" ABA O$inion l440
1/. Aended, Fe-ruar. 1980, House =nforational ,e$ort Ao. 10/.
18. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 2190834 c+. ABA O$inion 569 219453 and 501 219403
ABA O$inion 616 2196/3 states that law.ers li!ensed in different <urisdi!tions a., under !ertain !onditions, enter Binto an
arrangeent for the $ra!ti!e of lawE and that a law.er li!ensed in #tate A is not, for su!h $ur$ose, a la.an in #tate ".
CANON +
A La!er S"o#l$ Preser0e
t"e Confi$ences an$ Secrets
of a Client
ET'ICAL CONSIDERATIONS
&% 4?1 "oth the fidu!iar. relationshi$ e(isting -etween law.er and !lient and the $ro$er
fun!tioning of the legal s.ste require the $reser'ation -. the law.er of !onfiden!es and se!rets of
one who has e$lo.ed or sought to e$lo. hi.
1
A !lient ust feel free to dis!uss whate'er he
wishes with his law.er and a law.er ust -e equall. free to o-tain inforation -e.ond that
'olunteered -. his !lient.
5
A law.er should -e full. infored of all the fa!ts of the atter he is
handling in order for his !lient to o-tain the full ad'antage of our legal s.ste. =t is for the law.er in
the e(er!ise of his inde$endent $rofessional <udgent to se$arate the rele'ant and i$ortant fro the
irrele'ant and uni$ortant. *he o-ser'an!e of the ethi!al o-ligation of a law.er to hold in'iolate the
!onfiden!es and se!rets of his !lient not onl. fa!ilitates the full de'elo$ent of fa!ts essential to
$ro$er re$resentation of the !lient -ut also en!ourages la.en to see) earl. legal assistan!e.
EC +() *he o-ligation to $rote!t !onfiden!es and se!rets o-'iousl. does not $re!lude a law.er
fro re'ealing inforation when his !lient !onsents after full dis!losure,
6
when ne!essar. to $erfor
his $rofessional e$lo.ent, when $eritted -. a Dis!i$linar. ,ule, or when required -. law.
@nless the !lient otherwise dire!ts, a law.er a. dis!lose the affairs of his !lient to $artners or
asso!iates of his fir. =t is a atter of !oon )nowledge that the noral o$eration of a law offi!e
e($oses !onfidential $rofessional inforation to non?law.er e$lo.ees of the offi!e, $arti!ularl.
se!retaries and those ha'ing a!!ess to the files4 and this o-ligates a law.er to e(er!ise !are in
sele!ting and training his e$lo.ees so that the san!tit. of all !onfiden!es and se!rets of his !lients
a. -e $reser'ed. =f the o-ligation e(tends to two or ore !lients as to the sae inforation, a
law.er should o-tain the $erission of all -efore re'ealing the inforation. A law.er ust alwa.s -e
sensiti'e to the rights and wishes of his !lient and a!t s!ru$ulousl. in the a)ing of de!isions whi!h
a. in'ol'e the dis!losure of inforation o-tained in his $rofessional relationshi$.
4
*hus, in the
a-sen!e of !onsent of his !lient after full dis!losure, a law.er should not asso!iate another law.er in
the handling of a atter4 nor should he, in the a-sen!e of !onsent, see) !ounsel fro another law.er
if there is a reasona-le $ossi-ilit. that the identit. of the !lient or his !onfiden!es or se!rets would -e
re'ealed to su!h law.er. "oth so!ial aenities and $rofessional dut. should !ause a law.er to shun
indis!reet !on'ersations !on!erning his !lients.
EC +(* @nless the !lient otherwise dire!ts, it is not i$ro$er for a law.er to gi'e liited
inforation fro his files to an outside agen!. ne!essar. for statisti!al, -oo))ee$ing, a!!ounting,
data $ro!essing, -an)ing, $rinting, or other legitiate $ur$oses, $ro'ided he e(er!ises due !are in the
sele!tion of the agen!. and warns the agen!. that the inforation ust -e )e$t !onfidential.
EC +(+ *he attorne.?!lient $ri'ilege is ore liited than the ethi!al o-ligation of a law.er to
guard the !onfiden!es and se!rets of his !lient. *his ethi!al $re!e$t, unli)e the e'identiar. $ri'ilege,
e(ists without regard to the nature or sour!e of inforation or the fa!t that others share the
)nowledge. A law.er should endea'or to a!t in a anner whi!h $reser'es the e'identiar. $ri'ilege4
for e(a$le, he should a'oid $rofessional dis!ussions in the $resen!e of $ersons to who the
$ri'ilege does not e(tend. A law.er owes an o-ligation to ad'ise the !lient of the attorne.?!lient
$ri'ilege and tiel. to assert the $ri'ilege unless it is wai'ed -. the !lient.
EC +(, A law.er should not use inforation a!quired in the !ourse of the re$resentation of a
!lient to the disad'antage of the !lient and a law.er should not use, e(!e$t with the !onsent of his
!lient after full dis!losure, su!h inforation for his own $ur$oses.
:
Li)ewise, a law.er should -e
diligent in his efforts to $re'ent the isuse of su!h inforation -. his e$lo.ees and asso!iates.
6
%are should -e e(er!ised -. a law.er to $re'ent the dis!losure of the !onfiden!es and se!rets of one
!lient to another,
/
and no e$lo.ent should -e a!!e$ted that ight require su!h dis!losure.
EC +(- *he o-ligation of a law.er to $reser'e the !onfiden!es and se!rets of his !lient !ontinues
after the terination of his e$lo.ent.
8
*hus a law.er should not atte$t to sell a law $ra!ti!e as a
going -usiness -e!ause, aong other reasons, to do so would in'ol'e the dis!losure of !onfiden!es
and se!rets.
9
A law.er should also $ro'ide for the $rote!tion of the !onfiden!es and se!rets of his
!lient following the terination of the $ra!ti!e of the law.er, whether terination is due to death,
disa-ilit., or retireent. For e(a$le, a law.er ight $ro'ide for the $ersonal $a$ers of the !lient to
-e returned to hi and for the $a$ers of the law.er to -e deli'ered to another law.er or to -e
destro.ed. =n deterining the ethod of dis$osition, the instru!tions and wishes of the !lient should
-e a doinant !onsideration.
DISCIPLINARY R.LES
D, 4?101 ?Preser'ation of %onfiden!es and #e!rets of a %lient.
10
2A3 ?E%onfiden!eE refers to inforation $rote!ted -. the attorne.?!lient $ri'ilege under
a$$li!a-le law, and Bse!retE refers to other inforation gained in the $rofessional relationshi$ that the
!lient has requested -e held in'iolate or the dis!losure of whi!h would -e e-arrassing or would -e
li)el. to -e detriental to the !lient.
2"3 ?&(!e$t when $eritted under D, 4?1012%3, a law.er shall not )nowingl.1
213 ?,e'eal a !onfiden!e or se!ret of his !lient.
11
253 ?@se a !onfiden!e or se!ret of his !lient to the disad'antage of the !lient.
263 ?@se a !onfiden!e or se!ret of his !lient for the ad'antage of hiself
15
or of a third
$erson,
16
unless the !lient !onsents after full dis!losure.
2%3 ?A law.er a. re'eal1
213 ?%onfiden!es or se!rets with the !onsent of the !lient or !lients affe!ted, -ut onl. after a
full dis!losure to the.
14
253 ?%onfiden!es or se!rets when $eritted under Dis!i$linar. ,ules or required -. law or
!ourt order.
1:
263 ?*he intention of his !lient to !oit a !rie
16
and the inforation ne!essar. to $re'ent
the !rie.
1/
243 ?%onfiden!es or se!rets ne!essar. to esta-lish or !olle!t his fee
18
or to defend hiself or
his e$lo.ees or asso!iates against an a!!usation of wrongful !ondu!t.
19
2D3 ?A law.er shall e(er!ise reasona-le !are to $re'ent his e$lo.ees, asso!iates, and others
whose ser'i!es are utili7ed -. hi fro dis!losing or using !onfiden!es or se!rets of a !lient, e(!e$t
that a law.er a. re'eal the inforation allowed -. D, 4?1012%3 through an e$lo.ee.
NOTES
1. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 6 and 6/ 219083 and ABA O$inion 58/ 219:63.
B*he reason underl.ing the rule with res$e!t to !onfidential !ouni!ations -etween attorne. and !lient is well stated in
+&%H&+ OA A9&A%K, 5d &d., Fol. 5, O559/, as follows1 J*he $ur$oses and ne!essities of the relation -etween a !lient and his
attorne. require, in an. !ases, on the $art of the !lient, the fullest and freest dis!losures to the attorne. of the !lient;s o-<e!ts,
oti'es and a!ts. *his dis!losure is ade in the stri!test !onfiden!e, rel.ing u$on the attorne.;s honor and fidelit.. *o $erit
the attorne. to re'eal to others what is so dis!losed, would -e not onl. a gross 'iolation of a sa!red trust u$on his $art, -ut it
would utterl. destro. and $re'ent the usefulness and -enefits to -e deri'ed fro $rofessional assistan!e. "ased u$on
!onsiderations of $u-li! $oli!., therefore, the law wisel. de!lares that all !onfidential !ouni!ations and dis!losures, ade
-. a !lient to his legal ad'iser for the $ur$ose of o-taining his $rofessional aid or ad'i!e shall -e stri!tl. $ri'ileged4Ithat the
attorne. shall not -e $eritted, without the !onsent of his !lient,Iand u!h less will he -e !o$elledIto re'eal or dis!lose
!ouni!ations ade to hi under su!h !ir!ustan!es.; ABA O$inion 5:0219463.
B>hile it is true that !o$lete re'elation of rele'ant fa!ts should -e en!ouraged for trial $ur$oses, ne'ertheless an
attorne.;s dealings with his !lient, if -oth are sin!ere, and if the dealings in'ol'e ore than ere te!hni!al atters, should -e
iune to dis!o'er. $ro!eedings. *here ust -e freedo fro fear of re'ealent of atters dis!losed to an attorne. -e!ause
of the $e!uliarl. intiate relationshi$ e(isting.E &llis?Foster %o. '. @nion %ar-ide Q %ar-on %or$., 1:9 F. #u$$. 91/, 919
2D.A.J. 19:83.
C+. ABA O$inion 614 2196:3, 5/4 219463 and 568 2194:3.
5. B>hile it is the great $ur$ose of law to as!ertain the truth, there is the !ounter'ailing ne!essit. of insuring the right of
e'er. $erson to freel. and full. !onfer and !onfide in one ha'ing )nowledge of the law, and s)illed in its $ra!ti!e, in order that
the forer a. ha'e adequate ad'i!e and a $ro$er defense. *his assistan!e !an -e ade safel. and readil. a'aila-le onl. when
the !lient is free fro the !onsequen!es of a$$rehension of dis!losure -. reason of the su-sequent stateents of the s)illed
law.er.E "aird '. Goeer, 5/9 F.5d 656, 659?60 29th %ir. 19603.
C+. ABA O$inion 1:0 219663.
6. B>here . . . Ca !lientD )nowingl. and after full dis!losure $arti!i$ates in a Clegal feeD finan!ing $lan whi!h requires the
furnishing of !ertain inforation to the -an), !learl. -. his !ondu!t he has wai'ed an. $ri'ilege as to that inforation.E ABA
O$inion 650 219683
4. B*he law.er ust de!ide when he ta)es a !ase whether it is a suita-le one for hi to underta)e and after this de!ision
is ade, he is not <ustified in turning against his !lient -. e($osing in<urious e'iden!e entrusted to hi . . . . CDDoing soething
intrinsi!all. regretta-le, -e!ause the onl. alternati'e in'ol'es worse !onsequen!es, is a ne!essit. in e'er. $rofession.E
>=LL=#*OA, L=F& AAD LA> 5/1 219403.
C+. ABA O$inion 1// 219683 and 86 219653.
:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 11 2 19083.
6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6/ 219083.
/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 6 and 6/ 219083.
BCADn attorne. ust not a!!e$t $rofessional e$lo.ent against a !lient or a forer !lient whi!h will, or e'en a. require
hi to use !onfidential inforation o-tained -. the attorne. in the !ourse of his $rofessional relations with su!h !lient
regarding the su-<e!t atter of the e$lo.ent . . . .E ABA O$inion 16: 219663.
8. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6/ 219083.
B%onfidential !ouni!ations -etween an attorne. and his !lient, ade -e!ause of the relationshi$ and !on!erning the
su-<e!t?atter of the attorne.;s e$lo.ent, are generall. $ri'ileged fro dis!losure without the !onsent of the !lient, and this
$ri'ilege outlasts the attorne.;s e$lo.ent. Canon -8.E ABA O$inion 1:4 219663.
9. C+. ABA O$inion 566 2194:3.
10. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6/ 2190834 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6 219083.
11. BO6068 . . . =t is the dut. of an attorne.1
. . . .
B2e3 *o aintain in'iolate the !onfiden!e, and at e'er. $eril to hiself to $reser'e the se!rets, of his !lient. %AL. "@#=A&##
AAD P,OF&##=OA# %OD& O6068 2>est 19653. Firtuall. the sae $ro'ision is found in the Oregon statutes. O,&. ,&F. #*A*#. !h. 9
O9.4602:3.
B%ouni!ation -etween law.er and !lient are $ri'ileged 2>=9+O,& OA &F=D&A%&, 6d &d., Fol. 8,OO5590?56593. *he ode
theor. underl.ing the $ri'ilege is su-<e!ti'e and is to gi'e the !lient freedo of a$$rehension in !onsulting his legal ad'iser
2i0i!., O5590, $. :483. *he $ri'ilege a$$lies to !ouni!ations ade in see)ing legal ad'i!e for an. $ur$ose 2i0i!., O5594,
$.:663. *he ere !ir!ustan!e that the ad'i!e is gi'en without !harge therefor does not nullif. the $ri'ilege 2i0i!.,O56063.E
ABA O$inion 516 219413.
B=t is the dut. of an attorne. to aintain the !onfiden!e and $reser'e in'iolate the se!rets of his !lient . . . .E ABA O$inion
1:: 219663.
15. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 11 219083.
B*he $ro'ision res$e!ting e$lo.ent is in a!!ord with the general rule announ!ed in the ad<udi!ated !ases that a law.er
a. not a)e use of )nowledge or inforation a!quired -. hi through his $rofessional relations with his !lient, or in the
!ondu!t of his !lient;s -usiness, to his own ad'antage or $rofit 2/ %.J.#., O 15:, $. 9:8, Heal. '. 9ra., 184 =owa 111, 168 A.>
5554 "augardner '. Hudson, D.%. A$$., 5// F. ::54 9oodru '. %leent, D.% A$$., 5// F. :863E ABA O$inion 5:0 219463.
16. S"" ABA O$inion 1// 219683.
14. BCA law.erD a. not di'ulge !onfidential !ouni!ations, inforation, and se!rets i$arted to hi -. the !lient or
a!quired during their $rofessional relations unless he is authori7ed to do so -. the !lient 2Peo$le '. 9erold, 56: =ll. 448, 10/
A.&. 16:, 1/84 +ur$h. '. ,iggs, 568 +i!h. 1:1, 516 A.>. 110, 1154 0$inion of this %oittee, Ao. 913.E ABA O$inion 505
219403.
C+. ABA O$inion 91 219663.
1:. BA defendant in a !riinal !ase when aditted to -ail is not onl. regarded as in the !ustod. of his -ail, -ut he is also in
the !ustod. of the law, and adission to -ail does not de$ri'e the !ourt of its inherent $ower to deal with the $erson of the
$risoner. "eing in lawful !ustod., the defendant is guilt. of an es!a$e when he gains his li-ert. -efore he is deli'ered in due
$ro!ess of law, and is guilt. of a se$arate offense for whi!h he a. -e $unished. =n failing to dis!lose his !lient;s wherea-outs
as a fugiti'e under these !ir!ustan!es the attorne. would not onl. -e aiding his !lient to es!a$e trial on the !harge for whi!h
he was indi!ted, -ut would li)ewise -e aiding hi in e'ading $rose!ution for the additional offense of es!a$e.
B=t is the o$inion of the !oittee that under su!h !ir!ustan!es the attorne.;s )nowledge of his !lient;s wherea-outs is
not $ri'ileged, and that he a. -e dis!i$lined for failing to dis!lose that inforation to the $ro$er authorities . . . .E ABA
O$inion 1:: 219663.
B>e held in O$inion 1:: that a !ouni!ation -. a !lient to his attorne. in res$e!t to the future !oission of an
unlawful a!t or to a !ontinuing wrong is not $ri'ileged fro dis!losure. Pu-li! $oli!. for-ids that the relation of attorne. and
!lient should -e used to !on!eal wrongdoing on the $art of the !lient.
. . . .
B>hen an attorne. re$resenting a defendant in a !riinal !ase a$$lies on his -ehalf for $ro-ation or sus$ension of
senten!e, he re$resents to the !ourt, -. i$li!ation at least, that his !lient will a-ide -. the ters and !onditions of the !ourt;s
order. >hen that attorne. is later ad'ised of a 'iolation of that order, it is his dut. to ad'ise his !lient of the !onsequen!es of
his a!t, and endea'or to $re'ent a !ontinuan!e of the wrongdoing. =f his !lient thereafter $ersists in 'iolating the ters and
!onditions of his $ro-ation, it is the dut. of the attorne. as an offi!er of the !ourt to ad'ise the $ro$er authorities !on!erning
his !lient;s !ondu!t. #u!h inforation, e'en though !oing to the attorne. fro the !lient in the !ourse of his $rofessional
relations with res$e!t to other atters in whi!h he re$resents the defendant, is not $ri'ileged fro dis!losure . . . .E
S"" ABA O$inion 1:6 219663.
16. ABA O$inion 614 2196:3 indi!ates that a law.er ust dis!lose e'en the !onfiden!es of his !lients if Bthe fa!ts in the
attorne.;s $ossession indi!ate -e.ond reasona-le dou-t that a !rie will -e !oitted.E
S"" ABA O$inion 1:: 219663.
1/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6/ 219083 and ABA O$inion 219403.
18. C+. ABA O$inion 5:0 219463
19. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6/ 219083 and ABA O$inion 505 219403 and 19 219603.
BC*Dhe ad<udi!ated !ases re!ogni7e an e(!e$tion to the rule Cthat a law.er shall not re'eal the !onfiden!es of his !lientD,
where dis!losure is ne!essar. to $rote!t the attorne.;s interests arising out of the relation of attorne. and !lient in whi!h
dis!losure was ade.
B*he e(!e$tion is stated in +&%H&+ OA A9&A%K, 5d &d., Fol. 5, O5616, as follows1 J"ut the attorne. a. dis!lose
inforation re!ei'ed fro the !lient when it -e!oes ne!essar. for his own $rote!tion, as if the !lient should -ring an a!tion
against the attorne. for negligen!e or is!ondu!t, and it -e!ae ne!essar. for the attorne. to show what his instru!tions were,
or what was the nature of the dut. whi!h the !lient e($e!ted hi to $erfor. #o if it -e!ae ne!essar. for the attorne. to -ring
an a!tion against the !lient, the !lient;s $ri'ilege !ould not $re'ent the attorne. fro dis!losing what was essential as a eans
of o-taining or defending his own rights.;
B+r Jones, in his %O++&A*A,=&# OA &F=D&A%&, 5d &d., Fol. :, O516:, states the e(!e$tion thus1 J=t has frequentl. -een held
that the rule as to $ri'ileged !ouni!ations does not a$$l. when litigation arises -etween attorne. and !lient to the e(tent
that their !ouni!ations are rele'ant to the issue. =n su!h !ases, if the dis!losure of $ri'ileged !ouni!ations -e!oes
ne!essar. to $rote!t the attorne.;s rights, he is released fro those o-ligations of se!re!. whi!h the law $la!es u$on hi. He
should not, howe'er, dis!lose ore than is ne!essar. for his own $rote!tion. =t would -e a anifest in<usti!e to allow the !lient
to ta)e ad'antage of the rule of e(!lusion as to $rofessional !onfiden!e to the $re<udi!e of his attorne., or that it should -e
!arried to the e(tent of de$ri'ing the attorne. of the eans of o-taining or defending his own rights. =n su!h !ases the attorne.
is e(e$ted fro the o-ligations of se!re!..; E ABA O$inion 5:0 219463.
CANON ,
A La!er S"o#l$ E6ercise
In$e&en$ent Professional 7#$%ment
on Be"alf of a Client
ET'ICAL CONSIDERATIONS
&% :?1 *he $rofessional <udgent of a law.er should -e e(er!ised, within the -ounds of the law,
solel. for the -enefit of his !lient and free of !o$roising influen!es and lo.alties.
1
Aeither his
$ersonal interests, the interests of other !lients, nor the desires of third $ersons should -e $eritted to
dilute his lo.alt. to his !lient.
2nterests of a +awyer That May Affect His 3udgment
EC ,() A law.er should not a!!e$t $roffered e$lo.ent if his $ersonal interests or desires will,
or there is a reasona-le $ro-a-ilit. that the. will, affe!t ad'ersel. the ad'i!e to -e gi'en or ser'i!es
to -e rendered the $ros$e!ti'e !lient.
5
After a!!e$ting e$lo.ent, a law.er !arefull. should refrain
fro a!quiring a $ro$ert. right or assuing a $osition that would tend to a)e his <udgent less
$rote!ti'e of the interests of his !lient.
EC ,(* *he self?interest of a law.er resulting fro his ownershi$ of $ro$ert. in whi!h his !lient
also has an interest or whi!h a. affe!t $ro$ert. of his !lient a. interfere with the e(er!ise of free
<udgent on -ehalf of his !lient. =f su!h interferen!e would o!!ur with res$e!t to a $ros$e!ti'e !lient,
a law.er should de!line e$lo.ent $roffered -. hi. After a!!e$ting e$lo.ent, a law.er should
not a!quire $ro$ert. rights that would ad'ersel. affe!t his $rofessional <udgent in the re$resentation
of his !lient. &'en if the $ro$ert. interests of a law.er do not $resentl. interfere with the e(er!ise of
his inde$endent <udgent, -ut the li)elihood of interferen!e !an reasona-l. -e foreseen -. hi, a
law.er should e($lain the situation to his !lient and should de!line e$lo.ent or withdraw unless
the !lient !onsents to the !ontinuan!e of the relationshi$ after full dis!losure. A law.er should not
see) to $ersuade his !lient to $erit hi to in'est in an underta)ing of his !lient nor a)e i$ro$er
use of his $rofessional relationshi$ to influen!e his !lient to in'est in an enter$rise in whi!h the
law.er is interested.
EC ,(+ =f, in the !ourse of his re$resentation of a !lient, a law.er is $eritted to re!ei'e fro his
!lient a -enefi!ial ownershi$ in $u-li!ation rights relating to the su-<e!t atter of the e$lo.ent, he
a. -e te$ted to su-ordinate the interests of his !lient to his own anti!i$ated $e!uniar. gain. For
e(a$le, a law.er in a !riinal !ase who o-tains fro his !lient tele'ision, radio, otion $i!ture,
news$a$er, aga7ine, -oo), or other $u-li!ation rights with res$e!t to the !ase a. -e influen!ed,
!ons!iousl. or un!ons!iousl., to a !ourse of !ondu!t that will enhan!e the 'alue of his $u-li!ation
rights to the $re<udi!e of his !lient. *o $re'ent these $otentiall. differing interests, su!h arrangeents
should -e s!ru$ulousl. a'oided $rior to the terination of all as$e!ts of the atter gi'ing rise to the
e$lo.ent, e'en though his e$lo.ent has $re'iousl. ended.
EC ,(, A law.er should not suggest to his !lient that a gift -e ade to hiself or for his -enefit.
=f a law.er a!!e$ts a gift fro his !lient, he is $e!uliarl. sus!e$ti-le to the !harge that he undul.
influen!ed or o'errea!hed the !lient. =f a !lient 'oluntaril. offers to a)e a gift to his law.er, the
law.er a. a!!e$t the gift, -ut -efore doing so, he should urge that his !lient se!ure disinterested
ad'i!e fro an inde$endent, !o$etent $erson who is !ogni7ant of all the !ir!ustan!es.
6
Other than
in e(!e$tional !ir!ustan!es, a law.er should insist that an instruent in whi!h his !lient desires to
nae hi -enefi!iall. -e $re$ared -. another law.er sele!ted -. the !lient.
4
EC ,(- A law.er should not !ons!iousl. influen!e a !lient to nae hi as e(e!utor, trustee, or
law.er in an instruent. =n those !ases where a !lient wishes to nae his law.er as su!h, !are should
-e ta)en -. the law.er to a'oid e'en the a$$earan!e of i$ro$riet..
:
EC ,(1 *he $ossi-ilit. of an ad'erse effe!t u$on the e(er!ise of free <udgent -. a law.er on
-ehalf of his !lient during litigation generall. a)es it undesira-le for the law.er to a!quire a
$ro$rietar. interest in the !ause of his !lient or otherwise to -e!oe finan!iall. interested in the
out!oe of the litigation.
6
Howe'er, it is not i$ro$er for a law.er to $rote!t his right to !olle!t a fee
for his ser'i!es -. the assertion of legall. $erissi-le liens, e'en though -. doing so he a. a!quire
an interest in the out!oe of litigation. Although a !ontingent fee arrangeent
/
gi'es a law.er a
finan!ial interest in the out!oe of litigation, a reasona-le !ontingent fee is $erissi-le in !i'il !ases
-e!ause it a. -e the onl. eans -. whi!h a la.an !an o-tain the ser'i!es of a law.er of his
!hoi!e. "ut a law.er, -e!ause he is in a -etter $osition to e'aluate a !ause of a!tion, should enter into
a !ontingent fee arrangeent onl. in those instan!es where the arrangeent will -e -enefi!ial to the
!lient.
EC ,(2 A finan!ial interest in the out!oe of litigation also results if onetar. ad'an!es are ade
-. the law.er to his !lient.
8
Although this assistan!e generall. is not en!ouraged, there are instan!es
when it is not i$ro$er to a)e loans to a !lient. For e(a$le, the ad'an!ing or guaranteeing of
$a.ent of the !osts and e($enses of litigation -. a law.er a. -e the onl. wa. a !lient !an enfor!e
his !ause of a!tion,
9
-ut the ultiate lia-ilit. for su!h !osts and e($enses ust -e that of the !lient.
EC ,(3 O!!asionall. a law.er is !alled u$on to de!ide in a $arti!ular !ase whether he will -e a
witness or an ad'o!ate. =f a law.er is -oth !ounsel and witness, he -e!oes ore easil. i$ea!ha-le
for interest and thus a. -e a less effe!ti'e witness. %on'ersel., the o$$osing !ounsel a. -e
handi!a$$ed in !hallenging the !redi-ilit. of the law.er when the law.er also a$$ears as an ad'o!ate
in the !ase. An ad'o!ate who -e!oes a witness is in the unseel. and ineffe!ti'e $osition of
arguing his own !redi-ilit.. *he roles of an ad'o!ate and of a witness are in!onsistent4 the fun!tion of
an ad'o!ate is to ad'an!e or argue the !ause of another, while that of a witness is to state fa!ts
o-<e!ti'el..
EC ,(14 Pro-les in!ident to the law.er?witness relationshi$ arise at different stages4 the. relate
either to whether a law.er should a!!e$t e$lo.ent or should withdraw fro e$lo.ent.
10
,egardless of when the $ro-le arises, his de!ision is to -e go'erned -. the sae -asi!
!onsiderations. =t is not o-<e!tiona-le for a law.er who is a $otential witness to -e an ad'o!ate if it is
unli)el. that he will -e !alled as a witness -e!ause his testion. would -e erel. !uulati'e or if
his testion. will relate onl. to an un!ontested issue.
11
=n the e(!e$tional situation where it will -e
anifestl. unfair to the !lient for the law.er to refuse e$lo.ent or to withdraw when he will li)el.
-e a witness on a !ontested issue, he a. ser'e as ad'o!ate e'en though he a. -e a witness.
15
=n
a)ing su!h de!ision, he should deterine the $ersonal or finan!ial sa!rifi!e of the !lient that a.
result fro his refusal of e$lo.ent or withdrawal therefro, the aterialit. of his testion., and
the effe!ti'eness of his re$resentation in 'iew of his $ersonal in'ol'eent. =n weighing these fa!tors,
it should -e !lear that refusal or withdrawal will i$ose an unreasona-le hardshi$ u$on the !lient
-efore the law.er a!!e$ts or !ontinues the e$lo.ent.
16
>here the question arises, dou-ts should -e
resol'ed in fa'or of the law.er testif.ing and against his -e!oing or !ontinuing as an ad'o!ate.
14
EC ,(11 A law.er should not $erit his $ersonal interests to influen!e his ad'i!e relati'e to a
suggestion -. his !lient that additional !ounsel -e e$lo.ed.
1:
=n li)e anner, his $ersonal interests
should not deter hi fro suggesting that additional !ounsel -e e$lo.ed4 on the !ontrar., he should
-e alert to the desira-ilit. of re!oending additional !ounsel when, in his <udgent, the $ro$er
re$resentation of his !lient requires it. Howe'er, a law.er should ad'ise his !lient not to e$lo.
additional !ounsel suggested -. the !lient if the law.er -elie'es that su!h e$lo.ent would -e a
disser'i!e to the !lient, and he should dis!lose the reasons for his -elief.
EC ,(1) =na-ilit. of !o?!ounsel to agree on a atter 'ital to the re$resentation of their !lient
requires that their disagreeent -e su-itted -. the <ointl. to their !lient for his resolution, and the
de!ision of the !lient shall !ontrol the a!tion to -e ta)en.
16
EC ,(1* A law.er should not aintain e-ershi$ in or -e influen!ed -. an. organi7ation of
e$lo.ees that underta)es to $res!ri-e, dire!t, or suggest when or how he should fulfill his
$rofessional o-ligations to a $erson or organi7ation that e$lo.s hi as a law.er. Although it is not
ne!essaril. i$ro$er for a law.er e$lo.ed -. a !or$oration or siilar entit. to -e a e-er of an
organi7ation of e$lo.ees, he should -e 'igilant to safeguard his fidelit. as a law.er to his e$lo.er,
free fro outside influen!es.
2nterests of Multiple Clients
EC ,(1+ +aintaining the inde$enden!e of $rofessional <udgent required of a law.er $re!ludes his
a!!e$tan!e or !ontinuation of e$lo.ent that will ad'ersel. affe!t his <udgent on -ehalf of or
dilute his lo.alt. to a !lient.
1/
*his $ro-le arises whene'er a law.er is as)ed to re$resent two or
ore !lients who a. ha'e differing interests, whether su!h interests -e !onfli!ting, in!onsistent,
di'erse, or otherwise dis!ordant.
18
EC ,(1, =f a law.er is requested to underta)e or to !ontinue re$resentation of ulti$le !lients
ha'ing $otentiall. differing interests, he ust weigh !arefull. the $ossi-ilit. that his <udgent a.
-e i$aired or his lo.alt. di'ided if he a!!e$ts or !ontinues the e$lo.ent. He should resol'e all
dou-ts against the $ro$riet. of the re$resentation. A law.er should ne'er re$resent in litigation
ulti$le !lients with differing interests4
19
and there are few situations in whi!h he would -e <ustified
in re$resenting in litigation ulti$le !lients with $otentiall. differing interests. =f a law.er a!!e$ted
su!h e$lo.ent and the interests did -e!oe a!tuall. differing, he would ha'e to withdraw fro
e$lo.ent with li)elihood of resulting hardshi$ on the !lients4 and for this reason it is $refera-le
that he refuse the e$lo.ent initiall.. On the other hand, there are an. instan!es in whi!h a
law.er a. $ro$erl. ser'e ulti$le !lients ha'ing $otentiall. differing interests in atters not
in'ol'ing litigation. =f the interests 'ar. onl. slightl., it is generall. li)el. that the law.er will not -e
su-<e!ted to an ad'erse influen!e and that he !an retain his inde$endent <udgent on -ehalf of ea!h
!lient4 and if the interests -e!oe differing, withdrawal is less li)el. to ha'e a disru$ti'e effe!t u$on
the !auses of his !lients.
EC ,(1- =n those instan!es in whi!h a law.er is <ustified in re$resenting two or ore !lients ha'ing
differing interests, it is ne'ertheless essential that ea!h !lient -e gi'en the o$$ortunit. to e'aluate his
need for re$resentation free of an. $otential !onfli!t and to o-tain other !ounsel if he so desires.
50
*hus -efore a law.er a. re$resent ulti$le !lients, he should e($lain full. to ea!h !lient the
i$li!ations of the !oon re$resentation and should a!!e$t or !ontinue e$lo.ent onl. if the
!lients !onsent.
51
=f there are $resent other !ir!ustan!es that ight !ause an. of the ulti$le !lients
to question the undi'ided lo.alt. of the law.er, he should also ad'ise all of the !lients of those
!ir!ustan!es.
55
EC ,(11 *.$i!all. re!urring situations in'ol'ing $otentiall. differing interests are those in whi!h a
law.er is as)ed to re$resent !o?defendants in a !riinal !ase, !o?$laintiffs in a $ersonal in<ur. !ase,
an insured and his insurer,
56
and -enefi!iaries of the estate of a de!edent. >hether a law.er !an fairl.
and adequatel. $rote!t the interests of ulti$le !lients in these and siilar situations de$ends u$on an
anal.sis of ea!h !ase. =n !ertain !ir!ustan!es, there a. e(ist little !han!e of the <udgent of the
law.er -eing ad'ersel. affe!ted -. the slight $ossi-ilit. that the interests will -e!oe a!tuall.
differing4 in other !ir!ustan!es, the !han!e of ad'erse effe!t u$on his <udgent is not unli)el..
EC ,(12 A law.er e$lo.ed or retained -. a !or$oration or siilar entit. owes his allegian!e to
the entit. and not to a sto!)holder, dire!tor, offi!er, e$lo.ee, re$resentati'e, or other $erson
!onne!ted with the entit.. =n ad'ising the entit., a law.er should )ee$ $araount its interests and his
$rofessional <udgent should not -e influen!ed -. the $ersonal desires of an. $erson or organi7ation.
O!!asionall. a law.er for an entit. is requested -. a sto!)holder, dire!tor, offi!er, e$lo.ee,
re$resentati'e, or other $erson !onne!ted with the entit. to re$resent hi in an indi'idual !a$a!it.4 in
su!h !ase the law.er a. ser'e the indi'idual onl. if the law.er is !on'in!ed that differing interests
are not $resent.
EC ,813 A law.er a. re$resent se'eral !lients whose interests are not a!tuall. or $otentiall.
differing. Ae'ertheless, he should e($lain an. !ir!ustan!es that ight !ause a !lient to question his
undi'ided lo.alt..
54
,egardless of the -elief of a law.er that he a. $ro$erl. re$resent ulti$le
!lients, he ust defer to a !lient who holds the !ontrar. -elief and withdraw fro re$resentation of
that !lient.
EC ,8)4 A law.er is often as)ed to ser'e as an i$artial ar-itrator or ediator in atters whi!h
in'ol'e $resent or forer !lients. He a. ser'e in either !a$a!it. if he first dis!loses su!h $resent or
forer relationshi$s. After a law.er has underta)en to a!t as an i$artial ar-itrator or ediator, he
should not thereafter re$resent in the dis$ute an. of the $arties in'ol'ed.
Desires of Third Persons
EC ,()1 *he o-ligation of a law.er to e(er!ise $rofessional <udgent solel. on -ehalf of his !lient
requires that he disregard the desires of others that ight i$air his free <udgent.
5:
*he desires of a
third $erson will seldo ad'ersel. affe!t a law.er unless that $erson is in a $osition to e(ert strong
e!onoi!, $oliti!al, or so!ial $ressures u$on the law.er. *hese influen!es are often su-tle, and a
law.er ust -e alert to their e(isten!e. A law.er su-<e!ted to outside $ressures should a)e full
dis!losure of the to his !lient4
56
and if he or his !lient -elie'es that the effe!ti'eness of his
re$resentation has -een or will -e i$aired there-., the law.er should ta)e $ro$er ste$s to withdraw
fro re$resentation of his !lient.
EC ,()) &!onoi!, $oliti!al, or so!ial $ressures -. third $ersons are less li)el. to i$inge u$on
the inde$endent <udgent of a law.er in a atter in whi!h he is !o$ensated dire!tl. -. his !lient
and his $rofessional wor) is e(!lusi'el. with his !lient. On the other hand, if a law.er is
!o$ensated fro a sour!e other than his !lient, he a. feel a sense of res$onsi-ilit. to soeone
other than his !lient.
EC ,()* A $erson or organi7ation that $a.s or furnishes law.ers to re$resent others $ossesses a
$otential $ower to e(ert strong $ressures against the inde$endent <udgent of those law.ers. #oe
e$lo.ers a. -e interested in furthering their own e!onoi!, $oliti!al, or so!ial goals without
regard to the $rofessional res$onsi-ilit. of the law.er to his indi'idual !lient. Others a. -e far ore
!on!erned with esta-lishent or e(tension of legal $rin!i$les than in the iediate $rote!tion of the
rights of the law.er;s indi'idual !lient. On soe o!!asions, de!isions on $riorit. of wor) a. -e
ade -. the e$lo.er rather than the law.er with the result that $rose!ution of wor) alread.
underta)en for !lients is $ost$oned to their detrient. #iilarl., an e$lo.er a. see), !ons!iousl.
or un!ons!iousl., to further its own e!onoi! interests through the a!tion of the law.ers e$lo.ed -.
it. #in!e a law.er ust alwa.s -e free to e(er!ise his $rofessional <udgent without regard to the
interests or oti'es of a third $erson, the law.er who is e$lo.ed -. one to re$resent another ust
!onstantl. guard against erosion of his $rofessional freedo.
5/
EC ,()+ *o assist a law.er in $reser'ing his $rofessional inde$enden!e, a nu-er of !ourses are
a'aila-le to hi. For e(a$le, a law.er should not $ra!ti!e with or in the for of a $rofessional legal
!or$oration, e'en though the !or$orate for is $eritted -. law,
58
if an. dire!tor, offi!er, or
sto!)holder of it is a non?law.er. Although a law.er a. -e e$lo.ed -. a -usiness !or$oration with
non?law.ers ser'ing as dire!tors or offi!ers, and the. ne!essaril. ha'e the right to a)e de!isions of
-usiness $oli!., a law.er ust de!line to a!!e$t dire!tion of his $rofessional <udgent fro an.
la.an. Farious t.$es of legal aid offi!es are adinistered -. -oards of dire!tors !o$osed of
law.ers and la.en. A law.er should not a!!e$t e$lo.ent fro su!h an organi7ation unless the
-oard sets onl. -road $oli!ies and there is no interferen!e in the relationshi$ of the law.er and the
indi'idual !lient he ser'es. >here a law.er is e$lo.ed -. an organi7ation, a written agreeent that
defines the relationshi$ -etween hi and the organi7ation and $ro'ides for his inde$enden!e is
desira-le sin!e it a. ser'e to $re'ent isunderstanding as to their res$e!ti'e roles. Although other
inno'ations in the eans of su$$l.ing legal !ounsel a. de'elo$, the res$onsi-ilit. of the law.er to
aintain his $rofessional inde$enden!e reains !onstant, and the legal $rofession ust insure that
!hanging !ir!ustan!es do not result in loss of the $rofessional inde$enden!e of the law.er.
DISCIPLINARY R.LES
D, :?101 ?,efusing &$lo.ent >hen the =nterests of the Law.er +a. =$air His =nde$endent
Professional Judgent.
2A3 ?&(!e$t with the !onsent of his !lient after full dis!losure, a law.er shall not a!!e$t
e$lo.ent if the e(er!ise of his $rofessional <udgent on -ehalf of his !lient will -e or reasona-l.
a. -e affe!ted -. his own finan!ial, -usiness, $ro$ert., or $ersonal interests.
59
2"3 ?A law.er shall not a!!e$t e$lo.ent in !onte$lated or $ending litigation if he )nows or
it is o-'ious that he or a law.er in his fir ought to -e !alled as a witness, e(!e$t that he a.
underta)e the e$lo.ent and he or a law.er in his fir a. testif.1
213 ?=f the testion. will relate solel. to an un!ontested atter.
253 ?=f the testion. will relate solel. to a atter of foralit. and there is no reason to
-elie'e that su-stantial e'iden!e will -e offered in o$$osition to the testion..
263 ?=f the testion. will relate solel. to the nature and 'alue of legal ser'i!es rendered in
the !ase -. the law.er or his fir to the !lient.
243 ?As to an. atter, if refusal would wor) a su-stantial hardshi$ on the !lient -e!ause of
the distin!ti'e 'alue of the law.er or his fir as !ounsel in the $arti!ular !ase.
D, :?105 ?>ithdrawal as %ounsel >hen the Law.er "e!oes a >itness.
60
2A3 ?=f, after underta)ing e$lo.ent in !onte$lated or $ending litigation, a law.er learns or it
is o-'ious that he or a law.er in his fir ought to -e !alled as a witness on -ehalf of his !lient, he
shall withdraw fro the !ondu!t of the trial and his fir, if an., shall not !ontinue the re$resentation
in the trial, e(!e$t that he a. !ontinue the re$resentation and he or a law.er in his fir a. testif.
in the !ir!ustan!es enuerated in D, :?1012"3 213 through 243.
2"3 ?=f, after underta)ing e$lo.ent in !onte$lated or $ending litigation, a law.er learns or it
is o-'ious that he or a law.er in his fir a. -e !alled as a witness other than on -ehalf of his !lient,
he a. !ontinue the re$resentation until it is a$$arent that his testion. is or a. -e $re<udi!ial to
his !lient.
61
D, :?106 ?A'oiding A!quisition of =nterest in Litigation.
2A3 ?A law.er shall not a!quire a $ro$rietar. interest in the !ause of a!tion or su-<e!t atter of
litigation he is !ondu!ting for a !lient,
65
e(!e$t that he a.1
213 ?A!quire a lien granted -. law to se!ure his fee or e($enses.
253 ?%ontra!t with a !lient for a reasona-le !ontingent fee in a !i'il !ase.
66
2"3 ?>hile re$resenting a !lient in !onne!tion with !onte$lated or $ending litigation, a law.er
shall not ad'an!e or guarantee finan!ial assistan!e to his !lient,
64
e(!e$t that a law.er a. ad'an!e or
guarantee the e($enses of litigation, in!luding !ourt !osts, e($enses of in'estigation, e($enses of
edi!al e(aination, and !osts of o-taining and $resenting e'iden!e, $ro'ided the !lient reains
ultiatel. lia-le for su!h e($enses.
D, :?104 ?Liiting "usiness ,elations with a %lient.
2A3 ?A law.er shall not enter into a -usiness transa!tion with a !lient if the. ha'e differing
interests therein and if the !lient e($e!ts the law.er to e(er!ise his $rofessional <udgent therein for
the $rote!tion of the !lient, unless the !lient has !onsented after full dis!losure.
2"3 ?Prior to !on!lusion of all as$e!ts of the atter gi'ing rise to his e$lo.ent, a law.er shall
not enter into an. arrangeent or understanding with a !lient or a $ros$e!ti'e !lient -. whi!h he
a!quires an interest in $u-li!ation rights with res$e!t to the su-<e!t atter of his e$lo.ent or
$ro$osed e$lo.ent.
D, :?10: ?,efusing to A!!e$t or %ontinue &$lo.ent if the =nterests of Another %lient +a.
=$air the =nde$endent Professional Judgent of the Law.er.
2A3 ?A law.er shall de!line $roffered e$lo.ent if the e(er!ise of his inde$endent $rofessional
<udgent in -ehalf of a !lient will -e or is li)el. to -e ad'ersel. affe!ted -. the a!!e$tan!e of the
$roffered e$lo.ent,
6:
or if it would -e li)el. to in'ol'e hi in re$resenting differing interests,
66
e(!e$t to the e(tent $eritted under D, :?10:2%3.
6/
2"3 ?A law.er shall not !ontinue ulti$le e$lo.ent if the e(er!ise of his inde$endent
$rofessional <udgent in -ehalf of a !lient will -e or is li)el. to -e ad'ersel. affe!ted -. his
re$resentation of another !lient, or if it would -e li)el. to in'ol'e hi in re$resenting differing
interests,
68
e(!e$t to the e(tent $eritted under D, :?10:2%3.
69
2%3 ?=n the situations !o'ered -. D, :?10:2A3 and 2"3, a law.er a. re$resent ulti$le !lients
if it is o-'ious that he !an adequatel. re$resent the interest of ea!h and if ea!h !onsents to the
re$resentation after full dis!losure of the $ossi-le effe!t of su!h re$resentation on the e(er!ise of his
inde$endent $rofessional <udgent on -ehalf of ea!h.
2D3 ?=f a law.er is required to de!line e$lo.ent or to withdraw fro e$lo.ent under a
Dis!i$linar. ,ule, no $artner, or asso!iate, or an. other law.er affiliated with hi
40
or his fir, a.
a!!e$t or !ontinue su!h e$lo.ent.
D, :?106 ?#ettling #iilar %lais of %lients.
41
2A3 ?A law.er who re$resents two or ore !lients shall not a)e or $arti!i$ate in the a)ing of
an aggregate settleent of the !lais of or against his !lients, unless ea!h !lient has !onsented to the
settleent after -eing ad'ised of the e(isten!e and nature of all the !lais in'ol'ed in the $ro$osed
settleent, of the total aount of the settleent, and of the $arti!i$ation of ea!h $erson in the
settleent.
D, :?10/ ?A'oiding =nfluen!e -. Others *han the %lient.
2A3 ?&(!e$t with the !onsent of his !lient after full dis!losure, a law.er shall not1
213 ?A!!e$t !o$ensation for his legal ser'i!es fro one other than his !lient.
253 ?A!!e$t fro one other than his !lient an. thing of 'alue related to his re$resentation of
or his e$lo.ent -. his !lient.
45
2"3 ?A law.er shall not $erit a $erson who re!oends, e$lo.s, or $a.s hi to render legal
ser'i!es for another to dire!t or regulate his $rofessional <udgent in rendering su!h legal ser'i!es.
46
2%3 ?A law.er shall not $ra!ti!e with or in the for of a $rofessional !or$oration or asso!iation
authori7ed to $ra!ti!e law for a $rofit, if1
213 ?A non?law.er owns an. interest therein,
44
e(!e$t that a fidu!iar. re$resentati'e of the
estate of a law.er a. hold the sto!) or interest of the law.er for a reasona-le tie during
adinistration4
253 ?A non?law.er is a !or$orate dire!tor or offi!er thereof4
4:
or
263 ?A non?law.er has the right to dire!t or !ontrol the $rofessional <udgent of a law.er.
46
NOTES
1. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6: 219083.
BCA law.er;sD fidu!iar. dut. is of the highest order and he ust not re$resent interests ad'erse to those of the !lient. =t is
true that -e!ause of his $rofessional res$onsi-ilit. and the !onfiden!e and trust whi!h his !lient a. legitiatel. re$ose in
hi, he ust adhere to a high standard of honest., integrit. and good faith in dealing with his !lient. He is not $eritted to
ta)e ad'antage of his $osition or su$erior )nowledge to i$ose u$on the !lient4 nor to !on!eal fa!ts or law, nor in an. wa.
de!ei'e hi without -eing held res$onsi-le therefor.E #oot '. Lund, 16 @tah 5d 168, 1/5, 669 P.5d 966, 966 219653.
B>hen a !lient engages the ser'i!es of a law.er in a gi'en $ie!e of -usiness he is entitled to feel that, until that -usiness is
finall. dis$osed of in soe anner, he has the undi'ided lo.alt. of the one u$on who he loo)s as his ad'o!ate and
!ha$ion. =f, as in this !ase, he is sued and his hoe atta!hed -. his own attorne., who is re$resenting hi in another atter,
all feeling of lo.alt. is ne!essaril. destro.ed, and the $rofession is e($osed to the !harge that it is interested onl. in one..E
9rie'an!e %o. '. ,attner, 1:5 %onn. :9, 6:, 506 A.5d 85, 84 219643.
BOne of the !ardinal $rin!i$les !onfronting e'er. attorne. in the re$resentation of a !lient is the requireent of !o$lete
lo.alt. and ser'i!e in good faith to the -est of his a-ilit.. =n a !riinal !ase the !lient is entitled to a fair trail, -ut not a $erfe!t
one. *hese are fundaental requireents of due $ro!ess under the Fourteenth Aendent . . . . *he sae $rin!i$les are
a$$li!a-le in #i(th Aendent !ases 2not $ertinent herein3 and suggest that an attorne. should ha'e no !onfli!t of interest and
that he ust de'ote his full and faithful efforts toward the defense of his !lient.E Johns '. #.th, 1/6 F. #u$$. 949, 9:5 2&.D.
Fa. 19:93, *o!i+i"!, @nited #tates e( rel. >il)ins '. "aniller, 50: F. #u$$. 156, 158 n.: 2&.D. Pa. 19653, a++ B!4 65: F.5d :14
26d %ir. 19663, c"#t. !"ni"!, 6/9 @.#. 84/, 16 L. &d. 5d :1, 8: #.%t. 8/ 219643.
5. BAttorne.s ust not allow their $ri'ate interests to !onfli!t with those of their !lients . . . . *he. owe their entire
de'otion to the interests of their !lient.E @nited #tates '. Anon.ous, 51: F. #u$$. 111, 116 2&.D. *enn. 19663.
BC*Dhe !ourt C-elowD !on!luded that a fir a. not a!!e$t an. a!tion against a $erson who the. are $resentl.
re$resenting e'en though there is no relationshi$ -etween the two !ases. =n arri'ing at this !on!lusion, the !ourt !ites an
o$inion of the %oittee on Professional &thi!s of the Aew Kor) %ount. Law.ers; Asso!iation whi!h stated in $art1 J>hile
under the !ir!ustan!es . . . there a. -e no a!tual !onfli!t of interest . . . Baintenan!e of $u-li! !onfiden!e in the "ar
requires an attorne. who has a!!e$ted re$resentation of a !lient to de!line, while re$resenting su!h !lient, an. e$lo.ent
fro an ad'erse $art. in an. atter e'en though wholl. unrelated to the original retainer.E S"" Huestion and Answer Ao. 6:0,
A.K. %ount. L. Ass;n, Huestion and Answer Ao. 4:0 2June 51, 19:63.; E 9rie'an!e %o. '. ,attner, 1:5 %onn. :9, 6:, 506
A.5d 85, 84 219643.
6. B%ourts of equit. will s!rutini7e with <ealous 'igilan!e transa!tions -etween $arties o!!u$.ing fidu!iar. relations
toward ea!h other . . . . A deed will not -e held in'alid, howe'er, if ade -. the grantor with full )nowledge of its nature and
effe!t, and -e!ause of the deli-erate 'oluntar. and intelligent desire of the grantor . . . . >here a fidu!iar. relation e(ists, the
-urden of $roof is on the grantee of -enefi!iar. of an instruent e(e!uted during the e(isten!e of su!h relationshi$ to show the
fairness of the transa!tion, that it was equita-le and <ust and that it did not $ro!eed fro undue influen!e . . . . *he sae rule
has a$$li!ation where an attorne. engages in a transa!tion with a !lient during the e(isten!e of the relation and is -enefited
there-. . . . . %on'ersel., an attorne. is not $rohi-ited fro dealing with his !lient or -u.ing his $ro$ert., and su!h !ontra!ts, if
o$en, fair and honest, when deli-eratel. ade, are as 'alid as !ontra!ts -etween other $arties . . . . C=D$ortant fa!tors in
deterining whether a transa!tion is fair in!lude a showing -. the fidu!iar. 213 that he ade a full and fran) dis!losure of all
the rele'ant inforation that he had4 253 that the !onsideration was adequate4 and 263 that the $rin!i$al had inde$endent ad'i!e
-efore !o$leting the transa!tion.E +!Fail '. "raden, 19 =ll. 5d 108, 11/?18, 166 A.&.5d 46, :5219603.
4. S"" #tate e( rel. Ae-ras)a #tate "ar Ass;n '. ,i!hards, 16: Ae-. 80, 94?9:, 84 A.>.5d 166, 146 219:/3.
:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 9219083.
6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 10219083.
/. S"" +OD&L %OD& OF P,OF&##=OAAL ,&#POA#="=L=*K, &% 5?50.
8. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 45 219083.
9. BR&l" -a . . . . A e-er of the #tate "ar shall not dire!tl. or indire!tl. $a. or agree to $a., or re$resent or san!tion
the re$resentation that he will $a., edi!al hos$ital or nursing -ills or other $ersonal e($enses in!urred -. or for a !lient,
$ros$e!ti'e or e(isting4 $ro'ided this rule shall not $rohi-it a e-er1
B213 with the !onsent of the !lient, fro $a.ing or agreeing to $a. to third $ersons su!h e($enses fro funds !olle!ted or to
-e !olle!ted for the !lient4 or
253 after he has -een e$lo.ed, fro lending one. to his !lient u$on the !lient;s $roise in writing to re$a. su!h loan4 or
263 fro ad'an!ing the !osts of $rose!uting or defending a !lai or a!tion. #u!h !osts within the eaning of this
su-$aragra$h 263 in!lude all ta(a-le !osts or dis-urseents, !osts of in'estigation and !osts of o-taining and $resenting
e'iden!e.E %AL. "@#=A&## AAD P,OF&##=OA# %OD& O60/6 2>est #u$$. 196/3.
10. B>hen a law.er )nows, $rior to trial, that he will -e a ne!essar. witness, e(!e$t as to erel. foral atters su!h as
identifi!ation or !ustod. of a do!uent or the li)e, neither he nor his fir or asso!iates should !ondu!t the trial. =f, during the
trial, he dis!o'ers that the ends of <usti!e require his testion., he should, fro that $oint on, if feasi-le and not $re<udi!ial to
his !lient;s !ase, lea'e further !ondu!t of the trial to other !ounsel. =f !ir!ustan!es do not $erit withdrawal fro the !ondu!t
of the trial, the law.er should not argue the !redi-ilit. of his own testion..E A Co!" o+ T#ial Con!&ct2 P#o*&l)at"! 0% th"
A*"#ican Coll")" o+ T#ial La1%"#, 46 A.".A.J. 556, 554?5: 219:/3.
11. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 19 2190834 B>hen a law.er is a witness for his !lient, e(!e$t as to
erel. foral atters, su!h as the attestation or !ustod. of an instruent and the li)e, he should lea'e the trial of the !ase to
other !ounsel.E
15. B=t is the general rule that a law.er a. not testif. in ligation in whi!h he is an ad'o!ate unless !ir!ustan!es arise
whi!h !ould not -e anti!i$ated and it is ne!essar. to $re'ent a is!arriage of <usti!e. =n those rare !ases where the testion. of
an attorne. is needed to $rote!t his !lient;s interests, it is not onl. $ro$er -ut andator. that it -e forth!oing.E #!hwart7 '.
>enger, 56/ +inn. 40, 46?44, 154 A.>.5d 489, 495 219663.
16. B*he great weight of authorit. in this !ountr. holds that the attorne. who a!ts as !ounsel and witness, in -ehalf of his
!lient, in the sae !ause on a aterial atter, not of erel. foral !hara!ter, and not in an eergen!., -ut ha'ing )nowledge
that he would -e required to -e a witness in a$le tie to ha'e se!ured other !ounsel and gi'en u$ his ser'i!e in the !ase,
'iolates a highl. i$ortant $ro'ision of the %ode of &thi!s and a rule of $rofessional !ondu!t, -ut does not !oit a legal
error in so testif.ing, as a result of whi!h a new trial will -e granted.E &rwin +. Jennings %o. '. Di9eno'a, 10/ %onn. 491,
499, 141 A. 866, 869 219583.
14. BC%Dases a. arise, and in $ra!ti!e often do arise, in whi!h there would -e a failure of <usti!e should the attorne.
withhold his testion.. =n su!h a !ase it would -e a 'i!ious $rofessional sentient whi!h would de$ri'e the !lient of the
-enefit of his attorne.;s testion..E %onnol. '. #traw, :6 >is. 64:, 649, 11 A.>. 1/, 19 218813.
B&t "" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 19 2190831 B&(!e$t when essential to the ends of <usti!e, a law.er
should a'oid testif.ing in !ourt in -ehalf of his !lient.E
1:. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA / 219083.
16. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA / 219083.
1/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6 2190834 c+. ABA O$inion 561 219443, 545 219453, 145 2196:3, and
60 219613.
18. *he A"A %anons s$ea) of B!onfli!ting interestsE rather than Bdiffering interestsE -ut a)e no atte$t to define su!h
other than the stateent in %anon 61 B>ithin the eaning of this !anon, a law.er re$resents !onfli!ting interests when, in
-ehalf of one !lient, it is his dut. to !ontend for that whi!h dut. to another !lient requires hi to o$$ose.E
19. B%anon 6 of the %anons of Professional &thi!s, ado$ted -. the Aeri!an "ar Asso!iation on #e$te-er 60, 196/, and
-. the Penns.l'ania "ar Asso!iation on Januar. /, 1968, $ro'ides in $art that J=t is un$rofessional to re$resent !onfli!ting
interests, e(!e$t -. e($ress !onsent of all !on!erned gi'en after a full dis!losure of the fa!ts. >ithin the eaning of this
%anon, a law.er re$resents !onfli!ting interest when, in -ehalf of one !lient, it is his dut. to !ontend for that whi!h dut. to
another !lient requires hi to o$$ose.; *he full dis!losure required -. this !anon !onte$lates that the $ossi-le ad'erse effe!t
of the !onfli!t -e full. e($lained -. the attorne. to the !lient to -e affe!ted and -. hi thoroughl. understood . . . .
B*he foregoing !anon a$$lies to !ases where the !ir!ustan!es are su!h that $ossi-l. !onfli!ting interests a. $erissi-l.
-e re$resented -. the sae attorne.. "ut anifestl., there are instan!es where the !onfli!ts of interest are so !riti!all. ad'erse
as not to adit of one attorne.;s re$resenting -oth sides. #u!h is the situation whi!h this re!ord $resents. Ao one !ould
!ons!iona-l. !ontend that the sae attorne. a. re$resent -oth the $laintiff and defendant in an ad'ersar. a!tion. Ket, that is
what is -eing done in this !ase.E Jedwa-n. '. Philadel$hia *rans$ortation %o., 690 Pa. 561, 56:, 16: A.5d 5:5, 5:4 219:/3,
c"#t. !"ni"!, 6:: @.#. 966, 5 L. &d. 5d :41, /8 #. %t. ::/ 219:83.
50. B9lasser wished the -enefit of the undi'ided assistan!e of !ounsel of his own !hoi!e. >e thin) that su!h a desire on
the $art of an a!!used should -e res$e!ted. =rres$e!ti'e of an. !onfli!t of interest, the additional -urden of re$resenting another
$art. a. !on!ei'a-l. i$air !ounsel;s effe!ti'eness.
B*o deterine the $re!ise degree of $re<udi!e sustained -. 9lasser as a result of the !ourt;s a$$ointent of #tewart as
!ounsel for Grets)e is at on!e diffi!ult and unne!essar.. *he right to ha'e the assistan!e of !ounsel is too fundaental and
a-solute to allow !ourts to indulge in ni!e !al!ulations and to the aount of $re<udi!e arising fro its denial.E 9lasser '.
@nited #tates, 61: @.#. 60, /:?/6, 86 L. &d. 680, /05 #. %t. 4:/, 46/ 219453.
51. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6 219083.
55. I!.
56. C+. ABA O$inion 585 219:03.
B>hen !ounsel, although $aid -. the !asualt. !o$an., underta)es to re$resent the $oli!.holder and files his noti!e of
a$$earan!e, he owes to his !lient, the assured, an unde'iating and single allegian!e. His fealt. e-ra!es the requireent to
$rodu!e in !ourt all witnesses, fa!t and e($ert, who are a'aila-le and ne!essar. for the $ro$er $rote!tion of the rights of his
!lient . . . .
B. . . *he %anons of Professional &thi!s a)e it $ellu!id that there are not two standards, one a$$l.ing to !ounsel $ri'atel.
retained -. a !lient, and the other to !ounsel $aid -. an insuran!e !arrier.E Aeri!an &$lo.ers =ns. %o. '. 9o-le Air!raft
#$e!ialties, 50: +is!. 1066, 10/:, 161 A.K.#.5d 696, 401 219:43, *otion to 1ith!#a1 a$$"al )#ant"!, 1 A$$. Di'. 5d 1008,
1:4 A.K.#.5d 86: 219:63.
BC%Dounsel, sele!ted -. #tate Far to defend Doroth. >al)er;s suit for R:0,000 daages, was a$$rised -. >al)er that his
earlier 'ersion of the a!!ident was untrue and that a!tuall. the a!!ident o!!urred -e!ause he lost !ontrol of his !ar in $assing a
%adilla! <ust ahead. At that $oint, >al)er;s !ounsel should ha'e refused to $arti!i$ate further in 'iew of the !onfli!t of interest
-etween >al)er and #tate Far . . . . =nstead he $arti!i$ated in the ensuing de$osition of the >al)ers, e'en too) an "A $a#t"
sworn stateent fro +r. >al)er in order to ad'ise #tate Far what a!tion it should ta)e, and later used the stateent against
>al)er in the Distri!t %ourt. *his a!tion a$$ears to !ontra'ene an =ndiana attorne.;s dut. Jat e'er. $eril to hiself, to $reser'e
the se!rets of his !lient;. . . .E #tate Far +ut. Auto =ns. %o. '. >al)er, 685 F.5d :48, ::5 2196/3, c"#t. !"ni"!, 689 @.#. 104:,
19 L. &d. 5d 86/, 88 #. %t. /89 219683.
54. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6 219083.
5:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6: 219083.
BO-<e!tion to the inter'ention of a la. interediar., who a. !ontrol litigation or otherwise interfere with the rendering of
legal ser'i!es in a !onfidential relationshi$, . . . deri'es fro the eleent of $e!uniar. gain. Fearful of dangers thought to arise
fro that eleent, the !ourts of se'eral #tates ha'e sustained regulations aied at these a!ti'ities. >e intiate no 'iew one
wa. or the other as to the erits of those de!isions with res$e!t to the $arti!ular arrangeents against whi!h the. are dire!ted.
=t is enough that the su$erfi!ial rese-lan!e in for -etween those arrangeents and that at -ar !annot o-s!ure the 'ital fa!t
that here the entire arrangeent e$lo.s !onstitutionall. $ri'ileged eans of e($ression to se!ure !onstitutionall. guaranteed
!i'il rights.E AAA%P '. "utton, 6/1 @.#. 41:, 441?45, 9 L. &d. 5d 40:, 456?54, 86 #. %t. 658, 645?46 219663.
56. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 68 219083.
5/. B%ertainl. it is true that Jthe $rofessional relationshi$ -etween an attorne. and his !lient is highl. $ersonal, in'ol'ing
an intiate a$$re!iation of ea!h indi'idual !lient;s $arti!ular $ro-le.; And this %oittee does not !ondone $ra!ti!es whi!h
interfere with that relationshi$. Howe'er, the ere fa!t the law.er is a!tuall. $aid -. soe entit. other than the !lient does not
affe!t that relationshi$, so long as the law.er is sele!ted -. and is dire!tl. res$onsi-le to the !lient. #ee =nforal O$inions 469
and 6/9. Of !ourse, as the latter de!ision $oints out, there ust -e full dis!losure of the arrangeent -. the attorne. to the
!lient . . . .E ABA O$inion 650 219683.
BCAD third $art. a. $a. the !ost of legal ser'i!es as long as !ontrol reains in the !lient and the res$onsi-ilit. of the
law.er is solel. to the !lient. =nforal O$inions 469 ad CicD 6/9. S"" alo O$inion 56/.E I!.
58. ABA O$inion 606 219613 re!ogni7ed that BCsDtatutor. $ro'isions now e(ist in se'eral states whi!h are designed to
a)e Cthe $ra!ti!e of law in a for that will -e !lassified as a !or$oration for federal in!oe ta( $ur$oseD legall. $ossi-le,
either as a result of law.ers in!or$orating or foring asso!iations with 'arious !or$orate !hara!teristi!s.E
59. %f. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6 219083 and ABA O$inion 181 219683, 104 219643, 106 219663, /5
219653, :0 219613, 49 219613, and 66 219613.
BAew Kor) %ount. CO$inionD 506 . . . . CA law.erD should not ad'ise a !lient to e$lo. an in'estent !o$an. in whi!h he
is interested, without inforing hi of this.E D,=AG&,, L&9AL &*H=%# 9:6 219:63.
B=n O$inion /5 and 49 this %oittee held1 *he relations of $artners in a law fir are su!h that neither the fir nor an.
e-er or asso!iate thereof, a. a!!e$t an. $rofessional e$lo.ent whi!h an. e-er of the fir !annot $ro$erl. a!!e$t.
B=n O$inion 16 this %oittee held that a e-er of a law fir !ould not re$resent a defendant in a !riinal !ase while
was -eing $rose!uted -. another e-er of the fir who was $u-li! $rose!uting attorne.. *he O$inion stated that it was
!learl. unethi!al for one e-er of the fir to o$$ose the interest of the state whi!h another e-er re$resented those
interests . . . . #in!e the $rose!utor hiself !ould not re$resent -oth the $u-li! and the defendant, no e-er of his law fir
!ould either.E ABA O$inion 596 219:93.
60. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 19 219083 and ABA O$inion 550 219413, 18: 219683, :0 219613, and
66 2196134 0&t c+. &rwin +. Jennings %o. '. Di9eno'a, 10/ %onn. 491, 498?99, 141 A. 866, 868 219583.
61. *his Canon C19D o+ Ethic needs no ela-oration to -e a$$lied to the fa!ts here. A$$arentl., the o-<e!t of this $re!e$t is
to a'oid $utting a law.er in the o-'iousl. e-arrassing $redi!aent of testif.ing and then ha'ing to argue the !redi-ilit. and
effe!t of his own testion.. =t was not designed to $erit a law.er to !all o$$osing !ounsel as a witness and there-. disqualif.
hi as !ounsel.E 9alarowi!7 '. >ard, 119 @tah 611, 650, 560 P.5d :/6, :80 219:13.
65. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 10 219083 and ABA O$inion 5/9 219493, 546 219453, and 1/6 219683.
66. S"" +OD&L %OD& OF P,OF&##=OAAL ,&#POA#="=L=*K, D, 5?1062%3.
64. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 45 2190834 c+. ABA O$inion 588 219:43.
6:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6 2190834 c+. ABA O$inion 16/ 2196/3, 60 219613, and 40 219613.
66. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
6/. ABA O$inion 54/ 219453 held that an attorne. !ould not in'estigate a night !lu- shooting on -ehalf of one of the
owner;s lia-ilit. insurers, o-taining the !oo$eration of the owner, and later re$resent the in<ured $atron in an a!tion against the
owner and a different insuran!e !o$an. unless the attorne. o-tain the Be($ress !onsent of all !on!erned gi'en after a full
dis!losure of the fa!ts,E sin!e to do so would -e to re$resent !onfli!ting interests.
S"" ABA O$inion 54/ 219453, 554 219413, 555 219413, 518 219413, 115 219643, 86 219653, and 86 219653.
68. Aended, +ar!h 19/4, House =nforation ,e$ort Ao. 15/.
69. C+. ABA O$inion 561 219413 and 160 219663.
40. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
41. C+. ABA O$inion 56: 219413.
45. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 68 219083.
BA law.er who re!ei'es a !oission 2whether dela.ed or not3 fro a title insuran!e !o$an. or guarant. fund for
re!oending or selling the insuran!e to his !lient, or for wor) done for the !lient or the !o$an., without either full.
dis!losing to the !lient his finan!ial interest in the transa!tion, or !rediting the !lient;s -ill with the aount thus re!ei'ed, is
guilt. of unethi!al !ondu!t.E ABA O$inion 604 219653.
46. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6: 2190834 c+. ABA O$inion 56/ 219413.
B>hen the la. forwarder, as agent for the !reditor, forwards a !lai to an attorne., the dire!t relationshi$ of attorne. and
!lient shall then e(ist -etween the attorne. and the !reditor, and the forwarder shall not inter$ose itself as an interediar. to
!ontrol the a!ti'ities of the attorne..E ABA O$inion 594 219:83.
44. BPeranent -enefi!ial and 'oting rights in the organi7ation set u$ to $ra!ti!e law, whate'er its for, ust -e restri!ted
to law.ers while the organi7ation is engaged in the $ra!ti!e of law.E ABA O$inion 606 219613.
4:. BCanon -- . . . $roulgates underl.ing $rin!i$les that ust -e o-ser'ed no atter in what for of organi7ation
law.ers $ra!ti!e law. =ts requireent that no $erson shall -e aditted or held out as a $ra!titioner or e-er who is not a
e-er of the legal $rofession dul. authori7ed to $ra!ti!e, and aena-le to $rofessional dis!i$line, a)es it !lear that an.
!entrali7ed anageent ust -e in law.ers to a'oid a 'iolation of this %anon.E ABA O$inion 606 219613.
46. B*here is no inter'ention of an. la. agen!. -etween law.er and !lient when !entrali7ed anageent $ro'ided onl. -.
law.ers a. gi'e guidan!e or dire!tion to the ser'i!es -eing rendered -. a law.er?e-er of the organi7ation to a !lient. *he
language in Canon -6 that a law.er should a'oid all relations whi!h dire!t the $erforan!e of his duties -. or in the interest of
an interediar. refers to la. interediaries and not law.er interediaries with who he is asso!iated in the $ra!ti!e of law.E
ABA O$inion 606 219613.
CANON -
A La!er S"o#l$ Re&resent
a Client Com&etentl
ET'ICAL CONSIDERATIONS
&% 6?1 "e!ause of his 'ital role in the legal $ro!ess, a law.er should a!t with !o$eten!e and
$ro$er !are in re$resenting !lients. He should stri'e to -e!oe and reain $rofi!ient in his $ra!ti!e
1
and should a!!e$t e$lo.ent onl. in atters whi!h he is or intends to -e!oe !o$etent to handle.
EC -() A law.er is aided in attaining and aintaining his !o$eten!e -. )ee$ing a-reast of
!urrent legal literature and de'elo$ents, $arti!i$ating in !ontinuing legal edu!ation $rogras,
5
!on!entrating in $arti!ular areas of the law, and -. utili7ing other a'aila-le eans. He has the
additional ethi!al o-ligation to assist in i$ro'ing the legal $rofession, and he a. do so -.
$arti!i$ating in -ar a!ti'ities intended to ad'an!e the qualit. and standards of e-ers of the
$rofession. Of $arti!ular i$ortan!e is the !areful training of his .ounger asso!iates and the gi'ing of
sound guidan!e to all law.ers who !onsult hi. =n short, a law.er should stri'e at all le'els to aid the
legal $rofession in ad'an!ing the highest $ossi-le standards of integrit. and !o$eten!e and to eet
those standards hiself.
EC -(* >hile the li!ensing of a law.er is e'iden!e that he has et the standards then $re'ailing
for adission to the -ar, a law.er generall. should not a!!e$t e$lo.ent in an. area of the law in
whi!h he is not qualified.
6
Howe'er, he a. a!!e$t su!h e$lo.ent if in good faith he e($e!ts to
-e!oe qualified through stud. and in'estigation, as long as su!h $re$aration would not result in
unreasona-le dela. or e($ense to his !lient. Pro$er $re$aration and re$resentation a. require the
asso!iation -. the law.er of $rofessionals in other dis!i$lines. A law.er offered e$lo.ent in a
atter in whi!h he is not and does not e($e!t to -e!oe so qualified should either de!line the
e$lo.ent or, with the !onsent of his !lient, a!!e$t the e$lo.ent and asso!iate a law.er who is
!o$etent in the atter.
EC -(+ Ha'ing underta)en re$resentation, a law.er should use $ro$er !are to safeguard the
interests of his !lient. =f a law.er has a!!e$ted e$lo.ent in a atter -e.ond his !o$eten!e -ut in
whi!h he e($e!ted to -e!oe !o$etent, he should diligentl. underta)e the wor) and stud.
ne!essar. to qualif. hiself. =n addition to -eing qualified to handle a $arti!ular atter, his
o-ligation to his !lient requires hi to $re$are adequatel. for and gi'e a$$ro$riate attention to his
legal wor).
EC -(, A law.er should ha'e $ride in his $rofessional endea'ors. His o-ligation to a!t
!o$etentl. !alls for higher oti'ation than that arising fro fear of !i'il lia-ilit. or dis!i$linar.
$enalt..
EC -(- A law.er should not see), -. !ontra!t or other eans, to liit his indi'idual lia-ilit. to
his !lient for his al$ra!ti!e. A law.er who handles the affairs of his !lient $ro$erl. has no need to
atte$t to liit his lia-ilit. for his $rofessional a!ti'ities and one who does not handle the affairs of
his !lient $ro$erl. should not -e $eritted to do so. A law.er who is a sto!)holder in or is asso!iated
with a $rofessional legal !or$oration a., howe'er, liit his lia-ilit. for al$ra!ti!e of his asso!iates
in the !or$oration, -ut onl. to the e(tent $eritted -. law.
4
DISCIPLINARY R.LES
D, 6?101 ?Failing to A!t %o$etentl..
2A3 ?A law.er shall not1
213 ?Handle a legal atter whi!h he )nows or should )now that he is not !o$etent to
handle, without asso!iating with hi a law.er who is !o$etent to handle it.
253 ?Handle a legal atter without $re$aration adequate in the !ir!ustan!es.
263 ?Aegle!t a legal atter entrusted to hi.
:
D, 6?105 ?Liiting Lia-ilit. to %lient.
2A3 ?A law.er shall not atte$t to e(onerate hiself fro or liit his lia-ilit. to his !lient for
his $ersonal al$ra!ti!e.
NOTES
1. BC>Dhen a !iti7en is fa!ed with the need for a law.er, he wants, and is entitled to, the -est infored !ounsel he !an
o-tain. %hanging ties $rodu!e !hanges in our laws and legal $ro!edures. *he natural !o$le(ities of law require !ontinuing
intensi'e stud. -. a law.er if he is to render his !lients a a(iu of effi!ient ser'i!e. And, in so doing, he aintains the high
standards of the legal $rofession4 and he also in!reases res$e!t and !onfiden!e -. the general $u-li!.E ,o!helle Q Pa.ne, Th"
St#&))l" o+ P&0lic Un!"#tan!in), 5: *&PA# ".J. 109, 160 219653.
B>e ha'e undergone enorous !hanges in the last fift. .ears within the li'es of ost of the adults li'ing toda. who a. -e
see)ing ad'i!e. +ost of these !hanges ha'e -een a!!o$anied -. !hanges and de'elo$ents in the law . . . . &'er. $ra!ti!ing
law.er en!ounters these $ro-les and is often $er$le(ed with his own ina-ilit. to )ee$ u$, not onl. with !hanges in the law,
-ut also with !hanges in the li'es of his !lients and their legal $ro-les.
B*o -e sure, no !lient has a right to e($e!t that his law.er will ha'e all of the answers at the end of his tongue or e'en in the
-a!) of his head at all ties. "ut the !lient does ha'e the right to e($e!t that the law.er will ha'e de'oted his tie and
energies to aintaining and i$ro'ing his !o$eten!e to )now where to loo) for the answers to )now how to deal with the
$ro-les, and to )now how to ad'ise to the -est of his legal talents and a-ilities.E Le'. Q #$rague, Acco&ntin) an! La12 I
D&al P#actic" in th" P&0lic Int"#"tD, :5 A.".A.J. 1110, 1115 219663.
5. B*he whole $ur$ose of !ontinuing legal edu!ation, so enthusiasti!all. su$$orted -. the A"A, is to a)e it $ossi-le for
law.ers to a)e thesel'es -etter law.ers. "ut there are no nostrus for $rofi!ien!. in the law4 it ust !oe through the hard
wor) of the law.er hiself. *o the e(tent that wor), whether it -e in attending institutes or le!ture !ourses, in stud.ing after
hours or in the a!tual da. in and da. out $ra!ti!e of his $rofession, !an -e !on!entrated within a liited field, the greater the
$rofi!ien!. and e($ertness that !an de'elo$ed.E R"$o#t o+ th" S$"cial Co**itt"" on S$"ciali<ation an! S$"ciali<"! L")al
E!&cation, /9 A.".A. ,&P. :85, :88 219:43.
6. B=f the attorne. is not !o$etent to s)illfull. and $ro$erl. $erfor the wor), he should not underta)e the ser'i!e.E
Design '. #tein-rin), 505 A$$. Di'. 4//, 481, 19: A.K.#. 810, 814 219553, a++ B! *"*., 566 A.K. 669, 145 A.&. 658 219563.
4. S"" ABA O$inion 606 2196134 c+. %OD& OF P,OF&##=OAAL ,&#POA#="=L=*K, &% 5?11.
:. *he annual re$ort for 196/?1968 of the %oittee on 9rie'an!es of the Asso!iation of the "ar of the %it. of Aew
Kor) showed a re!ei$t of 5,565 !o$laints4 of the 858 offenses against !lients, /6 in'ol'ed !on'ersion, 49 in'ol'ed
Bo'errea!hing,E and 4:5, or ore than half of all su!h offenses, in'ol'ed negle!t. Ann&al R"$o#t o+ th" Co**itt"" on
G#i"3anc" o+ th" Aociation o+ th" Ba# o+ th" Cit% o+ N"1 Yo#E, A.K.L.J., #e$t. 15, 1968, at 4, !ol. :.
CANON 1
A La!er S"o#l$ Re&resent
a Client 9ealo#sl :it"in t"e
Bo#n$s of t"e La!
ET'ICAL CONSIDERATIONS
&% /?1 *he dut. of a law.er, -oth to his !lient
1
and to the legal s.ste, is to re$resent his !lient
7ealousl.
5
within the -ounds of the law,
6
whi!h in!ludes Dis!i$linar. ,ules and enfor!ea-le
$rofessional regulations.
4
*he $rofessional res$onsi-ilit. of a law.er deri'es fro his e-ershi$ in
a $rofession whi!h has the dut. of assisting e-ers of the $u-li! to se!ure and $rote!t a'aila-le
legal rights and -enefits. =n our go'ernent of laws and not of en, ea!h e-er of our so!iet. is
entitled to ha'e his !ondu!t <udged and regulated in a!!ordan!e with the law4
:
to see) an. lawful
o-<e!ti'e
6
through legall. $erissi-le eans4
/
and to $resent for ad<udi!ation an. lawful !lai, issue,
or defense.
EC 1() *he -ounds of the law in a gi'en !ase are often diffi!ult to as!ertain.
8
*he language of
legislati'e ena!tents and <udi!ial o$inions a. -e un!ertain as a$$lied to 'ar.ing fa!tual situations.
*he liits and s$e!ifi! eaning of a$$arentl. rele'ant law a. -e ade dou-tful -. !hanging or
de'elo$ing !onstitutional inter$retations, inadequatel. e($ressed statutes or <udi!ial o$inions, and
!hanging $u-li! and <udi!ial attitudes. %ertaint. of law ranges fro well?settled rules through areas
of !onfli!ting authorit. to areas without $re!edent.
EC 1(* >here the -ounds of law are un!ertain, the a!tion of a law.er a. de$end on whether he
is ser'ing as ad'o!ate or ad'iser. A law.er a. ser'e siultaneousl. as -oth ad'o!ate and ad'iser,
-ut the two roles are essentiall. different.
9
=n asserting a $osition on -ehalf of his !lient, an ad'o!ate
for the ost $art deals with $ast !ondu!t and ust ta)e the fa!ts as he finds the. ". !ontrast, a
law.er ser'ing as ad'iser $riaril. assists his !lient in deterining the !ourse of future !ondu!t and
relationshi$s. >hile ser'ing as ad'o!ate, a law.er should resol'e in fa'or of his !lient dou-ts as to
the -ounds of the law.
10
=n ser'ing a !lient as ad'iser, a law.er in a$$ro$riate !ir!ustan!es should
gi'e his $rofessional o$inion as to what the ultiate de!isions of the !ourts would li)el. -e as to the
a$$li!a-le law.
Duty of the +awyer to a Client
EC 1(+ *he ad'o!ate a. urge an. $erissi-le !onstru!tion of the law fa'ora-le to his !lient,
without regard to his $rofessional o$inion as to the li)elihood that the !onstru!tion will ultiatel.
$re'ail.
11
His !ondu!t is within the -ounds of the law, and therefore $erissi-le, if the $osition ta)en
is su$$orted -. the law or is su$$orta-le -. a good faith arguent for an e(tension, odifi!ation, or
re'ersal of the law. Howe'er, a law.er is not <ustified in asserting a $osition in litigation that is
fri'olous.
15
EC 1(, A law.er as ad'iser furthers the interest of his !lient -. gi'ing his $rofessional o$inion as
to what he -elie'es would li)el. -e the ultiate de!ision of the !ourts on the atter at hand and -.
inforing his !lient of the $ra!ti!al effe!t of su!h de!ision.
16
He a. !ontinue in the re$resentation of
his !lient e'en though his !lient has ele!ted to $ursue a !ourse of !ondu!t !ontrar. to the ad'i!e of
the law.er so long as he does not there-. )nowingl. assist the !lient to engage in illegal !ondu!t or
to ta)e a fri'olous legal $osition. A law.er should ne'er en!ourage or aid his !lient to !oit
!riinal a!ts or !ounsel his !lient on how to 'iolate the law and a'oid $unishent therefor.
14
EC 1(- >hether the $ro$osed a!tion of a law.er is within the -ounds of the law a. -e a
$er$le(ing question when his !lient is !onte$lating a !ourse of !ondu!t ha'ing legal !onsequen!es
that 'ar. a!!ording to the !lient;s intent, oti'e, or desires at the tie of the a!tion. Often a law.er is
as)ed to assist his !lient in de'elo$ing e'iden!e rele'ant to the state of ind of the !lient at a
$arti!ular tie. He a. $ro$erl. assist his !lient in the de'elo$ent and $reser'ation of e'iden!e of
e(isting oti'e, intent, or desire4 o-'iousl., he a. not do an.thing furthering the !reation or
$reser'ation of false e'iden!e. =n an. !ases a law.er a. not -e !ertain as to the state of ind of
his !lient, and in those situations he should resol'e reasona-le dou-ts in fa'or of his !lient.
EC 1(1 =n !ertain areas of legal re$resentation not affe!ting the erits of the !ause or
su-stantiall. $re<udi!ing the rights of a !lient, a law.er is entitled to a)e de!isions on his own. "ut
otherwise the authorit. to a)e de!isions is e(!lusi'el. that of the !lient and, if ade within the
fraewor) of the law, su!h de!isions are -inding on his law.er. As t.$i!al e(a$les in !i'il !ases, it
is for the !lient to de!ide whether he will a!!e$t a settleent offer or whether he will wai'e his right
to $lead an affirati'e defense. A defense law.er in a !riinal !ase has the dut. to ad'ise his !lient
full. on whether a $arti!ular $lea to a !harge a$$ears to -e desira-le and as to the $ros$e!ts of
su!!ess on a$$eal, -ut it is for the !lient to de!ide what $lea should -e entered and whether an a$$eal
should -e ta)en.
1:
EC 1(2 A law.er should e(ert his -est efforts to insure that de!isions of his !lient are ade onl.
after the !lient has -een infored of rele'ant !onsiderations. A law.er ought to initiate this de!ision?
a)ing $ro!ess if the !lient does not do so. Ad'i!e of a law.er to his !lient need not -e !onfined to
$urel. legal !onsiderations.
16
A law.er should ad'ise his !lient of the $ossi-le effe!t of ea!h legal
alternati'e.
1/
A law.er should -ring to -ear u$on this de!ision?a)ing $ro!ess the fullness of his
e($erien!e as well as his o-<e!ti'e 'iew$oint.
18
=n assisting his !lient to rea!h a $ro$er de!ision, it is
often desira-le for a law.er to $oint out those fa!tors whi!h a. lead to a de!ision that is orall.
<ust as well as legall. $erissi-le.
19
He a. e$hasi7e the $ossi-ilit. of harsh !onsequen!es that
ight result fro assertion of legall. $erissi-le $ositions. =n the final anal.sis, howe'er, the law.er
should alwa.s ree-er that the de!ision whether to forego legall. a'aila-le o-<e!ti'es or ethods
-e!ause of non?legal fa!tors is ultiatel. for the !lient and not for hiself. =n the e'ent that the !lient
in a non?ad<udi!ator. atter insists u$on a !ourse of !ondu!t that is !ontrar. to the <udgent and
ad'i!e of the law.er -ut not $rohi-ited -. Dis!i$linar. ,ules, the law.er a. withdraw fro the
e$lo.ent.
50
EC 1(3 =n the e(er!ise of his $rofessional <udgent on those de!isions whi!h are for his
deterination in the handling of a legal atter,
51
a law.er should alwa.s a!t in a anner !onsistent
with the -est interests of his !lient.
55
Howe'er, when an a!tion in the -est interest of his !lient sees
to hi to -e un<ust, he a. as) his !lient for $erission to forego su!h a!tion.
EC 1(14 *he dut. of a law.er to re$resent his !lient with 7eal does not ilitate against his
!on!urrent o-ligation to treat with !onsideration all $ersons in'ol'ed in the legal $ro!ess and to a'oid
the infli!tion of needless har.
EC 1(11 *he res$onsi-ilities of a law.er a. 'ar. a!!ording to the intelligen!e, e($erien!e,
ental !ondition or age of a !lient, the o-ligation of a $u-li! offi!er, or the nature of a $arti!ular
$ro!eeding. &(a$les in!lude the re$resentation of an illiterate or an in!o$etent, ser'i!e as a $u-li!
$rose!utor or other go'ernent law.er, and a$$earan!es -efore adinistrati'e and legislati'e -odies.
EC 1(1) An. ental or $h.si!al !ondition of a !lient that renders hi in!a$a-le of a)ing a
!onsidered <udgent on his own -ehalf !asts additional res$onsi-ilities u$on his law.er. >here an
in!o$etent is a!ting through a guardian or other legal re$resentati'e, a law.er ust loo) to su!h
re$resentati'e for those de!isions whi!h are norall. the $rerogati'e of the !lient to a)e. =f a !lient
under disa-ilit. has no legal re$resentati'e, his law.er a. -e !o$elled in !ourt $ro!eedings to
a)e de!isions on -ehalf of the !lient. =f the !lient is !a$a-le of understanding the atter in question
or of !ontri-uting to the ad'an!eent of his interests, regardless of whether he is legall. disqualified
fro $erforing !ertain a!ts, the law.er should o-tain fro hi all $ossi-le aid. =f the disa-ilit. of a
!lient and the la!) of a legal re$resentati'e !o$el the law.er to a)e de!isions for his !lient, the
law.er should !onsider all !ir!ustan!es then $re'ailing and a!t with !are to safeguard and ad'an!e
the interests of his !lient. "ut o-'iousl. a law.er !annot $erfor an. a!t or a)e an. de!ision whi!h
the law requires his !lient to $erfor or a)e, either a!ting for hiself if !o$etent, or -. a dul.
!onstituted re$resentati'e if legall. in!o$etent.
EC 1(1* *he res$onsi-ilit. of a $u-li! $rose!utor differs fro that of the usual ad'o!ate4 his dut.
is to see) <usti!e, not erel. to !on'i!t.
56
*his s$e!ial dut. e(ists -e!ause1 213 the $rose!utor
re$resents the so'ereign and therefore should use restraint in the dis!retionar. e(er!ise of
go'ernental $owers, su!h as in the sele!tion of !ases to $rose!ute4 253 during trial the $rose!utor is
not onl. an ad'o!ate -ut he also a. a)e de!isions norall. ade -. an indi'idual !lient, and
those affe!ting the $u-li! interest should -e fair to all4 and 263 in our s.ste of !riinal <usti!e the
a!!used is to -e gi'en the -enefit of all reasona-le dou-ts. >ith res$e!t to e'iden!e and witnesses,
the $rose!utor has res$onsi-ilities different fro those of a law.er in $ri'ate $ra!ti!e1 the $rose!utor
should a)e tiel. dis!losure to the defense of a'aila-le e'iden!e, )nown to hi, that tends to
negate the guilt of the a!!used, itigate the degree of the offense, or redu!e the $unishent. Further,
a $rose!utor should not intentionall. a'oid $ursuit of e'iden!e erel. -e!ause he -elie'es it will
daage the $rose!utor;s !ase or aid the a!!used.
EC 1(1+ A go'ernent law.er who has dis!retionar. $ower relati'e to litigation should refrain
fro instituting or !ontinuing litigation that is o-'iousl. unfair. A go'ernent law.er not ha'ing
su!h dis!retionar. $ower who -elie'es there is la!) of erit in a !ontro'ers. su-itted to hi should
so ad'ise his su$eriors and re!oend the a'oidan!e of unfair litigation. A go'ernent law.er in a
!i'il a!tion or adinistrati'e $ro!eeding has the res$onsi-ilit. to see) <usti!e and to de'elo$ a full
and fair re!ord, and he should not use his $osition or the e!onoi! $ower of the go'ernent to harass
$arties or to -ring a-out un<ust settleents or results.
EC 1(1, *he nature and $ur$ose of $ro!eedings -efore adinistrati'e agen!ies 'ar. widel.. *he
$ro!eedings a. -e legislati'e or quasi?<udi!ial, or a !o-ination of -oth. *he. a. -e "A $a#t" in
!hara!ter, in whi!h e'ent the. a. originate either at the instan!e of the agen!. or u$on otion of an
interested $art.. *he s!o$e of an inquir. a. -e $urel. in'estigati'e or it a. -e trul. ad'ersar.
loo)ing toward the ad<udi!ation of s$e!ifi! rights of a $art. or of !lasses of $arties. *he foregoing are
-ut e(a$les of soe of the t.$es of $ro!eedings !ondu!ted -. adinistrati'e agen!ies. A law.er
a$$earing -efore an adinistrati'e agen!.,
54
regardless of the nature of the $ro!eeding it is
!ondu!ting, has the !ontinuing dut. to ad'an!e the !ause of his !lient within the -ounds of the law.
5:
>here the a$$li!a-le rules of the agen!. i$ose s$e!ifi! o-ligations u$on a law.er, it is his dut. to
!o$l. therewith, unless the law.er has a legitiate -asis for !hallenging the 'alidit. thereof. =n all
a$$earan!es -efore adinistrati'e agen!ies, a law.er should identif. hiself, his !lient if identit. of
his !lient is not $ri'ileged
56
and the re$resentati'e nature of his a$$earan!e. =t is not i$ro$er,
howe'er, for a law.er to see) fro an agen!. inforation a'aila-le to the $u-li! without identif.ing
his !lient.
EC 1(1- *he $riar. -usiness of a legislati'e -od. is to ena!t laws rather than to ad<udi!ate
!ontro'ersies, although on o!!asion the a!ti'ities of a legislati'e -od. a. ta)e on the !hara!teristi!s
of an ad'ersar. $ro!eeding, $arti!ularl. in in'estigati'e and i$ea!hent atters. *he role of a
law.er su$$orting or o$$osing $ro$osed legislation norall. is quite different fro his role in
re$resenting a $erson under in'estigation or on trial -. a legislati'e -od.. >hen a law.er a$$ears in
!onne!tion with $ro$osed legislation, he see)s to affe!t the lawa)ing $ro!ess, -ut when he a$$ears
on -ehalf of a !lient in in'estigator. or i$ea!hent $ro!eedings, he is !on!erned with the
$rote!tion of the rights of his !lient. =n either e'ent, he should identif. hiself and his !lient, if
identit. of his !lient is not $ri'ileged, and should !o$l. with a$$li!a-le laws and legislati'e rules.
5/
EC 1(11 *he o-ligation of lo.alt. to his !lient a$$lies onl. to a law.er in the dis!harge of his
$rofessional duties and i$lies no o-ligation to ado$t a $ersonal 'iew$oint fa'ora-le to the interests
or desires of his !lient.
58
>hile a law.er ust a!t alwa.s with !ir!us$e!tion in order that his
!ondu!t will not ad'ersel. affe!t the rights of a !lient in a atter he is then handling, he a. ta)e
$ositions on $u-li! issues and es$ouse legal refors he fa'ors without regard to the indi'idual 'iews
of an. !lient.
EC 1(12 *he legal s.ste in its -roadest sense fun!tions -est when $ersons in need of legal ad'i!e
or assistan!e are re$resented -. their own !ounsel. For this reason a law.er should not !ouni!ate
on the su-<e!t atter of the re$resentation of his !lient with a $erson he )nows to -e re$resented in
the atter -. a law.er, unless $ursuant to law or rule of !ourt or unless he has the !onsent of the
law.er for that $erson.
59
=f one is not re$resented -. !ounsel, a law.er re$resenting another a. ha'e
to deal dire!tl. with the unre$resented $erson4 in su!h an instan!e, a law.er should not underta)e to
gi'e ad'i!e to the $erson who is atte$ting to re$resent hiself,
60
e(!e$t that he a. ad'ise hi to
o-tain a law.er.
Duty of the +awyer to the Ad.ersary ,ystem of 3ustice
EC 1(13 Our legal s.ste $ro'ides for the ad<udi!ation of dis$utes go'erned -. the rules of
su-stanti'e, e'identiar., and $ro!edural law. An ad'ersar. $resentation !ounters the natural huan
tenden!. to <udge too swiftl. in ters of the failiar that whi!h is not .et full. )nown4
61
the
ad'o!ate, -. his 7ealous $re$aration and $resentation of fa!t and law, ena-les the tri-unal to !oe to
the hearing with an o$en and neutral ind and to render i$artial <udgents.
65
*he dut. of a law.er
to his !lient and his dut. to the legal s.ste are the sae4 to re$resent his !lient 7ealousl. within the
-ounds of the law.
66
EC 1()4 =n order to fun!tion $ro$erl., our ad<udi!ati'e $ro!ess requires an infored, i$artial
tri-unal !a$a-le of adinistering <usti!e $ro$tl. and effi!ientl.
64
a!!ording to $ro!edures that
!oand $u-li! !onfiden!e and res$e!t.
6:
Aot onl. ust there -e !o$etent, ad'erse $resentation of
e'iden!e and issues, -ut a tri-unal ust -e aided -. rules a$$ro$riate to an effe!ti'e and dignified
$ro!ess. *he $ro!edures under whi!h tri-unals o$erate in our ad'ersar. s.ste ha'e -een $res!ri-ed
largel. -. legislati'e ena!tents, !ourt rules and de!isions, and adinistrati'e rules. *hrough the
.ears !ertain !on!e$ts of $ro$er $rofessional !ondu!t ha'e -e!oe rules of law a$$li!a-le to the
ad'ersar. ad<udi!ati'e $ro!ess. +an. of these !on!e$ts are the -ases for standards of $rofessional
!ondu!t set forth in the Dis!i$linar. ,ules.
EC 1()1 *he !i'il ad<udi!ati'e $ro!ess is $riaril. designed for the settleent of dis$utes -etween
$arties, while the !riinal $ro!ess is designed for the $rote!tion of so!iet. as a whole. *hreatening to
use, or using, the !riinal $ro!ess to !oer!e ad<ustent of $ri'ate !i'il !lais or !ontro'ersies is a
su-'ersion of that $ro!ess4
66
further, the $erson against who the !riinal $ro!ess is so isused a.
-e deterred fro asserting his legal rights and thus the usefulness of the !i'il $ro!ess in settling
$ri'ate dis$utes is i$aired. As in all !ases of a-use of <udi!ial $ro!ess, the i$ro$er use of !riinal
$ro!ess tends to diinish $u-li! !onfiden!e in our legal s.ste.
EC 1()) ,es$e!t for <udi!ial rulings is essential to the $ro$er adinistration of <usti!e4 howe'er, a
litigant or his law.er a., in good faith and within the fraewor) of the law, ta)e ste$s to test the
!orre!tness of a ruling of a tri-unal.
6/
EC 1()* *he !o$le(it. of law often a)es it diffi!ult for a tri-unal to -e full. infored unless
the $ertinent law is $resented -. the law.ers in the !ause. A tri-unal that is full. infored on the
a$$li!a-le law is -etter a-le to a)e a fair and a!!urate deterination of the atter -efore it. *he
ad'ersar. s.ste !onte$lates that ea!h law.er will $resent and argue the e(isting law in the light
ost fa'ora-le to his !lient.
68
>here a law.er )nows of legal authorit. in the !ontrolling <urisdi!tion
dire!tl. ad'erse to the $osition of his !lient, he should infor the tri-unal of its e(isten!e unless his
ad'ersar. has done so4 -ut, ha'ing ade su!h dis!losure, he a. !hallenge its soundness in whole or
in $art.
69
EC 1()+ =n order to -ring a-out <ust and infored de!isions, e'identiar. and $ro!edural rules ha'e
-een esta-lished -. tri-unals to $erit the in!lusion of rele'ant e'iden!e and arguent and the
e(!lusion of all other !onsiderations. *he e($ression -. a law.er of his $ersonal o$inion as to the
<ustness of a !ause, as to the !redi-ilit. of a witness, as to the !ul$a-ilit. of a !i'il litigant, or as to the
guilt or inno!en!e of an a!!used is not a $ro$er su-<e!t for arguent to the trier of fa!t.
40
=t is
i$ro$er as to fa!tual atters -e!ause adissi-le e'iden!e $ossessed -. a law.er should -e
$resented onl. as sworn testion.. =t is i$ro$er as to all other atters -e!ause, were the rule
otherwise, the silen!e of a law.er on a gi'en o!!asion !ould -e !onstrued unfa'ora-l. to his !lient.
Howe'er, a law.er a. argue, on his anal.sis of the e'iden!e, for an. $osition or !on!lusion with
res$e!t to an. of the foregoing atters.
EC 1(), ,ules of e'iden!e and $ro!edure are designed to lead to <ust de!isions and are $art of the
fraewor) of the law. *hus while a law.er a. ta)e ste$s in good faith and within the fraewor) of
the law to test the 'alidit. of rules, he is not <ustified in !ons!iousl. 'iolating su!h rules and he
should -e diligent in his efforts to guard against his unintentional 'iolation of the.
41
As e(a$les, a
law.er should su-s!ri-e to or 'erif. onl. those $leadings that he -elie'es are in !o$lian!e with
a$$li!a-le law and rules4 a law.er should not a)e an. $refator. stateent -efore a tri-unal in
regard to the $ur$orted fa!ts of the !ase on trial unless he -elie'es that his stateent will -e
su$$orted -. adissi-le e'iden!e4 a law.er should not as) a witness a question solel. for the $ur$ose
of harassing or e-arrassing hi4 and a law.er should not -. su-terfuge $ut -efore a <ur. atters
whi!h it !annot $ro$erl. !onsider.
EC 1()- *he law and Dis!i$linar. ,ules $rohi-it the use of fraudulent, false, or $er<ured testion.
or e'iden!e.
45
A law.er who )nowingl.
46
$arti!i$ates in introdu!tion of su!h testion. or e'iden!e is
su-<e!t to dis!i$line. A law.er should, howe'er, $resent an. adissi-le e'iden!e his !lient desires to
ha'e $resented unless he )nows, or fro fa!ts within his )nowledge should )now, that su!h
testion. or e'iden!e is false, fraudulent, or $er<ured.
46
EC 1()1 "e!ause it interferes with the $ro$er adinistration of <usti!e, a law.er should not
su$$ress e'iden!e that he or his !lient has a legal o-ligation to re'eal or $rodu!e. =n li)e anner, a
law.er should not ad'ise or !ause a $erson to se!rete hiself or to lea'e the <urisdi!tion of a tri-unal
for the $ur$ose of a)ing hi una'aila-le as a witness therein.
4/
EC 1()2 >itnesses should alwa.s testif. truthfull.
46
and should -e free fro an. finan!ial
indu!eents that ight te$t the to do otherwise.
4/
A law.er should not $a. or agree to $a. a non?
e($ert witness an aount in e(!ess of rei-urseent for e($enses and finan!ial loss in!ident to his
-eing a witness4 howe'er, a law.er a. $a. or agree to $a. an e($ert witness a reasona-le fee for his
ser'i!es as an e($ert. "ut in no e'ent should a law.er $a. or agree to $a. a !ontingent fee to an.
witness. A law.er should e(er!ise reasona-le diligen!e to see that his !lient and la. asso!iates
!onfor to these standards.
48
EC 1()3 *o safeguard the i$artialit. that is essential to the <udi!ial $ro!ess, 'enireen and <urors
should -e $rote!ted against e(traneous influen!es.
49
>hen i$artialit. is $resent, $u-li! !onfiden!e in
the <udi!ial s.ste is enhan!ed. *here should -e no e(tra<udi!ial !ouni!ation with 'enireen
$rior to trial or with <urors during trial -. or on -ehalf of a law.er !onne!ted with the !ase.
Furtherore, a law.er who is not !onne!ted with the !ase should not !ouni!ate with or !ause
another to !ouni!ate with a 'enirean or a <uror a-out the !ase. After the trial, !ouni!ation -.
a law.er with <urors is $eritted so long as he refrains fro as)ing questions or a)ing !oents
that tend to harass or e-arrass the <uror
:0
or to influen!e a!tions of the <uror in future !ases. >ere a
law.er to -e $rohi-ited fro !ouni!ating after trial with a <uror, he !ould not as!ertain if the
'erdi!t ight -e su-<e!t to legal !hallenge, in whi!h e'ent the in'alidit. of a 'erdi!t ight go
undete!ted.
:1
>hen an e(tra<udi!ial !ouni!ation -. a law.er with a <uror is $eritted -. law, it
should -e ade !onsideratel. and with deferen!e to the $ersonal feelings of the <uror.
EC 1(*4 Fe(atious or harassing in'estigations of 'enireen or <urors seriousl. i$air the
effe!ti'eness of our <ur. s.ste. For this reason, a law.er or an.one on his -ehalf who !ondu!ts an
in'estigation of 'enireen or <urors should a!t with !ir!us$e!tion and restraint.
EC 1(*1 %ouni!ations with or in'estigations of e-ers of failies of 'enireen or <urors -.
a law.er or -. an.one on his -ehalf are su-<e!t to the restri!tions i$osed u$on the law.er with
res$e!t to his !ouni!ations with or in'estigations of 'enireen and <urors.
EC 1(*) "e!ause of his dut. to aid in $reser'ing the integrit. of the <ur. s.ste, a law.er who
learns of i$ro$er !ondu!t -. or towards a 'enirean, a <uror, or a e-er of the fail. of either
should a)e a $ro$t re$ort to the !ourt regarding su!h !ondu!t.
EC 1(** A goal of our legal s.ste is that ea!h $art. shall ha'e his !ase, !riinal or !i'il,
ad<udi!ated -. an i$artial tri-unal. *he attainent of this goal a. -e defeated -. disseination of
news or !oents whi!h tend to influen!e <udge or <ur..
:5
#u!h news or !oents a. $re'ent
$ros$e!ti'e <urors fro -eing i$artial at the outset of the trial
:6
and a. also interfere with the
o-ligation of <urors to -ase their 'erdi!t solel. u$on the e'iden!e aditted in the trial.
:4
*he release
-. a law.er of out?of?!ourt stateents regarding an anti!i$ated or $ending trial a. i$ro$erl.
affe!t the i$artialit. of the tri-unal.
::
For these reasons, standards for $erissi-le and $rohi-ited
!ondu!t of a law.er with res$e!t to trial $u-li!it. ha'e -een esta-lished.
EC 1(*+ *he i$artialit. of a $u-li! ser'ant in our legal s.ste a. -e i$aired -. the re!ei$t of
gifts or loans. A law.er,
:6
therefore, is ne'er <ustified in a)ing a gift or a loan to a <udge, a hearing
offi!er, or an offi!ial or e$lo.ee of a tri-unal e(!e$t as $eritted -. #e!tion %243 of %anon : of the
%ode of Judi!ial %ondu!t, -ut a law.er a. a)e a !ontri-ution to the !a$aign fund of a !andidate
for <udi!ial offi!e in !onforit. with #e!tion "253 under %anon / of the %ode of Judi!ial %ondu!t.
:/, :8
EC 1(*, All litigants and law.ers should ha'e a!!ess to tri-unals on an equal -asis. 9enerall., in
ad'ersar. $ro!eedings a law.er should not !ouni!ate with a <udge relati'e to a atter $ending
-efore, or whi!h is to -e -rought -efore, a tri-unal o'er whi!h he $resides in !ir!ustan!es whi!h
ight ha'e the effe!t or gi'e the a$$earan!e of granting undue ad'antage to one $art..
:9
For e(a$le,
a law.er should not !ouni!ate with a tri-unal -. a writing unless a !o$. thereof is $ro$tl.
deli'ered to o$$osing !ounsel or to the ad'erse $art. if he is not re$resented -. a law.er. Ordinaril.
an oral !ouni!ation -. a law.er with a <udge or hearing offi!er should -e ade onl. u$on
adequate noti!e to o$$osing !ounsel, or, if there is none, to the o$$osing $art.. A law.er should not
!ondone or lend hiself to $ri'ate i$ortunities -. another with a <udge or hearing offi!er on -ehalf
of hiself or his !lient.
EC 1(*- Judi!ial hearings ought to -e !ondu!ted through dignified and orderl. $ro!edures
designed to $rote!t the rights of all $arties. Although a law.er has the dut. to re$resent his !lient
7ealousl., he should not engage in an. !ondu!t that offends the dignit. and de!oru of $ro!eedings.
60
>hile aintaining his inde$enden!e, a law.er should -e res$e!tful, !ourteous, and a-o'e?-oard in
his relations with a <udge or hearing offi!er -efore who he a$$ears.
61
He should a'oid undue
soli!itude for the !ofort or !on'enien!e of <udge or <ur. and should a'oid an. other !ondu!t
!al!ulated to gain s$e!ial !onsideration.
EC 1(*1 =n ad'ersar. $ro!eedings, !lients are litigants and though ill feeling a. e(ist -etween
!lients, su!h ill feeling should not influen!e a law.er in his !ondu!t, attitude, and deeanor towards
o$$osing law.ers.
65
A law.er should not a)e unfair or derogator. $ersonal referen!e to o$$osing
!ounsel. Haranguing and offensi'e ta!ti!s -. law.ers interfere with the orderl. adinistration of
<usti!e and ha'e no $ro$er $la!e in our legal s.ste.
EC 1(*2 A law.er should -e !ourteous to o$$osing !ounsel and should a!!ede to reasona-le
requests regarding !ourt $ro!eedings, settings, !ontinuan!es, wai'er of $ro!edural foralities, and
siilar atters whi!h do not $re<udi!e the rights of his !lient.
66
He should follow lo!al !ustos of
!ourtes. or $ra!ti!e, unless he gi'es tiel. noti!e to o$$osing !ounsel of his intention not to do so.
64
A law.er should -e $un!tual in fulfilling all $rofessional !oitents.
6:
EC 1(*3 =n the final anal.sis, $ro$er fun!tioning of the ad'ersar. s.ste de$ends u$on
!oo$eration -etween law.ers and tri-unals in utili7ing $ro!edures whi!h will $reser'e the
i$artialit. of tri-unals and a)e their de!isional $ro!esses $ro$t and <ust, without i$inging u$on
the o-ligation of law.ers to re$resent their !lients 7ealousl. within the fraewor) of the law.
DISCIPLINARY R.LES
D, /?101 ,e$resenting a %lient Sealousl..
2A3 ?A law.er shall not intentionall.1
66
213 ?Fail to see) the lawful o-<e!ti'es of his !lient through reasona-l. a'aila-le eans
6/
$eritted -. law and the Dis!i$linar. ,ules, e(!e$t as $ro'ided -. D, /?1012"3. A law.er does not
'iolate this Dis!i$linar. ,ule, howe'er, -. a!!eding to reasona-le requests of o$$osing !ounsel
whi!h do not $re<udi!e the rights of his !lient, -. -eing $un!tual in fulfilling all $rofessional
!oitents, -. a'oiding offensi'e ta!ti!s, or -. treating with !ourtes. and !onsideration all
$ersons in'ol'ed in the legal $ro!ess.
253 ?Fail to !arr. out a !ontra!t of e$lo.ent entered into with a !lient for $rofessional
ser'i!es, -ut he a. withdraw as $eritted under D, 5?110, D, :?105, and D, :?10:.
263 ?Pre<udi!e or daage his !lient during the !ourse of the $rofessional relationshi$,
68
e(!e$t as required under D, /?1052"3.
2"3 ?=n his re$resentation of a !lient, a law.er a.1
213 ?>here $erissi-le, e(er!ise his $rofessional <udgent to wai'e or fail to assert a right
or $osition of his !lient.
253 ?,efuse to aid or $arti!i$ate in !ondu!t that he -elie'es to -e unlawful, e'en though
there is soe su$$ort for an arguent that the !ondu!t is legal.
D, /?105 ,e$resenting a %lient >ithin the "ounds of the Law.
2A3 ?=n his re$resentation of a !lient, a law.er shall not1
213 ?File a suit, assert a $osition, !ondu!t a defense, dela. a trial, or ta)e other a!tion on
-ehalf of his !lient when he )nows or when it is o-'ious that su!h a!tion would ser'e erel. to
harass or ali!iousl. in<ure another.
69
253 ?Gnowingl. ad'an!e a !lai or defense that is unwarranted under e(isting law, e(!e$t
that he a. ad'an!e su!h !lai or defense if it !an -e su$$orted -. good faith arguent for an
e(tension, odifi!ation, or re'ersal of e(isting law.
263 ?%on!eal or )nowingl. fail to dis!lose that whi!h he is required -. law to re'eal.
243 ?Gnowingl. use $er<ured testion. or false e'iden!e.
/0
2:3 ?Gnowingl. a)e a false stateent of law or fa!t.
263 ?Parti!i$ate in the !reation or $reser'ation of e'iden!e when he )nows or it is o-'ious
that the e'iden!e is false.
2/3 ?%ounsel or assist his !lient in !ondu!t that the law.er )nows to -e illegal or fraudulent.
283 ?Gnowingl. engage in other illegal !ondu!t or !ondu!t !ontrar. to a Dis!i$linar. ,ule.
2"3 ?A law.er who re!ei'es inforation !learl. esta-lishing that1
213 ?His !lient has, in the !ourse of the re$resentation, $er$etrated a fraud u$on a $erson or
tri-unal shall $ro$tl. !all u$on his !lient to re!tif. the sae, and if his !lient refuses or is una-le to
do so, he shall re'eal the fraud to the affe!ted $erson or tri-unal, e(!e$t when the inforation is
$rote!ted as a $ri'ileged !ouni!ation.
/1, /5
253 ?A $erson other than his !lient has $er$etrated a fraud u$on a tri-unal shall $ro$tl.
re'eal the fraud to the tri-unal.
/6
D, /?106 ?Perforing the Dut. of Pu-li! Prose!utor or Other 9o'ernent Law.er.
/4
2A3 ?A $u-li! $rose!utor or other go'ernent law.er shall not institute or !ause to -e instituted
!riinal !harges when he )nows or it is o-'ious that the !harges are not su$$orted -. $ro-a-le !ause.
2"3 ?A $u-li! $rose!utor or other go'ernent law.er in !riinal litigation shall a)e tiel.
dis!losure to !ounsel for the defendant, or to the defendant if he has no !ounsel, of the e(isten!e of
e'iden!e, )nown to the $rose!utor or other go'ernent law.er, that tends to negate the guilt of the
a!!used, itigate the degree of the offense, or redu!e the $unishent.
D, /?104 ?%ouni!ating >ith One of Ad'erse =nterest.
/:
2A3 ?During the !ourse of his re$resentation of a !lient a law.er shall not1
213 ?%ouni!ate or !ause another to !ouni!ate on the su-<e!t of the re$resentation
with a $art. he )nows to -e re$resented -. a law.er in that atter unless he has the $rior !onsent of
the law.er re$resenting su!h other $art.
/6
or is authori7ed -. law to do so.
253 ?9i'e ad'i!e to a $erson who is not re$resented -. a law.er, other than the ad'i!e to
se!ure !ounsel,
//
if the interests of su!h $erson are or ha'e a reasona-le $ossi-ilit. of -eing in !onfli!t
with the interests of his !lient.
/8
D, /?10: *hreatening %riinal Prose!ution.
2A3 ?A law.er shall not $resent, $arti!i$ate in $resenting, or threaten to $resent !riinal !harges
solel. to o-tain an ad'antage in a !i'il atter.
D, /?106 *rial %ondu!t.
2A3 ?A law.er shall not disregard or ad'ise his !lient to disregard a standing rule of a tri-unal or
a ruling of a tri-unal ade in the !ourse of a $ro!eeding, -ut he a. ta)e a$$ro$riate ste$s in good
faith to test the 'alidit. of su!h rule or ruling.
2"3 ?=n $resenting a atter to a tri-unal, a law.er shall dis!lose1
/9
213 ?Legal authorit. in the !ontrolling <urisdi!tion )nown to hi to -e dire!tl. ad'erse to
the $osition of his !lient and whi!h is not dis!losed -. o$$osing !ounsel.
80
253 ?@nless $ri'ileged or irrele'ant, the identities of the !lients he re$resents and of the
$ersons who e$lo.ed hi.
81
2%3 ?=n a$$earing in his $rofessional !a$a!it. -efore a tri-unal, a law.er shall not1
213 ?#tate or allude to an. atter that he has no reasona-le -asis to -elie'e is rele'ant to the
!ase or that will not -e su$$orted -. adissi-le e'iden!e.
85
253 ?As) an. question that he has no reasona-le -asis to -elie'e is rele'ant to the !ase and
that is intended to degrade a witness or other $erson.
86
263 ?Assert his $ersonal )nowledge of the fa!ts in issue, e(!e$t when testif.ing as a witness.
243 ?Assert his $ersonal o$inion as to the <ustness of a !ause, as to the !redi-ilit. of a
witness, as to the !ul$a-ilit. of a !i'il litigant, or as to the guilt or inno!en!e of an a!!used4
84
-ut he
a. argue, on his anal.sis of the e'iden!e, for an. $osition or !on!lusion with res$e!t to the atters
stated herein.
2:3 ?Fail to !o$l. with )nown lo!al !ustos of !ourtes. or $ra!ti!e of the -ar or a
$arti!ular tri-unal without gi'ing to o$$osing !ounsel tiel. noti!e of his intent not to !o$l..
8:
263 ?&ngage in undignified or dis!ourteous !ondu!t whi!h is degrading to a tri-unal.
2/3 ?=ntentionall. or ha-ituall. 'iolate an. esta-lished rule of $ro!edure or of e'iden!e.
D, /?10/ ?*rial Pu-li!it..
86
2A3 ?A law.er $arti!i$ating in or asso!iated with the in'estigation of a !riinal atter shall not
a)e or $arti!i$ate in a)ing an e(tra<udi!ial stateent that a reasona-le $erson would e($e!t to -e
disseinated -. eans of $u-li! !ouni!ation and that does ore than state without ela-oration1
213 ?=nforation !ontained in a $u-li! re!ord.
253 ?*hat the in'estigation is in $rogress.
263 ?*he general s!o$e of the in'estigation in!luding a des!ri$tion of the offense and, if
$eritted -. law, the identit. of the 'i!ti.
243 ?A request for assistan!e in a$$rehending a sus$e!t or assistan!e in other atters and
the inforation ne!essar. thereto.
2:3 ?A warning to the $u-li! of an. dangers.
2"3 ?A law.er or law fir asso!iated with the $rose!ution or defense of a !riinal atter shall
not, fro the tie of the filing of a !o$laint, inforation, or indi!tent, the issuan!e of an arrest
warrant, or arrest until the !oen!eent of the trial or dis$osition without trial, a)e or $arti!i$ate
in a)ing an e(tra<udi!ial stateent that a reasona-le $erson would e($e!t to -e disseinated -.
eans of $u-li! !ouni!ation and that relates to1
213 ?*he !hara!ter, re$utation, or $rior !riinal re!ord 2in!luding arrests, indi!tents, or
other !harges of !rie3 of the a!!used.
253 ?*he $ossi-ilit. of a $lea of guilt. to the offense !harged or to a lesser offense.
263 ?*he e(isten!e or !ontents of an. !onfession, adission, or stateent gi'en -. the
a!!used or his refusal or failure to a)e a stateent.
243 ?*he $erforan!e or results of an. e(ainations or tests or the refusal or failure of the
a!!used to su-it to e(ainations or tests.
2:3 ?*he identit., testion., or !redi-ilit. of a $ros$e!ti'e witness.
263 ?An. o$inion as to the guilt or inno!en!e of the a!!used, the e'iden!e, or the erits of
the !ase.
2%3 ?D, /?10/2"3 does not $re!lude a law.er during su!h $eriod fro announ!ing1
213 ?*he nae, age, residen!e, o!!u$ation, and fail. status of the a!!used.
253 ?=f the a!!used has not -een a$$rehended, an. inforation ne!essar. to aid in his
a$$rehension or to warn the $u-li! of an. dangers he a. $resent.
263 ?A request for assistan!e in o-taining e'iden!e.
243 ?*he identit. of the 'i!ti of the !rie.
2:3 ?*he fa!t, tie, and $la!e of arrest, resistan!e, $ursuit, and use of wea$ons.
263 ?*he identit. of in'estigating and arresting offi!ers or agen!ies and the length of the
in'estigation.
2/3 ?At the tie of sei7ure, a des!ri$tion of the $h.si!al e'iden!e sei7ed, other than a
!onfession, adission, or stateent.
283 ?*he nature, su-stan!e, or te(t of the !harge.
293 ?Huotations fro or referen!es to $u-li! re!ords of the !ourt in the !ase.
2103 ?*he s!heduling or result of an. ste$ in the <udi!ial $ro!eedings.
2113 ?*hat the a!!used denies the !harges ade against hi.
2D3 ?During the sele!tion of a <ur. or the trial of a !riinal atter, a law.er or law fir
asso!iated with the $rose!ution or defense of a !riinal atter shall not a)e or $arti!i$ate in
a)ing an e(tra?<udi!ial stateent that a reasona-le $erson would e($e!t to -e disseinated -.
eans of $u-li! !ouni!ation and that relates to the trial, $arties, or issues in the trial or other
atters that are reasona-l. li)el. to interfere with a fair trial, e(!e$t that he a. quote fro or refer
without !oent to $u-li! re!ords of the !ourt in the !ase.
2&3 ?After the !o$letion of a trial or dis$osition without trial of a !riinal atter and $rior to
the i$osition of senten!e, a law.er or law fir asso!iated with the $rose!ution or defense shall not
a)e or $arti!i$ate in a)ing an e(tra<udi!ial stateent that a reasona-le $erson would e($e!t to -e
disseinated -. $u-li! !ouni!ation and that is reasona-l. li)el. to affe!t the i$osition of
senten!e.
2F3 ?*he foregoing $ro'isions of D, /?10/ also a$$l. to $rofessional dis!i$linar. $ro!eedings
and <u'enile dis!i$linar. $ro!eedings when $ertinent and !onsistent with other law a$$li!a-le to su!h
$ro!eedings.
293 ?A law.er or law fir asso!iated with a !i'il a!tion shall not during its in'estigation or
litigation a)e or $arti!i$ate in a)ing an e(tra<udi!ial stateent, other than a quotation fro or
referen!e to $u-li! re!ords, that a reasona-le $erson would e($e!t to -e disseinated -. eans of
$u-li! !ouni!ation and that relates to1
213 ?&'iden!e regarding the o!!urren!e or transa!tion in'ol'ed.
253 ?*he !hara!ter, !redi-ilit., or !riinal re!ord of a $art., witness, or $ros$e!ti'e witness.
263 ?*he $erforan!e or results of an. e(ainations or tests or the refusal or failure of a
$art. to su-it to su!h.
243 ?His o$inion as to the erits of the !lais or defenses of a $art., e(!e$t as required -.
law or adinistrati'e rule.
2:3 ?An. other atter reasona-l. li)el. to interfere with a fair trial of the a!tion.
2H3 ?During the $enden!. of an adinistrati'e $ro!eeding, a law.er or law fir asso!iated
therewith shall not a)e or $arti!i$ate in a)ing a stateent, other than a quotation fro or
referen!e to $u-li! re!ords, that a reasona-le $erson would e($e!t to -e disseinated -. eans of
$u-li! !ouni!ation if it is ade outside the offi!ial !ourse of the $ro!eeding and relates to1
213 ?&'iden!e regarding the o!!urren!e or transa!tion in'ol'ed.
253 ?*he !hara!ter, !redi-ilit., or !riinal re!ord of a $art., witness, or $ros$e!ti'e witness.
263 ?Ph.si!al e'iden!e or the $erforan!e or results of an. e(ainations or tests or the
refusal or failure of a $art. to su-it to su!h.
243 ?His o$inion as to the erits of the !lais, defenses, or $ositions of an interested
$erson.
2:3 ?An. other atter reasona-l. li)el. to interfere with a fair hearing.
2=3 ?*he foregoing $ro'isions of D, /?10/ do not $re!lude a law.er fro re$l.ing to !harges of
is!ondu!t $u-li!l. ade against hi or fro $arti!i$ating in the $ro!eedings of legislati'e,
adinistrati'e, or other in'estigati'e -odies.
2J3 ?A law.er shall e(er!ise reasona-le !are to $re'ent his e$lo.ees and asso!iates fro
a)ing an e(tra<udi!ial stateent that he would -e $rohi-ited fro a)ing under D, /?10/.
D, /?108 %ouni!ation with or =n'estigation of Jurors.
2A3 ?"efore the trial of a !ase a law.er !onne!ted therewith shall not !ouni!ate with or
!ause another to !ouni!ate with an.one he )nows to -e a e-er of the 'enire fro whi!h the
<ur. will -e sele!ted for the trial of the !ase.
2"3 ?During the trial of a !ase1
213 ?A law.er !onne!ted therewith shall not !ouni!ate with or !ause another to
!ouni!ate with an. e-er of the <ur..
8/
253 ?A law.er who is not !onne!ted therewith shall not !ouni!ate with or !ause another
to !ouni!ate with a <uror !on!erning the !ase.
2%3 ?D, /?1082A3 and 2"3 do not $rohi-it a law.er fro !ouni!ating with 'enireen or
<urors in the !ourse of offi!ial $ro!eedings.
2D3 ?After dis!harge of the <ur. fro further !onsideration of a !ase with whi!h the law.er was
!onne!ted, the law.er shall not as) questions of or a)e !oents to a e-er of that <ur. that are
!al!ulated erel. to harass or e-arrass the <uror or to influen!e his a!tions in future <ur. ser'i!e.
88
2&3 ?A law.er shall not !ondu!t or !ause, -. finan!ial su$$ort or otherwise, another to !ondu!t a
'e(atious or harassing in'estigation of either a 'enirean or a <uror.
2F3 ?All restri!tions i$osed -. D, /?108 u$on a law.er also a$$l. to !ouni!ations with or
in'estigations of e-ers of a fail. of a 'enirean or a <uror.
293 ?A law.er shall re'eal $ro$tl. to the !ourt i$ro$er !ondu!t -. a 'enirean or a <uror, or
-. another toward a 'enirean or a <uror or a e-er of his fail., of whi!h the law.er has
)nowledge.
D, /?109 %onta!t with >itnesses.
2A3 ?A law.er shall not su$$ress an. e'iden!e that he or his !lient has a legal o-ligation to
re'eal or $rodu!e.
89
2"3 ?A law.er shall not ad'ise or !ause a $erson to se!rete hiself or to lea'e the <urisdi!tion of
a tri-unal for the $ur$ose of a)ing hi una'aila-le as a witness therein.
90
2%3 ?A law.er shall not $a., offer to $a., or a!quies!e in the $a.ent of !o$ensation to a
witness !ontingent u$on the !ontent of his testion. or the out!oe of the !ase.
91
"ut a law.er a.
ad'an!e, guarantee, or a!quies!e in the $a.ent of1
213 ?&($enses reasona-l. in!urred -. a witness in attending or testif.ing.
253 ?,easona-le !o$ensation to a witness for his loss of tie in attending or testif.ing.
263 ?A reasona-le fee for the $rofessional ser'i!es of an e($ert witness.
D, /?110 %onta!t with Offi!ials.
95
2A3 ?A law.er shall not gi'e or lend an. thing of 'alue to a <udge, offi!ial, or e$lo.ee of a
tri-unal e(!e$t as $eritted -. #e!tion %243 of %anon : of the %ode of Judi!ial %ondu!t, -ut a
law.er a. a)e a !ontri-ution to the !a$aign fund of a !andidate for <udi!ial offi!e in !onforit.
with #e!tion "253 under %anon / of the %ode of Judi!ial %ondu!t.
96
2"3 ?=n an ad'ersar. $ro!eeding, a law.er shall not !ouni!ate, or !ause another to
!ouni!ate, as to the erits of the !ause with a <udge or an offi!ial -efore who the $ro!eeding is
$ending, e(!e$t1
213 ?=n the !ourse of offi!ial $ro!eedings in the !ause.
253 ?=n writing if he $ro$tl. deli'ers a !o$. of the writing to o$$osing !ounsel or to the
ad'erse $art. if he is not re$resented -. a law.er.
263 ?Orall. u$on adequate noti!e to o$$osing !ounsel or to the ad'erse $art. if he is not
re$resented -. a law.er.
243 ?As otherwise authori7ed -. law, or -. #e!tion A243 under %anon 6 of the %ode of
Judi!ial %ondu!t.
94, 9:
NOTES
1. B*he right to -e heard would -e, in an. !ases, of little a'ail if it did not !o$rehend the right to -e heard -.
!ounsel. &'en the intelligent and edu!ated la.an has sall and soeties no s)ill in the s!ien!e of law.E Powell '. Ala-aa,
58/ @.#. 4:, 68?69, // L. &d. 1:8, 1/0, :6 #. %t. ::, 64 219653.
5. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 4 219083.
BAt ties . . . . Cthe ta( law.erD will -e wise to dis!ard soe arguent and he should e(er!ise dis!retion to e$hasi7e the
arguents whi!h in his <udgent are ost li)el. to -e $ersuasi'e. "ut this $ro!ess in'ol'es legal <udgent rather than oral
attitudes. *he ta( law.er should $ut aside $ri'ate disagreeents with %ongressional and *reasur. $oli!ies. His own notions of
$oli!., and his $ersonal 'iew of what the law should -e, are irrele'ant. *he <o- entrusted to hi -. his !lient is to use all his
learning and a-ilit. to $rote!t his !lient;s rights, not to hel$ in the $ro!ess of $rooting a -etter ta( s.ste. *he ta( law.er
need not a!!e$t his !lient;s e!onoi! and so!ial o$inions, -ut the !lient is $a.ing for the te!hni!al attention and undi'ided
!on!entration u$on his affairs. He is equall. entitled to $erforan!e unfettered -. his attorne.;s e!onoi! and so!ial
$redile!tions.E Paul, Th" La1%"# a a TaA A!3i"#, 5: ,O%GK +*. L. ,&F. 415, 418 219:63.
6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 1: and 65 219083.
A"A %anon :, although onl. s$ea)ing of one a!!used of !rie, i$oses a siilar o-ligation on the law.er1 BC*Dhe law.er
is -ound, -. all fair and honora-le eans, to $resent e'er. defense that the law of the land $erits, to the end that no $erson
a. -e de$ri'ed of life or li-ert., -ut -. due $ro!ess of law.
BAn. $ersuasion of $ressure on the ad'o!ate whi!h deters hi fro $lanning and !arr.ing out the litigation on the -asis of
Jwhat, within the fraewor) of the law, is -est for . !lient;s interestT; interferes with the o-ligation to re$resent the !lient
full. within the law.
B*his o-ligation, in its fullest sense, is the heart of the ad'ersar. $ro!ess. &a!h attorne., as an ad'o!ate, a!ts for and see)s
that whi!h in his <udgent is -est for his !lient, within the -ounds authoritati'el. esta-lished. *he ad'o!ate does not !"ci!"
what is in this !aseIhe would -e usur$ing the fun!tion of the <udge and <ur.Ihe a!ts for and see)s for his !lient that whi!h
he is entitled to under the law. He !an do no less and $ro$erl. re$resent the !lient.E *hode, Th" Ethical Stan!a#! +o# th"
A!3ocat", 69 *&PA# L. ,&F. :/:, :84 219613.
B*he C*e(as $u-li! o$inionD sur'e. indi!ates that distrust of the law.er !an -e tra!ed dire!tl. to !ertain fa!tors. Foreost
of these is a -asi! isunderstanding of the fun!tion of the law.er as an ad'o!ate in an ad'ersar. s.ste.
BLaw.ers are a!!used of ta)ing ad'antage of Jloo$holes; and Jte!hni!alities; to win. Persons who a)e this !harge are
unaware, or do not understand, that the law.er is hired to win, and if he does not e(er!ise e'er. legitiate effort in his !lient;s
-ehalf, then he is -etra.ing a sa!red trust.E ,o!helle Q Pa.ne, Th" St#&))l" o+ P&0lic Un!"#tan!in)4 5: *&PA# ".J. 109, 1:9
219653.
B*he i$ortan!e of the attorne.;s undi'ided allegian!e and faithful ser'i!e to one a!!used of !rie, irres$e!ti'e of the
attorne.;s $ersonal o$inion as to the guilt of his !lient, lies in %anon : of the Aeri!an "ar Asso!iation %anon of &thi!s.
B*he diffi!ult. lies, of !ourse, in as!ertaining whether the attorne. has -een guilt. of an error of <udgent, su!h as an
ele!tion with res$e!t to trial ta!ti!s, or has otherwise -een a!tuated -. his !ons!ien!e or -elief that his !lient should -e
!on'i!ted in an. e'ent. All too frequentl. !ourts are !alled u$on to re'iew a!tions of defense !ounsel whi!h are, at the ost,
errors of <udgent, not $ro$erl. re'iewa-le on ha-eas !or$us unless the trial is a far!e and a o!)er. of <usti!e whi!h requires
the !ourt to inter'ene . . . . "ut when defense !ounsel, in a trul. ad'erse $ro!eeding, adits that his !ons!ien!e would not
$erit hi to ado$t !ertain !ustoar. trial $ro!edures, this e(tends -e.ond the real of <udgent and strongl. suggests an
in'asion of !onstitutional rights.E Johns '. #.th, 1/6 F. #u$$. 949, 9:5 2&.D. Fa. 19:93, *o!i+i"!, @nited #tates e( rel.
>il)ins '. "aniller, 50: F. #u$$. 156, 158, n. : 2&.D. Pa. 19653, a++B!, 65: F.5d :14 26d %ir. 19663, c"#t. !"ni"!, 5/9 @.#.
84/, 16 L. &d. 5d :1, 8: #. %t. 8/ 219643.
B*he ad'ersar. s.ste in law adinistration -ears a stri)ing rese-lan!e to the !o$etiti'e e!onoi! s.ste. =n ea!h we
assue that the indi'idual through $artisanshi$ or through self?interest will stri'e ightil. for his side, and that )ind of
stri'ing we ust ha'e. "ut neither s.ste would -e tolera-le without restraints and odifi!ations, and at ties without
outright de$artures fro the s.ste itself. #in!e the legal $rofession is entrusted with the s.ste of law adinistration, a $art
of its tas) is to de'elo$ in its e-ers a$$ro$riate restraints without i$airing the 'alues of $artisan stri'ing. An
a!!o$an.ing tas) is to aid in the odifi!ation of the ad'ersar. s.ste or de$arture fro it in areas to whi!h the s.ste is
unsuited.E %heatha, Th" La1%"#B Rol" an! S&##o&n!in), 5: ,O%GK +*. L. ,&F. 40:, 410 219:63.
4. B,ule 4.1: $rohi-its, in the $ursuit of a !lient;s !ause, Jan. anner of fraud or !hi!ane;4 ,ule 4.55 requires J!andor
and fairness; in the !ondu!t of the law.er, and for-ids the a)ing of )nowing isquotations4 ,ule 4.4/ $ro'ides that a law.er
Jshould alwa.s aintain his integrit.,; and generall. for-ids all is!ondu!t in<urious to the interests of the $u-li!, the !ourts,
or his !lients, and a!ts !ontrar. to J<usti!e, honest., odest. or good orals.; Our %oissioner has a!!uratel. $ara$hrased
these rules as follows1 JAn attorne. does not ha'e the dut. to do all and whate'er he !an that a. ena-le hi to win his
!lient;s !ause or to further his !lient;s interest. His dut. and efforts in these res$e!ts, although the. should -e $ro$ted -. his
Bentire de'otionE to the interest of his !lient, ust -e within and not without the -ounds of the law.; E =n re >ines, 6/0 #.>.5d
658, 666 2+o. 19663.
S"" Aote, 68 *&PA# L. ,&F. 10/,110 219:93.
:. B@nder our s.ste of go'ernent the $ro!ess of ad<udi!ation is surrounded -. safeguards e'ol'ed fro !enturies of
e($erien!e. *hese safeguards are not designed erel. to lend foralit. and de!oru to the trial of !auses. *he. are $redi!ated
on the assu$tion that to se!ure for an. !ontro'ers. a trul. infored and dis$assionate de!ision is a diffi!ult thing, requiring
for its a!hie'eent a s$e!ial suoning and organi7ation of huan effort and the ado$tion of easures to e(!lude the -iases
and $re<udgents that ha'e free $la. outside the !ourtroo. All of this goes for naught if the an with an un$o$ular !ause is
una-le to find a !o$etent law.er !ourageous enough to re$resent hi. His !han!e to ha'e his da. in !ourt loses u!h of its
eaning if his !ase is handi!a$$ed fro the outset -. the 'er. )ind of $re<udgent our rules of e'iden!e and $ro!edure are
intended to $re'ent.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc". 44 A.".A.J. 11:9, 1516 219:83.
6. BC=Dt is . . . Cthe ta( law.er;sD $ositi'e dut. to show the !lient how to a'ail hiself to the full of what the law $erits.
He is not the )ee$er of the %ongressional !ons!ien!e.E Paul, Th" La1%"# a a TaA A!3i"#, 5: ,O%GK +*. L. ,&F. 415, 418
219:63.
/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 1: and 60 219083.
8. B*he fa!t that it desired to e'ade the law, as it is !alled, is iaterial, -e!ause the 'er. eaning of a line in the law is
that .ou intentionall. a. go as !lose to it as .ou !an if .ou do not $ass it . . . . =t is a atter of $ro(iit. and degree as to
whi!h inds will differ . . . .E Justi!e Holes, in #u$erior Oil %o. '. +ississi$$i, 580 @.#. 690, 69:?96, /4 L. &d. :04, :08, :0
#. %t. 169, 1/0 219603.
9. B*oda.;s law.ers $erfor two distin!t t.$es of fun!tions, and our ethi!al standards should, -ut in the ain do not,
re!ogni7e these two fun!tions. Judge Phil-ri!) +!%o. re!entl. re$orted to the Aeri!an "ar Asso!iation the need for a
rea$$raisal of the %anons in light of the new and distin!t fun!tion of !ounselor, as distinguished fro ad'o!ate, whi!h toda.
$redoinates in the legal $rofession . . . .
B. . . =n the first $la!e, an. re'ision of the !anons ust ta)e into a!!ount and s$ea) to this new and now $redoinant
fun!tion of the law.er . . . . =t is -e.ond the s!o$e of this $a$er to dis!uss the ethi!al standards to -e a$$lied to the !ounselor
e(!e$t to state that in . o$inion su!h standards should require a greater re!ognition and $rote!tion for the interest of the
$u-li! generall. than is $resentl. e($ressed in the !anons. Also, the !ounselor;s o-ligation should e(tend to requiring hi to
infor and to i$ress u$on the !lient a <ust solution of the $ro-le, !onsidering all interests in'ol'ed.E *hode, Th" Ethical
Stan!a#! +o# th" A!3ocat", 69 *&PA# L. ,&F. :/:, :/8?/9 219613.
B*he an who has -een !alled into !ourt to answer for his own a!tions is entitled to fair hearing. Partisan ad'o!a!. $la.s
its essential $art in su!h a hearing, and the law.er $leading his !lient;s !ase a. $ro$erl. $resent it in the ost fa'ora-le light.
A siilar resolution of dou-ts in one dire!tion -e!oes ina$$ro$riate when the law.er a!ts as !ounselor. *he reasons that
<ustif. and e'en require $artisan ad'o!a!. in the trial of a !ause do not grant an. li!ense to the law.er to $arti!i$ate as legal
ad'isor in a line of !ondu!t that is ioral, unfair, or of dou-tful legalit.. =n sa'ing hiself fro this unworth. in'ol'eent,
the law.er !annot -e guided solel. -. an unrefle!ti'e inner sense of good faith4 he ust -e at $ains to $reser'e a suffi!ient
deta!hent fro his !lient;s interests so that he reains !a$a-le of a sound and o-<e!ti'e a$$raisal of the $ro$riet. of what his
!lient $ro$oses to do.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 4 A.".A.J. 11:9, 1161 219:83.
10. BCAD law.er who is as)ed to ad'ise his !lient . . . a. freel. urge the stateent of $ositions ost fa'ora-le to the !lient
<ust as long as there is reasona-le -asis for those $ositions.E ABA O$inion 614 2196:3.
11. B*he law.er . . . is not an u$ire, -ut an ad'o!ate. He is under no dut. to refrain fro a)ing e'er. $ro$er arguent
in su$$ort of an. legal $oint -e!ause he is not !on'in!ed of its inherent soundness . . . . His $ersonal -elief in the soundness of
his !ause or of the authorities su$$orting it, is irrele'ant.E ABA O$inion 580 219493.
B%ounsel a$$arentl. is!on!ei'ed his role. lt was his dut. to honora-l. $resent his !lient;s !ontentions in the light ost
fa'ora-le to his !lient. =nstead he $resued to ad'ise the !ourt as to the 'alidit. and suffi!ien!. of $risoner;s otion, -. letter.
>e therefore !on!lude that $risoner had no effe!ti'e assistan!e of !ounsel and reand this !ase to the Distri!t %ourt with
instru!tions to set aside the Judgent, a$$oint new !ounsel to re$resent the $risoner if he a)es no o-<e!tion thereto, and
$ro!eed anew.E +!%artne. '. @nited #tates, 646 F. 5d 4/1, 4/5 29th %ir. 196:3.
15. BHere the !ourt?a$$ointed !ounsel had the trans!ri$t -ut refused to $ro!eed with the a$$eal -e!ause he found no erit
in it . . . . >e !annot sa. that there was a finding of fri'olit. -. either of the %alifornia !ourts or that !ounsel a!ted in an.
greater !a$a!it. than erel. as a*ic& c&#ia" whi!h was !ondened in Elli4 &$#a. Hen!e %alifornia;s $ro!edure did not
furnish $etitioner with !ounsel a!ting in the role of an ad'o!ate nor did it $ro'ide that full !onsideration and resolution of the
atter as is o-tained when !ounsel is a!ting in the !a$a!it. . . . .
B*he !onstitutional requireent of su-stantial equalit. and fair $ro!ess !an onl. -e attained where !ounsel a!ts in the rule
of an a!ti'e ad'o!ate in -ehalf of his !lient, as o$$osed to that of a*ic& c&#ia". *he no?erit letter and the $ro!edure it
triggers do not rea!h that dignit.. %ounsel should, and !an with honor and without !onfli!t, -e of ore assistan!e to his !lient
and to the !ourt. His role as ad'o!ate requires that he su$$ort his !lient;s a$$eal to the -est of his a-ilit.. Of !ourse, if !ounsel
finds his !ase to -e wholl. fri'olous, after a !ons!ientious e(aination of it, he should so ad'ise the !ourt and request
$erission to withdraw. *hat request ust, howe'er, -e a!!o$anied -. a -rief referring to an.thing in the re!ord that ight
argua-l. su$$ort the a$$eal. A !o$. of !ounsel;s -rief should -e furnished the indigent and tie allowed hi to raise an.
$oints that he !hooses4 the !ourtInot !ounselIthen $ro!eeds, after a full e(aination of all the $ro!eedings, to de!ide
whether the !ase is wholl. fri'olous. =f it so finds it a. grant !ounsel;s request to withdraw and disiss the a$$eal insofar as
federal requireents are !on!erned, or $ro!eed to a de!ision of the erits, if state law so requires. On the other hand, if it finds
an. of the legal $oints argu-le on their erits 2and therefore not fri'olous3 it ust, $rior to de!ision, afford the indigent the
assistan!e of !ounsel to argue the a$$eal.E Anders '. %alifornia, 686 @.#. /68, /44, 18 L. &d. 5d 496, 498, 8/ #. %t. 1696,
1699?1400 2196/3, #"h"a#in) !"ni"!, 688 @.#. 954, 18 L. &d. 5d 16//, 8/ #. %t. 5094 2196/3.
S"" Paul, Th" La1%"# A a TaA A!3i"#, 5: ,O%GK +*. L. ,&F. 415, 465 219:63.
16. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 65 219083.
14. BFor a law.er to re$resent a s.ndi!ate notroriousl. engaged in the 'iolation of the law for the $ur$ose of ad'ising the
e-ers how to -rea) the law and at the sae tie es!a$e it, is anifestl. i$ro$er. >hile a law.er a. see to it that an.one
a!!used of !rie, no atter how serious and flagrant, has a fair trial, and $resent all a'aila-le defenses, he a. not !o?o$erate
in $lanning 'iolations of the law. *here is a shar$ distin!tion, of !ourse, -etween ad'ising what !an lawfull. -e done and
ad'ising how unlawful a!ts !an -e done in a wa. to a'oid !on'i!tion. >here a law.er a!!e$ts a retainer fro an organi7ation,
)nown to -e unlawful, and agrees in ad'an!e to defend its e-ers when fro tie to tie the. are a!!used of !rie arising
out of its unlawful a!ti'ities, this is equall. i$ro$er.E
BS"" alo O$inion 1::.E ABA O$inion 581 219:53.
1:. S"" A"A #$e!ial %oittee on +iniu #tandards for the Adinistration of %riinal Justi!e, Stan!a#! R"latin) to
Pl"a o+ G&ilt%4 $$. 69?/0 219683.
16. BFirst of all, a trul. great law.er is a wise !ounselor to all anner of en in the 'aried !rises of their li'es when the.
ost need disinterested ad'i!e. &ffe!ti'e !ounseling ne!essaril. in'ol'es a thoroughgoing )nowledge of the $rin!i$les of the
law not erel. as the. a$$ear in the -oo)s -ut as the. a!tuall. o$erate in a!tion.E Fander-ilt, Th" Fi3" F&nction o+ th"
La1%"#2 S"#3ic" to Cli"nt an! th" P&0lic, 40 A.".A.J. 61 219:43.
1/. BA law.er should endea'or to o-tain full )nowledge of his !lient;s !ause -efore ad'ising there on . . . .E A"A %AAOA#
OF P,OF&##=OAAL &*H=%#, %AAOA 8 219083.
18. BC=Dn de'ising !harters of !olla-orati'e effort the law.er often a!ts where all of the affe!ted $arties are $resent as
$arti!i$ants. "ut the law.er also $erfors a siilar fun!tion in situations where this is not so, as, for e(a$le, in $lanning
estates and drafting wills. Here the instruent defining the ters of !olla-orating a. affe!t $ersons not $resent and often not
-orn. Ket here, too, the good law.er does not ser'e erel. as a legal !onduit for his !lient;s desires, -ut as a wise !ounselor,
e($erien!ed in the art of de'ising arrangeents that will $ut in wor)a-le order the entangled affairs and interests of huan
-eings.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1165 219:83.
19. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 8 219083.
BFital as is the law.er;s role in ad<udi!ation, it should not -e thought that it is onl. as an ad'o!ate $leading in o$en !ourt
that he !ontri-utes to the adinistration of the law. *he ost effe!ti'e reali7ation of the law;s ais often ta)es $la!e in the
attorne.;s offi!e, where litigation is forestalled -. anti!i$ating its out!oe, where the law.er;s quiet !ounsel ta)es the $la!e of
$u-li! for!e. %ontrar. to $o$ular -elief, the !o$lian!e with the law thus -rought a-out is not generall. li$?ser'ing and
narrow, for -. reinding hi of its long?run !osts the law.er often deters his !lient fro a !ourse of !ondu!t te!hni!all.
$erissi-le under e(isting law, though in!onsistent with its underl.ing s$irit and $ur$ose.E P#o+"ional R"$oni0ilit%2 R"$o#t
o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1161 219:83.
50. B+. suation of Judge #harswood;s 'iew of the ad'o!ate;s dut. to the !lient is that he owes to the !lient the dut. to
use all legal eans in su$$ort of the !lient;s !ase. Howe'er, at the sae tie Judge #harswood re!ogni7ed that an.
ad'o!ates would find this o-ligation un-eara-le if a$$li!a-le without e(!e$tion. *herefore, the indi'idual law.er is gi'en the
!hoi!e of re$resenting his !lient full. within the -ounds set -. the law or of telling his !lient that he !annot do so, so that the
!lient a. o-tain another attorne. if he wishes.E *hode, Th" Ethical Stan!a#! o+ th" A!3ocat", 69 *&PA# L. ,&F. :/:, :85
219613.
C+. +OD&L %OD& OF P,OF&##=OAAL ,&#POA#="=L=*K, D, 5?1102%3.
51. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 54 219083.
55. *hode, Th" Ethical Stan!a#! +o# th" A!3ocat", 69 *&PA# L. ,&F. :/:, :95 219613.
56. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA : 219083 and "erger '. @nited #tates, 59: @.#. /8, /9 L. &d. 1614, ::
#. %t. 659 2196:3.
B*he $u-li! $rose!utor !annot ta)e as a guide for the !ondu!t of his offi!e the standards of an attorne. a$$earing on -ehalf
of an indi'idual !lient. *he freedo elsewhere wisel. granted to a $artisan ad'o!ate ust -e se'erel. !urtailed if the
$rose!tor;s duties are to -e $ro$erl. dis!harged. *he $u-li! $rose!utor ust re!all that he o!!u$ies a dual role, -eing o-ligated,
on the one hand, to furnish that ad'ersar. eleent essential to the infored de!ision of an. !ontro'ers., -ut -eing $ossessed,
on the other, of i$ortant go'ernental $owers that are $ledged to the a!!o$lishent of one o-<e!ti'e onl., that of i$artial
<usti!e. >here the $rose!utor is re!reant to the trust i$li!it in his offi!e, he underines !onfiden!e, not onl. in his $rofession,
-ut in go'ernent and the 'er. ideal of <usti!e itself.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J.
11:9,1518 219:83.
B*he $rose!uting attorne. is the attorne. of the state, and it is his $riar. dut. not to !on'i!t -ut to see that <usti!e is
done.E ABA O$inion 1:0 219663.
54. As to a$$earan!e -efore a de$artent of go'ernent, A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 56 219083 $ro'ides1
BA law.er o$enl. . . . a. render $rofessional ser'i!es . . . in ad'o!a!. of !lais -efore de$artent of go'ernent u$on the
sae $rin!i$les of ethi!s whi!h <ustif. his a$$earan!e -efore the %ourts . . . .E
5:. B"ut as an ad'o!ate -efore a ser'i!e whi!h itself re$resents the ad'ersar. $oint of 'iew, where his !lient;s !ase is fairl.
argua-le, a law.er is under no dut. to dis!lose its wea)nesses, an. ore than he would -e to a)e su!h a dis!losure to a
-rother law.er. *he liitations within whi!h he ust o$erate are -est e($ressed in %anon 55 . . . .E ABA O$inion 614 2196:3.
56. S"" "aird '. Goerner, 5/9 F.5d 656 29th %ir.19603.
5/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 56 219083.
58. BLaw should -e so $ra!ti!ed that the law.er reains free to a)e u$ his own ind how he will 'ote, what !auses he
will su$$ort, what e!onoi! and $oliti!al $hiloso$h. he will es$ouse. =t is one of the glories of the $rofession that it adits of
this freedo. Distinguished e(a$les !an -e !ited of law.ers whose 'iews were at 'arian!e fro those of their !lients, law.ers
whose s)ill and wisdo a)e the 'alued ad'isers to those who had little s.$ath. with their 'iews as !iti7ens.E
P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 151/ 219:83.
BAo dou-t soe ta( law.ers feel !onstrained to a-stain fro a!ti'ities on -ehalf of a -etter ta( s.ste -e!ause the. thin)
that their !lients a. o-<e!t. %lients ha'e no right to o-<e!t if the ta( ad'iser handles their affairs !o$etentl. and faithfull.
and inde$endentl. of his $ri'ate 'iews as to ta( $oli!.. *he. -u. his e($ert ser'i!es, not his $ri'ate o$inions or his silen!e on
issues that gra'el. affe!t the $u-li! interest.E Paul, Th" La1%"# a a TaA A!3i"#, 5: ,O%GK +*. L. ,&F. 415, 464 219:63.
59. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 9 219083.
60. I!.
61. S"" P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1160 219:83.
65. B>ithout the $arti!i$ation of soeone who !an a!t res$onsi-l. for ea!h of the $arties, this essential narrowing of the
issues C-. e(!hange of written $leading or sti$ulation of !ounselD -e!oes i$ossi-le. "ut here again the true signifi!an!e of
$artisan ad'o!a!. lies dee$er, tou!hing on!e ore the integrit. of the ad<udi!ati'e $ro!ess itself. =t is onl. through the
ad'o!ate;s $arti!i$ation that the hearing a. reain in fa!t what it $ur$orts to -e in theor.1 a $u-li! trial of the fa!ts and
issues. &a!h ad'o!ate !oes to the hearing $re$ared to $resent his $roofs and arguents, )nowing at the sae tie that his
arguents a. fail to $ersuade and that his $roof a. -e re<e!ted as inadequate . . . . *he de!iding tri-unal, on the other hand,
!oes to the hearing un!oitted. =t has not re$resented to the $u-li! that an. fa!t !an -e $ro'ed, that an. arguent is sound,
or that an. $arti!ular wa. of stating a litigant;s !ase is the ost effe!ti'e e($ression of its erits.E P#o+"ional R"$oni0ilit%2
R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1160?61 219:83.
66. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 1: and 65 219083.
64. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 51 219083.
6:. S"" P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9, 1516 219:83.
66. B>e are of the o$inion that the letter in question was i$ro$er, and that in writing and sending it res$ondent was guilt.
of un$rofessional !ondu!t. *his !ourt has heretofore e($ressed its disa$$ro'al of using threats of !riinal $rose!ution as a
eans of for!ing settleent of !i'il !lais . . . .
B,es$ondent has -een guilt. of a 'iolation of a $rin!i$le whi!h !ondens an. !onfusion of threats of !riinal $rose!ution
with the enfor!eent of the !i'il !lais. For this is!ondu!t he should -e se'erel. !ensured.E +atter of 9elan, 560 A$$.
Di'. :54, :5/, A.K.#. 416, 419 219603.
6/. BAn attorne. has the dut. to $rote!t the interests of his !lient. He has a right to $ress legitiate arguent and to $rotest
an erroneous ruling.E 9allagher '. +uni!$al %ourt, 61 %al. 5d /84, /96, 195 P.5d 90:, 916 219483.
B*here ust -e $rote!tion, howe'er, in the far ore frequent !ase of the attorne. who stands on his rights and !o-ats the
order in good faith and without disres$e!t -elie'ing with good !ause that it is 'oid, for it is here that the inde$enden!e of the
-ar -e!oes 'alua-le.E Aote, 69 %OL@+. L. ,&F. 466, 468 219693.
68. B*oo an. do not understand that a!!o$lishent of the la.an;s a-stra!t ideas of <usti!e is the fun!tion of the <udge
and <ur., and that it is the law.er;s sworn dut. to $ortra. his !lient;s !ase in its ost fa'ora-le light.E ,o!helle Q Pa.ne, Th"
St#&))l" +o# P&0lic Un!"#tan!in), 5: *&PA# ".J. 109, 1:9 219653.
69. B>e are of the o$inion that this %anon requires the law.er to dis!lose su!h de!isions Cthat are ad'erse to his !lient;s
!ontentionsD to the !ourt. He a., of !ourse, after doing so, !hallenge the soundness of the de!isions or $resent reasons whi!h
he -elie'es would warrant the !ourt in not following the in the $ending !ase.E ABA O$inion 146 2196:3.
C+. ABA O$inion 580 219493 and *hode, Th" Ethical Stan!a#! +o# th" A!3ocat", 69 *&PA# L. ,&F. :/:. :8:?86 219613.
40. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 1: 219083.
B*he traditional dut. of an ad'o!ate is that he honora-l. u$hold the !ontentions of his !lient. He should not 'oluntaril.
underine the.E Harders '. #tate of %alifornia, 6/6 F.5d 869, 845 29th %ir. 196/3.
41. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 55 219083.
45. I!.4 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 41 219083.
46. S"" )"n"#all% ABA O$inion 58/ 219:63 as to a law.er;s dut. when he un)nowingl. $arti!i$ates in introdu!ing $er<ured
testion..
44. B@nder an. standard of $ro$er ethi!al !ondu!t an attorne. would not sit -. silentl. and $erit his !lient to !oit
what a. ha'e -een $er<ur., and whi!h !ertainl. would islead the !ourt and o$$osing $art. on a atter 'ital to the issue
under !onsideration . . . .
. . . .
B,es$ondent ne(t urges that it was his dut. to o-ser'e the utost good faith toward his !lient, and therefore he !ould not
di'ulge an. !onfidential inforation. *his dut. to the !lient of !ourse does not e(tend to the $oint of authori7ing !olla-oration
with hi in the !oission of fraud.E =n re %arrol, 544 #.>.5d 4/4,4/4?/: 2G.. 19:13.
4:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA : 2190834 c+. ABA O$inion 161 2196:3.
46. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 69 219083.
4/. B*he $re'alen!e of $er<ur. is a serious ena!e to the adinistration of <usti!e, to $re'ent whi!h no eans ha'e as .et
-een satisfa!toril. de'ised. "ut there !ertainl. !an -e no greater in!enti'e to $er<ur. than to allow a $art. to a)e $a.ents to
its o$$onent;s witnesses under an. guise or on an. e(!use, and at least attorne.s who are offi!ers of the !ourt to aid it in the
adinistration of <usti!e, ust )ee$ thesel'es !lear of an. !onne!tion whi!h in the slightest degree tends to indu!e witnesses
to testif. in fa'or of their !lients.E =n re ,o-inson, 1:1 A$$. Di'. :89, 600, 166 A.K.#. :48, ::6?:/ 219153, a++ B!, 509 A.K.
6:4, 106 A.&. 160 219163.
48. B=t will not do for an attorne. who see)s to <ustif. hiself against !harges of this )ind to show that he has es!a$ed
!riinal res$onsi-ilit. under the Penal Law, nor !an he -lindl. shut his e.es to a s.ste whi!h tends to su-orn witnesses, to
$rodu!e $er<ured testion., and to su$$ress the truth. He has an a!ti'e affirati'e dut. to $rote!t the adinistration of <usti!e
fro $er<ur. and fraud, and that dut. is not $erfored -. allowing his su-ordinates and assistants to atte$t to su-'ert <usti!e
and $ro!ure results for his !lients -ased u$on false testion. and $er<ured witnesses.E I!., 1:1 A$$. Di'. at :95, 166 A.K.#. at
::1.
49. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 56 219083.
:0. BC=Dt is unfair to <urors to $erit a disa$$ointed litigant to $i!) o'er their $ri'ate asso!iations in sear!h of soething to
dis!redit the and their 'erdi!t. And it would -e unfair to the $u-li! too if <urors should understand that the. !annot !on'i!t a
an of eans without ris)ing an inquir. of that )ind -. $aid in'estigators, with, to -oot, the distortions an inquir. of that )ind
!an $rodu!e.E #tate '. LaFera, 45 A.J. 9/, 10/, 199 A.5d 660, 666 219643.
:1. ABA O$inion 619 219683 $oints out that BCDan. !ourts toda., and the trend is in this dire!tion, allow the testion. of
<urors as to all irregularities in and out of the !ourtroo e(!e$t those irregularities whose e(isten!e !an -e deterined onl. -.
e($loring the !ons!iousness of a single $arti!ular <uror, Aew Jerse. '. Go!iole), 50 A.J. 95, 118 A.5d 815 219::3. +odel %ode
of &'iden!e ,ule 601. %ertainl. as to states in whi!h the testion. and affida'its of <urors a. -e re!ei'ed in su$$ort of or
against a otion for new trial, a law.er, in his o-ligation to $rote!t his !lient, ust ha'e the tools for as!ertaining whether or
not grounds for a new trial e(ist and it is not unethi!al for hi to tal) to and question <urors.E
:5. G"n"#all% "" A"A ADF=#O,K %O++=**&& OA FA=, *,=AL AAD F,&& P,&##, #*AADA,D# ,&LA*=A9 *O FA=, *,=AL AAD F,&& P,&##
219663.
BC*Dhe trial !ourt ight well ha'e $ros!ri-ed e(tra<udi!ial stateents -. an. law.er, $art., witness, or !ourt offi!ial whi!h
di'ulged $re<udi!ial atters . . . . #ee state '. Fan Dw.ne. 46 A.J. 669, 689, 504 A.5d 841, 8:5 219643, in whi!h the !ourt
inter$reted %anon 50 of the Aeri!an "ar Asso!iation;s %anons of Professional &thi!s to $rohi-it su!h stateents. "eing
ad'ised of the great $u-li! interest in the !ase, the ass !o'erage of the $ress, and the $otential $re<udi!ial i$a!t of $u-li!it.,
the !ourt !ould also ha'e requested the a$$ro$riate !it. and !ount. offi!ials to $roulgate a regulation with res$e!t to
disseination of inforation a-out the !ase -. their e$lo.ees. =n addition, re$orters who wrote or -road!ast $re<udi!ial
stories, !ould ha'e -een warned as to the i$ro$riet. of $u-lishing aterial not introdu!ed in the $ro!eedings . . . . =n this
anner, #he$$ard;s right to a trial free fro outside interferen!e would ha'e -een gi'en added $rote!tion without
!orres$onding !urtailent of the news edia. Had the <udge, the other offi!ers of the !ourt, and the $oli!e $la!ed the interest
of <usti!e first, the news edia would ha'e soon learned to -e !ontent with the tas) of re$orting the !ase as it unfolded in the
!ourtrooInot $ie!ed together fro e(tra<udi!ial stateents.E #he$$ard '. +a(well, 684 @.#. 666, 661?65, 16 L. &d. 5d 600,
619?50, 86 #. %t. 1:0/, 1:51?55 219663.
B%ourt $ro!eedings are held for the solen $ur$ose of endea'oring to as!ertain the truth whi!h is the in" ?&a non of a fair
trial. O'er the !enturies Anglo?Aeri!an !ourts ha'e de'ised !areful safeguards -. rule and otherwise to $rote!t and fa!ilitate
the $erforan!e of this high fun!tion. As a result, at this tie those safeguards do not $erit the tele'ising and $hotogra$hing
of a !riinal trial, sa'e in two #tates and there onl. under restri!tions. *he federal !ourts $rohi-it it -. s$e!ifi! rule. *his is
weight. e'iden!e that our !on!e$ts of a fair trial do not tolerate su!h an indulgen!e. >e ha'e alwa.s held that the atos$here
essential to the $reser'ation of a fair trialIthe ost fundaental of all freedosIust -e aintained at all !osts.E &stes '.
#tate of *e(as, 681 @.#. :65, :40, 14 L. &d. 5d :46, :49, 8: #. %t. 1658, 1661?65 2196:3, #"h"a#in) !"ni"!, 685 @.#. 8/:, 1:
L. &d. 5d 118, 86 #. %t. 18 2196:3.
:6. BPretrial !an !reate a a<or $ro-le for the defendant in a !riinal !ase. =ndeed, it a. -e ore harful than
$u-li!it. during the trial for it a. well set the !ounit. o$inion as to guilt or inno!en!e . . . . *he trial witnesses $resent at
the hearing, as well as the original <ur. $anel, were undou-tedl. ade aware of the $e!uliar $u-li! i$ortan!e of the !ase -.
the $ress and tele'ision !o'erage -eing $ro'ided, and -. the fa!t that the. thesel'es were tele'ised li'e and their $i!tures
re-road!ast on the e'ening show.E I!., 681 @.#. at :66?6/, 14 L. &d. 5d at :46?4/, 8: #. %t. at 1659?60.
:4. B*he unde'iating rule of this %ourt was e($ressed -. +r. Justi!e Holes o'er half a !entur. ago in Patterson '.
%olorado, 50: @.#. 4:4, 465 2190/31
?*he theor. of our s.ste is that the !on!lusions to -e rea!hed in a !ase will -e indu!ed onl. -. e'iden!e and
arguent in o$en !ourt, and not -. an. outside influen!e, whether of $ri'ate tal) or $u-li! $rint.E
#he$$ard '. +a(well, 684 @.#. 666, 6:1, 16 L. &d. 5d 600, 614, 86 #. %t. 1:0/, 1:16 219663.
B*he trial <udge has a large dis!retion in ruling on the issue of $re<udi!e resulting fro the reading -. <urors of news
arti!les !on!erning the trial . . . . 9enerali7ations -e.ond that stateent are not $rofita-le, -e!ause ea!h !ase ust turn on its
s$e!ial fa!ts. >e ha'e here the e($osure of <urors to inforation of a !hara!ter whi!h the trial <udge ruled was so $re<udi!ial it
!ould not -e dire!tl. offered as e'iden!e. *he $re<udi!e to the defendant is alost !ertain to -e as great when that e'iden!e
rea!hes the <ur. through news a!!ounts as when it is $art of the $rose!ution;s e'iden!e . . . . =t a. indeed -e greater for it is
then not te$ered -. $rote!ti'e $ro!edures.E +arshall '. @nited #tates, 660 @.#. 610, 615?16, 6 L. &d. 5d 15:5, /9 #. %t.
11/1, 11/6 219:93.
B*he e($erien!ed trial law.er )nows that an ad'erse $u-li! o$inion is a treendous disad'antage to the defense of his
!lient. Although grand <urors !ondu!t their deli-erations in se!ret, the. are sele!ted fro the -od. of the $u-li!. *he. are
li)el. to )now what the general $u-li! )nows and to refle!t the $u-li! attitude. *rials are o$en to the $u-li!, and aroused $u-i!
o$inion res$e!ting the erits of a legal !ontro'ers. !reates a !ourt roo atos$here whi!h, without an. 'o!al e($ression in
the $resen!e of the $etit <ur., a)es itself felt and has its effe!t u$on the a!tion of the $etit <ur.. Our fundaental !on!e$ts of
<usti!e and our Aeri!an sense of fair $la. require that the $etit <ur. shall -e !o$osed of $ersons with fair and i$artial
inds and without $re!on!ei'ed 'iews as to the erits of the !ontro'ers., and that it shall deterine the issues $resented to it
solel. u$on the e'iden!e addu!ed at the trial and a!!ording to the law gi'en in the instru!tions of the trial <udge.
B>hile we a. dou-t that the effe!t of $u-li! o$inion would swa. or -ias the <udgent of the trial <udge in an equit.
$ro!eeding, the defendant should not -e !alled u$on to run that ris) and the trial !ourt should not ha'e his wor) ade ore
diffi!ult -. an. disseination of stateents to the $u-li! that would -e !al!ulated to !reate a $u-li! deand for a $arti!ular
<udgent in a $ros$e!ti'e or $ending !ase.E ABA O$inion 199 219403.
C+. &stes '. #tate of *e(as, 681 @.#. :65, :44?4:, 144 L. &d. 5d :46, ::1, 8: #. %t. 1658, 1664 2196:3, #"h"a#in) !"ni"!,
681 @.#. 8/:, 1: L. &d. 5d 118, 86 #. %t. 18 2196:3.
::. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 50 219083.
:6. %anon 6 o-ser'es that a law.er Bdeser'es re-u)e and denun!iation for an. de'i!e or atte$t to gain fro a Judge
s$e!ial $ersonal !onsideration or fa'or.E
S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 65 219083.
:/. B>&!icial Canon 65 $ro'ides1
BA <udge should not a!!e$t an. $resent or fa'ors fro litigants, or fro law.ers $ra!ti!ing -efore hi or fro others
whose interests are li)el. to -e su-itted to hi for <udgent.
B*he language of this %anon is $erha$s -road enough to $rohi-it !a$aign !ontri-utions -. law.ers, $ra!ti!ing -efore the
!ourt u$on whi!h the !andidate ho$es to sit. Howe'er, we do not thin) it was intended to $rohi-it su!h !ontri-utions when the
!andidate is o-ligated, -. for!e of !ir!ustan!es o'er whi!h he has no !ontrol, to !ondu!t a !a$aign, the e($ense of whi!h
e(!eeds that whi!h he should reasona-l. -e e($e!ted to $ersonall. -earUE ABA O$inion 556 219413.
:8. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
:9. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 6 and 65 219083.
60. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 18 219083.
61. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 1 and 6 219083.
65. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 1/ 219083.
66. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 54 219083.
64. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 5: 219083.
6:. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 51 219083.
66. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 1: 219083.
6/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# : and 1: 2190834 c+. A"A %AAOA# 4 and 65 219083.
68. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 54 219083.
69. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 60 219083.
/0. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 55 and 59 219083.
/1. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 41 2190834 c+. Hinds '. #tate "ar, 19 %al.5d 8/, 95?96, 119 P.5d 164,
16/ 2194134 0&t "" ABA O$inion 58/ 219:63 and *&PA# %AAOA 68. Alo "" +OD&L %OD& OF P,OF&##=OAAL ,&#POA#="=L=*K, D, 4?
1012%3253.
/5. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
/6. S"" Pre!ision =nst. +fg. %o. '. Autooti'e +.+. %o., 654 @.#. 806, 89 L. &d. 1681, 6: #. %t. 996 2194:3.
/4. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA : 219083.
/:. BR&l" 1, . . . . A e-er of the #tate "ar shall not !ouni!ate with a $art. re$resented -. !ounsel u$on a su-<e!t of
!ontro'ers., in the a-sen!e and without the !onsent of su!h !ounsel. *his rule shall not a$$l. to !ouni!ations with a $u-li!
offi!er, -oard !oittee or -od..E %AL. "@#=A&## AAD P,OF&##=OAAL %OD& O60/6 2>est 19653.
/6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 9 2190834 c+. ABA O$inion 154 219643, 108 2196:3, 9: 219663, and /:
2196534 alo "" =n re #!hwa-e, 545 Or. 169, 1/4?/:, 408 P.5d 955, 954 2196:3.
B=t is !lear fro the earlier o$inions of this !oittee that Canon 9 is to -e !onstrued literall. and does not allow a
!ouni!ation with an o$$osing $art., without the !onsent of his !ounsel, though the $ur$ose erel. -e to in'estigate the
fa!ts. O$inions 11/, ::, 66.E ABA O$inion 18/ 219683.
//. C+. ABA O$inion 105 219663.
/8. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 9 219083 and ABA O$inion :8 219613.
/9. C+. Aote, 68 *&PA# L. ,&F. 10/, 108?09 219:93.
80. B=n the -rief suar. in the 194/ edition of the %oittee;s de!isions 2$. 1/3, O$inion 157 was thus suari7ed1
O$inion 157IA law.er should dis!lose to the !ourt a de!ision dire!tl. ad'erse to his !lient;s !ase that is un)nown to his
ad'ersar..
. . . .
B>e would not !onfine the O$inion to J!ontrolling authorities; I i.e., those de!isi'e of the $ending !aseI-ut, in
a!!ordan!e with the tests hereafter suggested, would a$$l. it to a de!ision dire!tl. ad'erse to an. $ro$osition of law on whi!h
the law.er e($ressl. relies, whi!h would reasona-l. -e !onsidered i$ortant -. the <udge sitting on the !ase.
. . . .
B. . . *he test in e'er. !ase should -e1 =s the de!ision whi!h o$$osing !ounsel has o'erloo)ed one whi!h the !ourt should
!learl. !onsider in de!iding the !aseT >ould a reasona-le <udge $ro$erl. feel that a law.er who ad'an!ed, as the law, a
$ro$osition ad'erse to the undis!losed de!ision, was la!)ing in !andor and fairness to hiT +ight the <udge !onsider hiself
isled -. an i$lied re$resentation that the law.er )new of no ad'erse authorit.E ABA O$inion 580 219493.
81. B*he authorities are su-stantiall. unifor against an. $ri'ilege as a$$lied to the fa!t of retainer or identit. of the
!lient. *he $ri'ilege is liited to !onfidential !ouni!ations, and a retainer is not a !onfidential !ouni!ation, although it
!annot !oe into e(isten!e without soe !ouni!ation -etween the attorne. and theIat that stage $ros$e!ti'eI!lientE
@nited #tates '. Pa$e4 144 F.5d //8, /85 25d %ir. 19443, c"#t. !"ni"!4 656 @.#. /:5, 89 L. &d. 5d 605, 6: #. %t. 86 219443.
B*o -e sure, there a. -e !ir!ustan!es under whi!h the identifi!ation of a !lient a. aount to the $re<udi!ial dis!losure
of a !onfidential !ouni!ation, as where the su-stan!e of a dis!losure has alread. -een re'ealed -ut not its sour!e.E %olton
'. @nited #tates, 606 F.5d 666, 66/ 25d %ir. 19653.
85. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 55 2190834 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 1/ 219083.
B*he rule allowing !ounsel when addressing the <ur. the widest latitude in dis!ussing the e'iden!e and $resenting the
!lient;s theories falls far short of authori7ing the stateent -. !ounsel of atter not in e'iden!e, or indulging in arguent
founded on no $roof, or deanding 'erdi!ts for $ur$oses other than the <ust settleent of the atters at issue -etween the
litigants, or a$$ealing to $re<udi!e or $assion. *he rule !onfining !ounsel to legitiate arguent is not -ased on etiquette, -ut
on <usti!e. =ts 'iolation is not erel. an o'erste$$ing of the -ounds of $ro$riet., -ut a 'iolation of a $art.;s rights. *he <urors
ust deterine the issues u$on the e'iden!e. %ounsel;s address should hel$ the do this, not tend to lead the astra..E %herr.
%ree) Aat;l "an) '. Fidelit. Q %as. %o., 50/ A$$. Di'. /8/, /90?91, 505 A.K #. 611, 614 219543.
86. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 18 219083.
BO6068 . . . . =t is the dut. of an attorne.
. . . .
B2f3 *o a-stain fro all offensi'e $ersonalit., and to ad'an!e no fa!t $re<udi!ial to the honor or re$utation of a $art. or
witness unless required -. the <usti!e of the !ause with whi!h he is !harged.E %AL. "@#=A&## AAD P,OF&##=OA# %OD& O6068 2>est
19653.
84. B*he re!ord in the !ase at -ar was silent !on!erning the qualities and !hara!ter of the de!eased. =t is es$e!iall.
i$ro$er, in addressing the <ur. in a urder !ase, for the $rose!uting attorne. to a)e referen!e to his )nowledge of the good
qualities of the de!eased where there is no e'iden!e in the re!ord -earing u$on his !hara!ter . . . . A $rose!utor should ne'er
in<e!t into his arguent e'iden!e not introdu!ed at the trial.E Peo$le '. Du)es, 15 =ll. 5d 664, 641, 146 A.&.5d 14, 1/?18
219:/3.
8:. BA law.er should not ignore )nown !ustos or $ra!ti!e of the "ar or of a $arti!ular %ourt, e'en when the law $erits,
without gi'ing tiel. noti!e to the o$$osing !ounsel.E A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 5: 219083.
86. *he $ro'isions of #e!tions 2A3, 2"3, 2%3, and 2D3 of this Dis!i$linar. ,ule in!or$orate the fair trial?free $ress standards
whi!h a$$l. to law.ers as ado$ted -. the A"A House of Delegates, Fe-. 19, 1968, u$on the re!oendation of the Fair *rial
and Free Press Ad'isor. %oittee of the A"A #$e!ial %oittee on +iniu #tandards for the Adinistration of %riinal
Justi!e.
C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 50 2190834 "" )"n"#all% A"A ADF=#O,K %O++=**&& OA FA=, *,=AL AAD F,&&
P,&##, #*AADA,D# ,&LA*=A9 *O FA=, *,=AL AAD F,&& P,&## 219663.
BFro the !ases !oing here we note that unfair and $re<udi!ial news !oent on $ending trials has -e!oe in!reasingl.
$re'alent. Due $ro!ess requires that the a!!used re!ei'e a trial -. an i$artial <ur. free fro outside influen!es. 9i'en the
$er'asi'eness of odern !ouni!ations and the diffi!ult. of effa!ing $re<udi!ial $u-li!it. fro the inds of the <urors, the
trial !ourts ust ta)e strong easures to ensure that the -alan!e is ne'er weighed against the a!!used. And a$$ellate tri-unals
ha'e the dut. to a)e an inde$endent e'aluation of the !ir!ustan!es. Of !ourse, there is nothing that $res!ri-es the $ress
fro re$orting e'ents that trans$ire in the !ourtroo. "ut where there is a reasona-le li)elihood that $re<udi!ial news $rior to
trial will $re'ent a fair trial the <udge should !ontinue the !ase until the threat a-ates, or transfer it to another !ount. not so
$ereated with $u-li!it. . . . . *he !ourts ust ta)e su!h ste$s -. rule and regulation that will $rote!t their $ro!esses fro
$re<udi!ial outside interferen!es. Aeither $rose!utors, !ounsel for defense, the a!!used, witnesses, !ourt staff nor enfor!eent
offi!ers !oing under the <urisdi!tion of the !ourt should -e $eritted to frustrate its fun!tion. %olla-oration -etween !ounsel
and the $ress as to inforation affe!ting the fairness of a !riinal trial is not onl. su-<e!t to regulation, -ut is highl.
!ensura-le and worth. of dis!i$linar. easures.E #he$$ard '. +a(well, 684 @.#. 666, 665?66, 16 L. &d. 5d 600, 650, 86 #. %t.
1:0/, 1:55 219663.
8/. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 56 219083.
88. BC=Dt would -e unethi!al for a law.er to harass, enti!e, indu!e or e(ert influen!e on a <uror to o-tain his testion..E
ABA O$inion 619 219683.
89. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA : 219083.
90. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA : 219083.
BR&l" 16 . . . . A e-er of the #tate "ar shall not ad'ise a $erson, whose testion. !ould esta-lish or tend to esta-lish a
aterial fa!t, to a'oid ser'i!e of $ro!ess, or se!rete hiself, or otherwise to a)e his testion. una'aila-le.E %AL. "@#=A&##
AAD P,OF&##=OA# %OD& O60/6 2>est 19653.
91. S"" =n re O;Geefe, 49 +ont. 669, 145 P. 668 219143.
95. C+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 6 219083.
96. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
94. BR&l" 17 . . . . A e-er of the #tate "ar shall not, in the a-sen!e of o$$osing !ounsel, !ouni!ate with or argue to a
<udge or <udi!ial offi!er e(!e$t in o$en !ourt u$on the erits of a !ontested atter $ending -efore su!h <udge or <udi!ial
offi!er4 nor shall he, without furnishing o$$osing !ounsel with a !o$. thereof, address a written !ouni!ation to a <udge or
<udi!ial offi!er !on!erning the erits of a !ontested atter $ending -efore su!h <udge or <udi!ial offi!er. *his rule shall not
a$$l. to e( $arte atters.E %AL. "@#=A&## AAD P,OF&##=OA# %OD& O60/6 2>est 19653.
9:. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
CANON 2
A La!er S"o#l$ Assist in
Im&ro0in% t"e Le%al Sstem
ET'ICAL CONSIDERATIONS
&% 8?1 %hanges in huan affairs and i$erfe!tions in huan institutions a)e ne!essar.
!onstant efforts to aintain and i$ro'e our legal s.ste.
1
*his s.ste should fun!tion in a anner
that !oands $u-li! res$e!t and fosters the use of legal reedies to a!hie'e redress of grie'an!es.
". reason of edu!ation and e($erien!e, law.ers are es$e!iall. qualified to re!ogni7e defi!ien!ies in
the legal s.ste and to initiate !orre!ti'e easures therein. *hus the. should $arti!i$ate in $ro$osing
and su$$orting legislation and $rogras to i$ro'e the s.ste,
5
without regard to the general
interests or desires of !lients or forer !lients.
6
EC 2() ,ules of law are defi!ient if the. are not <ust, understanda-le, and res$onsi'e to the needs
of so!iet.. =f a law.er -elie'es that the e(isten!e or a-sen!e of a rule of law, su-stanti'e or
$ro!edural, !auses or !ontri-utes to an un<ust result, he should endea'or -. lawful eans to o-tain
a$$ro$riate !hanges in the law. He should en!ourage the si$lifi!ation of laws and the re$eal or
aendent of laws that are outoded.
4
Li)ewise, legal $ro!edures should -e i$ro'ed whene'er
e($erien!e indi!ates a !hange is needed.
EC 2(* *he fair adinistration of <usti!e requires the a'aila-ilit. of !o$etent law.ers. +e-ers
of the $u-li! should -e edu!ated to re!ogni7e the e(isten!e of legal $ro-les and the resultant need
for legal ser'i!es, and should -e $ro'ided ethods for intelligent sele!tion of !ounsel. *hose $ersons
una-le to $a. for legal ser'i!es should -e $ro'ided needed ser'i!es. %lients and law.ers should not
-e $enali7ed -. undue geogra$hi!al restraints u$on re$resentation in legal atters, and the -ar should
address itself to i$ro'eents in li!ensing, re!i$ro!it., and adission $ro!edures !onsistent with the
needs of odern !oer!e.
EC 2(+ >hene'er a law.er see)s legislati'e or adinistrati'e !hanges, he should identif. the
!a$a!it. in whi!h he a$$ears, whether on -ehalf of hiself, a !lient, or the $u-li!.
:
A law.er a.
ad'o!ate su!h !hanges on -ehalf of a !lient e'en though he does not agree with the. "ut when a
law.er $ur$orts to a!t on -ehalf of the $u-li!, he should es$ouse onl. those !hanges whi!h he
!ons!ientiousl. -elie'es to -e in the $u-li! interest.
EC 2(, Fraudulent, de!e$ti'e, or otherwise illegal !ondu!t -. a $arti!i$ant in a $ro!eeding -efore
a tri-unal or legislati'e -od. is in!onsistent with fair adinistration of <usti!e, and it should ne'er -e
$arti!i$ated in or !ondoned -. law.ers. @nless !onstrained -. his o-ligation to $reser'e the
!onfiden!es and se!rets of his !lient, a law.er should re'eal to a$$ro$riate authorities an. )nowledge
he a. ha'e of su!h i$ro$er !ondu!t.
EC 2(- Judges and adinistrati'e offi!ials ha'ing ad<udi!ator. $owers ought to -e $ersons of
integrit., !o$eten!e, and suita-le te$eraent. 9enerall., law.ers are qualified, -. $ersonal
o-ser'ation or in'estigation, to e'aluate the qualifi!ations of $ersons see)ing or -eing !onsidered for
su!h $u-li! offi!es, and for this reason the. ha'e a s$e!ial res$onsi-ilit. to aid in the sele!tion of
onl. those who are qualified.
6
=t is the dut. of law.ers to endea'or to $re'ent $oliti!al !onsiderations
fro outweighing <udi!ial fitness in the sele!tion of <udges. Law.ers should $rotest earnestl. against
the a$$ointent or ele!tion of those who are unsuited for the -en!h and should stri'e to ha'e ele!ted
/
or a$$ointed thereto onl. those who are willing to forego $ursuits, whether of a -usiness, $oliti!al, or
other nature, that a. interfere with the free and fair !onsideration of questions $resented for
ad<udi!ation. Ad<udi!ator. offi!ials, not -eing wholl. free to defend thesel'es, are entitled to
re!ei'e the su$$ort of the -ar against un<ust !riti!is.
8
>hile a law.er as a !iti7en has a right to
!riti!i7e su!h offi!ials $u-li!l.,
9
he should -e !ertain of the erit of his !o$laint, use a$$ro$riate
language, and a'oid $ett. !riti!iss, for unrestrained and inte$erate stateents tend to lessen
$u-li! !onfiden!e in our legal s.ste.
10
%riti!iss oti'ated -. reasons other than a desire to
i$ro'e the legal s.ste are not <ustified.
EC 2(1 #in!e law.ers are a 'ital $art of the legal s.ste, the. should -e $ersons of integrit., of
$rofessional s)ill, and of dedi!ation to the i$ro'eent of the s.ste. *hus a law.er should aid in
esta-lishing, as well as enfor!ing, standards of !ondu!t adequate to $rote!t the $u-li! -. insuring that
those who $ra!ti!e law are qualified to do so.
EC 2(2 Law.ers often ser'e as legislators or as holders of other $u-li! offi!es. *his is highl.
desira-le, as law.ers are uniquel. qualified to a)e signifi!ant !ontri-utions to the i$ro'eent of
the legal s.ste. A law.er who is a $u-li! offi!er, whether full or $art?tie, should not engage in
a!ti'ities in whi!h his $ersonal or $rofessional interests are or foreseea-l. a. -e in !onfli!t with his
offi!ial duties.
11
EC 2(3 *he ad'an!eent of our legal s.ste is of 'ital i$ortan!e in aintaining the rule of law
and in fa!ilitating orderl. !hanges4 therefore, law.ers should en!ourage, and should aid in a)ing,
needed !hanges and i$ro'eents.
DISCIPLINARY R.LES
D, 8?101 ?A!tion as a Pu-li! Offi!ial.
2A3 ?A law.er who holds $u-li! offi!e shall not1
213 ?@se his $u-li! $osition to o-tain, or atte$t to o-tain, a s$e!ial ad'antage in legislati'e
atters for hiself or for a !lient under !ir!ustan!es where he )nows or it is o-'ious that su!h
a!tion is not in the $u-li! interest.
253 ?@se his $u-li! $osition to influen!e, or atte$t to influen!e, a tri-unal to a!t in fa'or of
hiself or of a !lient.
263 ?A!!e$t an. thing of 'alue fro an. $erson when the law.er )nows or it is o-'ious that
the offer is for the $ur$ose of influen!ing his a!tion as a $u-li! offi!ial.
D, 8?105 ?#tateents %on!erning Judges and Other Ad<udi!ator. Offi!ers.
15
2A3 ?A law.er shall not )nowingl. a)e false stateents of fa!t !on!erning the qualifi!ations of
a !andidate for ele!tion or a$$ointent to a <udi!ial offi!e.
2"3 ?A law.er shall not )nowingl. a)e false a!!usations against a <udge or other ad<udi!ator.
offi!er.
D, 8?106 Law.er %andidate for Judi!ial Offi!e.
2A3 ?A law.er who is a !andidate for <udi!ial offi!e shall !o$l. with the a$$li!a-le $ro'isions
of %anon / of the %ode of Judi!ial %ondu!t.
16
NOTES
1. B. . . . CAnotherD tas) of the great law.er is to do his $art indi'iduall. and as a e-er of the organi7ed -ar to i$ro'e
his $rofession, the !ourts, and the law. As President *heodore ,oose'elt a$tl. $ut it, J&'er. an owes soe of his tie to the
u$-uilding of the $rofession to whi!h he -elongs.; =ndeed, this o-ligation is one of the great things whi!h distinguishes a
$rofession fro a -usiness. *he soundness and the ne!essit. of President ,oose'elt;s adonition insofar as it relates to the
legal $rofession !annot -e dou-ted. *he ad'an!es in natural s!ien!e and te!hnolog. are so startling and the 'elo!it. of !hange
in -usiness and in so!ial life is so great that the law along with the other so!ial s!ien!es, and e'en huan life itself, is in gra'e
danger of -eing e(tinguished -. new gods of its own in'ention if it does not awa)e fro its letharg..E Fander-ilt, Th" Fi3"
F&nction o+ th" La1%"#2 S"#3ic" to Cli"nt an! th" P&0lic, 40 A.".A.J. 61, 61?65
5. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 59 2190834 c+. %heatha, Th" La1%"#B Rol" an! S&##o&n!in), 5:
,O%GK +*. L. ,&F. 40:, 406?0/ 219:63.
B*he law.er te$ted -. re$ose should re!all the hea'. !osts $aid -. his $rofession when needed legal refor has to -e
a!!o$lished though the initiati'e of $u-li!?s$irited la.en. >here !hange ust -e thrust fro without u$on an unwilling
"ar, the $u-li!;s least flattering $i!ture of the law.er sees !onfired. *he law.er !on!erned for the standing of his $rofession
will, therefore, interest hiself a!ti'el. in the i$ro'eent of the law. =n doing so he will not onl. hel$ to aintain !onfiden!e
in the "ar, -ut will ha'e the satisfa!tion of eeting a res$onsi-ilit. inhering in the nature of his !alling.E P#o+"ional
R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. = :9, 151/ 219:83.
6. S"" #ta.ton, C&* Hono# O++ici&*, 19 *&P ".J. /6#, /66 219:634 P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint
Con+"#"nc"4 44 A.".A.J. 11:9, 1165 219:834 and Paul, Th" La1%"# a a TaA A!3i"#, 5: ,O%GK +*. L. ,&F. 415, 466?64 219:63.
4. B*here are few great figures in the histor. of the "ar who ha'e not !on!erned thesel'es with the refor and
i$ro'eent of the law. *he s$e!ial o-ligation of the $rofession with res$e!t to legal refor rests on !onsiderations too
o-'ious to require enueration. %ertainl. it is the law.er who has -oth the -est !han!e to )now when the law is wor)ing -adl.
and the s$e!ial !o$eten!e to $ut it in order.E P#o+"ional R"$oni0ilit%2 R"$o#t o+ th" >oint Con+"#"nc", 44 A.".A.J. 11:9,
151/ 219:83.
:. BR&l" 15 . . . . A e-er of the #tate "ar shall not !ouni!ate with, or a$$ear -efore, a $u-li! offi!er, -oard,
!oittee or -od., in his $rofessional !a$a!it., without first dis!losing that he is an attorne. re$resenting interests that a. -e
affe!ted -. a!tion of su!h offi!er, -oard, !oittee or -od..E %AL. "@#=A&## AAD P,OF&##=OA# %OD& O60/6 2>est 19653.
6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 5 219083.
BLaw.ers are -etter a-le than la.en to a$$raise a!!uratel. the qualifi!ations of !andidates for <udi!ial offi!e. =t is $ro$er
that the. should a)e that a$$raisal )nown to the 'oters in a $ro$er and dignified anner. A law.er a. with $ro$riet.
endorse a !andidate for <udi!ial offi!e and see) li)e endorseent fro other law.ers. "ut the law.er who endorses a <udi!ial
!andidate or see)s that endorseent fro other law.ers should -e a!tuated -. a sin!ere -elief in the su$erior qualifi!ations of
the !andidate for <udi!ial ser'i!e and not -. $ersonal or selfish oti'es4 and a law.er should not use or atte$t to use the
$ower or $restige of the <udi!ial offi!e to se!ure su!h endorseent. On the other hand, the law.er whose endorseent is
sought, if he -elie'es the !andidate la!)s the essential qualifi!ations for the offi!e or -elie'es the o$$osing !andidate is -etter
qualified, should ha'e the !ourage and oral staina to refuse the request for endorseent.E ABA O$inion 189 219683.
/. BC>De are of the o$inion that, whene'er a !andidate for <udi!ial offi!e erits the endorseent and su$$ort of law.ers,
the law.ers a. a)e finan!ial !ontri-utions toward the !a$aign if its !ost, when reasona-l. !ondu!ted, e(!eeds that whi!h
the !andidate would -e e($e!ted to -ear $ersonall..E ABA O$inion 556 219413.
8. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 1 219083.
9. B%iti7ens ha'e a right under our !onstitutional s.ste to !riti!i7e go'ernental offi!ials and agen!ies. %ourts are not,
and should not -e, iune to su!h !riti!is.E Gonigs-erg '. #tate "ar of %alifornia, 6:6 @.#. 5:5, 569 219:/3.
10. BC&D'er. law.er, worth. of res$e!t, reali7es that $u-li! !onfiden!e in our !ourts is the !ornerstone of our go'ernental
stru!ture, and will refrain fro un<ustified atta!) on the !hara!ter of the <udges, while re!ogni7ing the dut. to denoun!e and
e($ose a !orru$t or dishonest <udge.E Gentu!). #tate "ar Ass;n '. Lewis, 585 #.>. 5d 651, 656 2G.. 19::3.
B>e should -e the last to den. that +r. +ee)er has the right to u$hold the honor of the $rofession and to e($ose without
fear or fa'or !orru$t or dishonest !ondu!t in the $rofession, whether the !ondu!t -e that of a <udge or not . . . . Howe'er, this
%anon C59D does not $erit one to a)e !harges whi!h are false and untrue and unfounded in fa!t. >hen one;s fan!. leads
hi to a)e false !harges, atta!)ing the !hara!ter and integrit. of others, he does so at his $eril. He should not do so without
adequate $roof of his !harges and he is !ertainl. not authori7ed to a)e !areless, untruthful and 'ile !harges against his
$rofessional -rethren.E =n re +ee)er, /6 A.+. 6:4, 664?6:, 414 P.5d 865, 869 219663, a$$"al !i*i"!, 68: @.#. 449, 1/ L.
&d. 5d :10, 8/ #. %t. 616 2196/3.
11. BO$inion 174 -(4 -54 884 119 and 1-5 relate to Canon 7, and $ass on questions !on!erning the $ro$riet. of the !ondu!t
of an attorne. who is a $u-li! offi!er, in re$resenting $ri'ate interests ad'erse to those of the $u-li! -od. whi!h he re$resents.
*he $rin!i$le a$$lied in those o$inions is that an attorne. holding $u-li! offi!e should a'oid all !ondu!t whi!h ight lead the
la.an to !on!lude that the attorne. is utili7ing his $u-li! $osition to further his $rofessional su!!ess or $ersonal interests.E
ABA O$inion 195 219693.
B*he ne(t question is whether a law.er?e-er of a legislati'e -od. a. a$$ear as !ounsel or !o?!ounsel at hearings
-efore a 7oning -oard of a$$eals, or siilar tri-unal, !reated -. the legislati'e grou$ of whi!h he is a e-er. >e are of the
o$inion that he a. $ra!ti!e -efore fa!t?finding offi!ers, hearing -odies and !oissioners, sin!e under our 'iews he a.
a$$ear as !ounsel in the !ourts where his uni!i$alit. is a $art.. De!isions ade at su!h hearings are usuall. su-<e!t to
adinistrati'e re'iew -. the !ourts u$on the re!ord there ade. =t would -e in!onsistent to sa. that a law.er?e-er of a
legislati'e -od. !ould not $arti!i$ate in a hearing at whi!h the re!ord is ade, -ut !ould a$$ear thereafter when the !ause is
heard -. the !ourt on adinistrati'e re'iew. *his is su-<e!t to an i$ortant e(!e$tion. He should not a$$ear as !ounsel where
the atter is su-<e!t to re'iew -. the legislature -od. of whi!h he is a e-er . . . . >e are of the o$inion that where a law.er
does so a$$ear there would -e !onfli!t of interests -etween his dut. as an ad'o!ate for his !lient on the one hand and the
o-ligation to his go'ernental unit on the other hand.E =n re "e!)er, 16 =ll. 5d 488, 494?9:, 1:8 A.&. 5d /:6, /:6?:/ 219:93.
C+. ABA O$inion 186 219683, 166 2196:3, 118 219643, and // 219653.
15. %f. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA# 1 and 5 219083.
16. Aended, +ar!h 19/4, House =nforational ,e$ort Ao. 15/.
CANON 3
A La!er S"o#l$ A0oi$
E0en t"e A&&earance of
Professional Im&ro&riet
ET'ICAL CONSIDERATIONS
&% 9?1 %ontinuation of the Aeri!an !on!e$t that we are to -e go'erned -. rules of law requires
that the $eo$le ha'e faith that <usti!e !an -e o-tained through our legal s.ste.
1
A law.er should
$roote $u-li! !onfiden!e in our s.ste and in the legal $rofession.
5
EC 3() Pu-li! !onfiden!e in law and law.ers a. -e eroded -. irres$onsi-le or i$ro$er !ondu!t
of a law.er. On o!!asion, ethi!al !ondu!t of a law.er a. a$$ear to la.en to -e unethi!al. =n order
to a'oid isunderstandings and hen!e to aintain !onfiden!e, a law.er should full. and $ro$tl.
infor his !lient of aterial de'elo$ents in the atters -eing handled for the !lient. >hile a law.er
should guard against otherwise $ro$er !ondu!t that has a tenden!. to diinish $u-li! !onfiden!e in
the legal s.ste or in the legal $rofession, his dut. to !lients or to the $u-li! should ne'er -e
su-ordinate erel. -e!ause the full dis!harge of his o-ligation a. -e isunderstood or a. tend to
su-<e!t hi or the legal $rofession to !riti!is. >hen e($li!it ethi!al guidan!e does not e(ist, a
law.er should deterine his !ondu!t -. a!ting in a anner that $rootes $u-li! !onfiden!e in the
integrit. and effi!ien!. of the legal s.ste and the legal $rofession.
6
EC 3(* After a law.er lea'es <udi!ial offi!e or other $u-li! e$lo.ent, he should not a!!e$t
e$lo.ent in !onne!tion with an. atter in whi!h he had su-stantial res$onsi-ilit. $rior to his
lea'ing, sin!e to a!!e$t e$lo.ent would gi'e the a$$earan!e of i$ro$riet. e'en if none e(ists.
4
EC 3(+ "e!ause the 'er. essen!e of the legal s.ste is to $ro'ide $ro!edures -. whi!h atters
!an -e $resented in an i$artial anner so that the. a. -e de!ided solel. u$on the erits, an.
stateent or suggestion -. a law.er that he !an or would atte$t to !ir!u'ent those $ro!edures is
detriental to the legal s.ste and tends to underine $u-li! !onfiden!e in it.
EC 3(, #e$aration of the funds of a !lient fro those of his law.er not onl. ser'es to $rote!t the
!lient -ut also a'oids e'en the a$$earan!e of i$ro$riet., and therefore !oingling of su!h funds
should -e a'oided.
EC 3(- &'er. law.er owes a solen dut. to u$hold the integrit. and honor of his $rofession4 to
en!ourage res$e!t for the law and for the !ourts and the <udges thereof4 to o-ser'e the %ode of
Professional ,es$onsi-ilit.4 to a!t as a e-er of a learned $rofession, one dedi!ated to $u-li!
ser'i!e4 to !oo$erate with his -rother law.ers in su$$orting the organi7ed -ar through the de'oting of
his tie, efforts, and finan!ial su$$ort as his $rofessional standing and a-ilit. reasona-l. $erit4 to
!ondu!t hiself so as to refle!t !redit on the legal $rofession and to ins$ire the !onfiden!e, res$e!t,
and trust of his !lients and of the $u-li!4 and to stri'e to a'oid not onl. $rofessional i$ro$riet. -ut
also the a$$earan!e of i$ro$riet..
:
EC 3(1 A law.er has an o-ligation to the $u-li! to $arti!i$ate in !olle!ti'e efforts of the -ar to
rei-urse $ersons who ha'e lost one. or $ro$ert. as a result of the isa$$ro$riation or defal!ation
of another law.er, and !ontri-ution to a !lient;s se!urit. fund is an a!!e$ta-le ethod of eeting this
o-ligation.
6
DISCIPLINARY R.LES
D, 9?101 A'oiding &'en the A$$earan!e of =$ro$riet..
/
2A3 ?A law.er shall not a!!e$t $ri'ate e$lo.ent in a atter u$on the erits of whi!h he has
a!ted in a <udi!ial !a$a!it..
8
2"3 ?A law.er shall not a!!e$t $ri'ate e$lo.ent in a atter in whi!h he had su-stantial
res$onsi-ilit. while he was a $u-li! e$lo.ee.
9
2%3 ?A law.er shall not state or i$l. that he is a-le to influen!e i$ro$erl. or u$on irrele'ant
grounds an. tri-unal, legislati'e -od.,
10
or $u-li! offi!ial.
D, 9?105 Preser'ing =dentit. of Funds and Pro$ert. of a %lient.
11
2A3 ?All funds of !lients $aid to a law.er or law fir, other than ad'an!es for !osts and
e($enses, shall -e de$osited in one or ore identifia-le -an) a!!ounts aintained in the state in
whi!h the law offi!e is situated and no funds -elonging to the law.er or law fir shall -e de$osited
therein e(!e$t as follows1
213 ?Funds reasona-l. suffi!ient to $a. -an) !harges a. -e de$osited therein.
253 ?Funds -elonging in $art to a !lient and in $art $resentl. or $otentiall. to the law.er or
law fir ust -e de$osited therein, -ut the $ortion -elonging to the law.er or law fir a. -e
withdrawn when due unless the right of the law.er or law fir to re!ei'e it is dis$uted -. the !lient,
in whi!h e'ent the dis$uted $ortion shall not -e withdrawn until the dis$ute is finall. resol'ed.
2"3 ?A law.er shall1
21 ?3Pro$tl. notif. a !lient of the re!ei$t of his funds, se!urities, or other $ro$erties.
253 ?=dentif. and la-el se!urities and $ro$erties of a !lient $ro$tl. u$on re!ei$t and $la!e
the in a safe de$osit -o( or other $la!e of safe)ee$ing as soon as $ra!ti!a-le.
263 ?+aintain !o$lete re!ords of all funds, se!urities, and other $ro$erties of a !lient
!oing into the $ossession of the law.er and render a$$ro$riate a!!ounts to his !lient regarding
the.
243 ?Pro$tl. $a. or deli'er to the !lient as requested -. a !lient the funds, se!urities, or
other $ro$erties in the $ossession of the law.er whi!h the !lient is entitled to re!ei'e.
NOTES
1. B=ntegrit. is the 'er. -reath of <usti!e. %onfiden!e in our law, our !ourts, and in the adinistration of <usti!e is our
su$ree interest. Ao $ra!ti!e ust -e $eritted to $re'ail whi!h in'ites towards the adinistration of <usti!e a dou-t or
distrust of its integrit..E &rwin +. Jennings %o. '. Di9eno'a, 10/ %onn. 491, 499, 141 A. 866, 868 219583.
5. BA law.er should ne'er -e relu!tant or too $roud to answer un<ustified !riti!is of his $rofession, of hiself, or of his
-rother law.er. He should guard the re$utation of his $rofession and of his -rother as 7ealousl. as he guards his own.E
,o!helle Q Pa.ne, Th" St#&))l" +o# P&0lic Un!"#tan!in), 5: *&PA# ".J. 109, 165 219653.
6. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 59 219083.
4. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219083.
:. BAs said in O$inion 49, of the %oittee on Professional &thi!s and 9rie'an!es of the Aeri!an "ar Asso!iation,
$age 1641 JAn attorne. should not onl. a'oid i$ro$riet. -ut should a'oid the a$$earan!e of i$ro$riet..; E #tate e( rel.
Ae-ras)a #tate "ar Ass;n '. ,i!hards, 16: Ae-. 80, 96, 84 A.>.5d 166, 14: 219:/3.
B=t would also -e $refera-le that su!h !ontri-ution Cto the !a$aign of a !andidate for <udi!ial offi!eD -e ade to a
!a$aign !oittee rather than to the !andidate $ersonall.. =n so doing, $ossi-le a$$earan!es of i$ro$riet. would -e
redu!ed to a iniuE ABA O$inion 556 219413.
B*he law.er assues high duties, and has i$osed u$on hi gra'e res$onsi-ilities. He a. -e the eans of u!h good or
u!h is!hief. =nterests of 'ast agnitude are entrusted to hi4 !onfiden!e is re$osed in hi4 life, li-ert., !hara!ter and
$ro$ert. should -e $rote!ted -. hi. He should guard, with 7ealous wat!hfulness, his own re$utation, as well as that of his
$rofession.E Peo$le e( rel. %utler '. Ford, :4 ===. :50, :55 218/03, and also quoted in #tate "oard of Law &(ainers '.
#heldon, 46 >.o. :55, :56, / P.5d 556, 55/ 219653.
S"" ABA O$inion 1:0 219663.
6. Aended, Fe-ruar. 1980, House =nforational ,e$ort Ao. 10:.
/. C+. +OD&L %OD& OF P,OF&##=OAAL ,&#POA#="=L=*K, &% :?6.
8. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219083.
B=t is the dut. of the <udge to rule on questions of law and e'iden!e in isdeeanor !ases and e(ainations in felon. !ases.
*hat dut. !alls for i$artial and uninfluen!ed <udgent, regardless of the effe!t on those iediatel. in'ol'ed or others who
a., dire!tl. or indire!tl., -e affe!ted. Dis!harge of that dut. ight -e greatl. interfered with if the <udge, in another !a$a!it.,
were $eritted to hold hiself out to e$lo.ent -. those who are to -e, or who a. -e, -rought to trial in felon. !ases, e'en
though he did not !ondu!t the e(aination. His $ri'ate interests as a law.er in -uilding u$ his !lientele, his dut. as su!h
7ealousl. to es$ouse the !ause of his $ri'ate !lients and to defend against !harges of !rie -rought -. law enfor!eent
agen!ies of whi!h he is a $art, ight $re'ent, or e'en destro., that un-iased <udi!ial <udgent whi!h is so essential in the
adinistration of <usti!e.
B=n our o$inion, a!!e$tan!e of a <udgeshi$ with the duties of !ondu!ting isdeeanor trials, and e(ainations in felon.
!ases to deterine whether those a!!used should -e -ound o'er for trial in a higher !ourt, ethi!all. -ars the <udge fro a!ting
as attorne. for the defendants u$on su!h trial, whether the. were e(ained -. hi or -. soe other <udge. #u!h a $ra!ti!e
would not onl. diinish $u-li! !onfiden!e in the adinistration of <usti!e in -oth !ourts, -ut would $rodu!e serious !onfli!t
-etween the $ri'ate interests of the <udge as a law.er, and of his !lients, and his duties as a <udge in ad<udi!ating i$ortant
$hases of !riinal $ro!esses in other !ases. *he $u-li! and $ri'ate duties would -e in!o$ati-le. *he $restige of <udi!ial
offi!e would -e di'erted to $ri'ate -enefit, and the <udi!ial offi!e would -e deeaned there-.,E ABA O$inion 545 219453.
BA law.er, who has $re'iousl. o!!u$ied a <udi!ial $osition or a!ted in a <udi!ial !a$a!it., should refrain fro a!!e$ting
e$lo.ent in an. atter in'ol'ing the sae fa!ts as were in'ol'ed in an. s$e!ifi! question whi!h he a!ted u$on in a <udi!ial
!a$a!it. and, for the sae reasons, should also refrain fro a!!e$ting an. e$lo.ent whi!h ight reasona-l. a$$ear to
in'ol'e the sae fa!ts.E ABA O$inion 49 219613.
S"" ABA O$inion 110 219643.
9. S"" ABA O$inion 16: 2196:3 and 164 2196:34 c+. A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 66 219803 and ABA
O$inion 69 219613 and 56 219603. B&t "" ABA O$inion 6/ 219613.
10. BCA stateent -. a go'ernental de$artent or agen!. with regard to a law.er resigning fro its staff that in!ludes a
laudation of his legal a-ilit.D !arries i$li!ations, $ro-a-l. not founded in fa!t, that the law.er;s a!quaintan!e and $re'ious
relations with the $ersonnel of the adinistrati'e agen!ies of the go'ernent $la!e hi in an ad'antageous $osition in
$ra!ti!ing -efore su!h agen!ies. #o to i$l. would not onl. re$resent what $ro-a-l. is untrue, -ut would -e highl.
re$rehensi-le.E ABA O$inion 184 219683.
11. S"" A"A %AAOA# OF P,OF&##=OAAL &*H=%#, %AAOA 11 219083.
BR&l" : . . . . A e-er of the #tate "ar shall not !oingle the one. or other $ro$ert. of a !lient with his own4 and he
shall $ro$tl. re$ort to the !lient the re!ei$t -. hi of all one. and other $ro$ert. -elonging to su!h !lient. @nless the !lient
otherwise dire!ts in writing, he shall $ro$tl. de$osit his !lient;s funds in a -an) or trust !o$an. . . . in a -an) a!!ount
se$arate fro his own a!!ount and !learl. designated as J%lients; Funds A!!ount; or J*rust Funds A!!ount; or words of siilar
i$ort. @nless the !lient otherwise dire!ts in writing, se!urities of a !lient in -earer for shall -e )e$t -. the attorne. in a safe
de$osit -o( at a -an) or trust !o$an. . . . whi!h safe de$osit -o( shall -e !learl. designated as J%lients; A!!ount; or J*rust
A!!ount; or words of siilar i$ort, and -e se$arate fro the attorne.;s own safe de$osit -o(.E %AL. "@#=A&## AAD P,OF&##=OA#
%OD& O60/6 2>est 19653.
BC%Doingling is !oitted when a !lient;s one. is interingled with that of his attorne. and its se$arate identit. lost
so that it a. -e used for the attorne.;s $ersonal e($enses or su-<e!ted to !lais of his !reditors . . . . *he rule against
!oingling was ado$ted to $ro'ide against the $ro-a-ilit. in soe !ases, the $ossi-ilit. in an. !ases, and the danger in all
!ases that su!h !oingling will result in the loss of !lients; one.. B "la!) ' #tate "ar, :/ %al. 5d 519, 55:?56, 668 P.5d
118, 155, 18 %al. ,$tr. :18, :55 219653.
DEFINITIONS;
As used in the Dis!i$linar. ,ules of the +odel %ode of Professional ,es$onsi-ilit.1
213 BDiffering interestsE in!lude e'er. interest that will ad'ersel. affe!t either the <udgent or
the lo.alt. of a law.er to a !lient, whether it -e a !onfli!ting, in!onsistent, di'erse, or other interest.
253 BLaw firE in!ludes a $rofessional legal !or$oration.
263 BPersonE in!ludes a !or$oration, an asso!iation, a trust, a $artnershi$, and an. other
organi7ation or legal entit..
243 BProfessional legal !or$orationE eans a !or$oration, or an asso!iation treated as a
!or$oration, authori7ed -. law to $ra!ti!e law for $rofit.
2:3 B#tateE in!ludes the Distri!t of %olu-ia, Puerto ,i!o, and other federal territories and
$ossessions.
263 B*ri-unalE in!ludes all !ourts and all other ad<udi!ator. -odies.
2/3 BA "ar asso!iationE in!ludes a -ar asso!iation of s$e!ialists as referred to in D, 5?
10:2A3213 or 243.
1
283 BHualified legal assistan!e organi7ationE eans an offi!e or organi7ation of one of the four
t.$es listed in D, 5?1062D3213?243, in!lusi'e, that eets all the requireents thereof.
5
NOTES
M B%onfiden!eE and Bse!retE are defined in D, 4?1012A3.
1. Aended, Fe-ruar. 19/:, House =nforational ,e$ort Ao. 110.
5. I!.
INDE<
A
A!!e$tan!e of e$lo.ent. S"" &$lo.ent, a!!e$tan!e of.
A!quiring interest in litigation. S"" Ad'erse effe!t on $rofessional <udgent, interests of law.er
Address !hange, notifi!ation of,
D, 5?1052A3253
Adinistrati'e agen!ies and tri-unals. forer e$lo.ee, re<e!tion of e$lo.ent -.,
D, 9?1012"3
i$ro$er influen!es on,
&% :?16, &% :?51, &% :?54, D,:?10/2A3, 2"3, &% 8?:, &% 8?6, D, 8?1012A3
re$resentation of !lient, generall.,
%anon /, &% /?1:, &% /?16, &% 8?4, &% 8?8, D, 8?1012A3
Adiralt. $ra!titioners,
&% 5?14
Adission to $ra!ti!e dut. of law.ers as to a$$li!ants,
&% 1?6, D, 1?1012"3
requireents for,
&% 1?5, &% 1?6, &% 1?6, D, 1?1012A3
Ad'an!ing funds to !lients,
&% :?8, D, :?1062"3
!ourt !osts,
&% :?8, D, :?1062"3
in'estigation e($enses,
&% :?8, &% :08, D, :?1062"3
litigation e($enses,
&% :?/, D, :?1062"3
edi!al e(aination,
&% :?8, D, :?1062"3
$ersonal e($enses,
&% :?8, D, :?1062"3
Ad'ersar. s.ste, dut. of law.er to,
%anon /
Ad'erse legal authorit., dut. to re'eal,
&% /?56, D, /?1062"3213
Ad'erse effe!t on $rofessional <udgent of law.er
%anon :
desires of third $ersons,
&% :?51 V &% :?54, D, :?10/
interests of law.er,
&% :?5 V &% :?16, D, :?101, D, :?104
interests of other !lients,
&% :?14 V &% :?50, D, :?10:, D, :?106
Ad'ertising. S"" alo Aae, use of.
&% 5?6 V &% 5?1:, D, 5?101, D, 5?105
announ!eent of !hange of asso!iation,
D, 5?105 2A3 253
announ!eent of !hange of fir nae,
D, 5?1052A3253
announ!eent of !hange of offi!e address,
D, 5?1052A3253
announ!eent of esta-lishent of law offi!e,
D, 5?1052A3253
announ!eent of offi!e o$ening,
D, 5?1052A3253
-oo)s written -. law.er,
D, 5?1012H32:3
-uilding dire!tor.,
D, 5?1052A3263
!ards, $rofessional announ!eent,
D, 5?105 2A3 213, 253
!oer!ial $u-li!it.,
&% 5?8 V &% 5?10, D, 5?101
!o$ensation for,
&% 5?8, D, 5?1012"3, D, 5?1012=3
<urisdi!tional liitations of e-ers of fir, required noti!e of,
D, 5?1052D3
legal do!uents,
D, 5?1012H3243
letterheads of !lients,
D, 5?1052A3243
of law fir,
D, 5?1052A3243, D, 5?1052"3
of law.er,
D, 5?1052A3243, D, 5?1052"3
liited $ra!ti!e,
&% 5?14, D, 5?1012"3253, D, 5?10:
aga7ine,
D, 5?1012"3, D, 5?1012=3
nae, S"" Aae, use of Aews$a$er,
D, 5?1012"3, D, 5?1012=3
offi!e address !hange,
D, 5?1052A3253
offi!e -uilding dire!tor.,
D, 5?1052A3263
offi!e esta-lishent,
D, 5?1052A3253
offi!e, identifi!ation of,
D, 5?1012"3213, D, 5?1052A3
offi!e sign,
D, 5?1052A3263
offi!e sign,
D, 5?1052A3263
$oliti!al,
D, 5?1012H3213
$u-li! noti!es,
D, 5?1012H3253
radio,
D, 5?1012"3, D, 5?1012D3, D, 5?1012=3
reasons for regulating,
&% 5?6 V &% 5?10
sign,
D, 5?1052A3263
s$e!iali7ation,
&% 5?14, D, 5?1012"3253, D, 5?10:
tele'ision,
&% 5?8, D, 5?1012"3, 2D3
te(t-oo),
D, 5?1012H32:3
treatises,
D, 5?1012H32:3
Ad'i!e -. law.er to se!ure legal ser'i!es,
&% 5?4 V &% 5?:, D, 5?104
!lient, forer or regular,
&% 5?4, D, 5?1042A3213
!lose friend,
&% 5?4, D, 5?1042A32%3
e$lo.ent resulting fro,
&% 5?4, D, 5?104
oti'ation, effe!t of,
&% 5?4
other la.en $arties to !lass a!tion,
D, 5?1042A32:3
relati'e,
&% 5?4, D, 5?1042A3213
'olunteered,
&% 5?4, D, 5?104
within $erissi-le legal ser'i!e
$rogras,
D, 5?1042A3263
Ad'o!a!., $rofessional,
%anon /
Aiding unauthori7ed $ra!ti!e of law,
%anon 6
A-ulan!e !hasing. S"" ,e!oendation of $rofessional e$lo.ent.
Announ!eent !ard. S"" Ad'ertising, !ards, $rofessional announ!eent.
A$$earan!e of i$ro$erit., a'oiding,
&% :?6, %anon 9
A$$earan!e of law.er. S"" Adinistrati'e agen!ies, re$resentation of !lient -efore4 %ourts,
re$resentation of !lient -efore4 Legislature, re$resentation of !lient -efore4 >itness, law.er a!ting
as.
A$$li!ant for -ar adission. S"" Adission to $ra!ti!e.
Ar-itrator, law.er a!ting as,
&% :?50
Arguent -efore adinistrati'e agen!.,
&% /?1:
-efore <ur.,
&% /?54, &% /?5:, D, /?1062%3
-efore legislature,
&% /?16
-efore tri-unal,
&% /?19 V &% /?5:, D, /?105, D, /?106
Asso!iates of law.er, dut. to !ontrol,
&% 1?4, D, 5?106, &% 6?8, &% 6?9, &% 4?5, D, 4?1012D3, D, /?10/
Asso!iation of !ounsel. S"" alo !ounsel4 Di'ision of legal fees.
!lient;s suggestion of,
&% :?10, &% :?11
law.er;s suggestion of,
&% :?10, &% :?11, &% 6?6, D, 6?101213
Assued nae. S"" nae, use of assued nae.
Atte$ts to e(ert $ersonal influen!e on tri-unal,
&% /?54, &% /?59 V &% /?66, &% /?66, D, /?1062%3, D, /?108, D, /?110
Attorne.?!lient $ri'ilege. S"" alo %onfiden!es of !lient4
#e!rets of !lient,
&% 4?4, D, 4?1012A3, D, /?1052"3213
Attorne.;s lien. S"" Fee for legal ser'i!es, !olle!tion of.
A'aila-ilit. of !ounsel,
&% 5?1, &% 5?/, &% 5?54 V &% 5?66
B
"an) a!!ounts for !lients; funds,
&% 9?:, D, 9?105
"an) !harges on !lients; a!!ounts,
&% 9?:, D, 9?105
"ar a$$li!ant. S"" Adission to $ra!ti!e.
-ar e(ainers, assisting,
&% 1?5
"ar asso!iations
dis!i$linar. authorit., assisting,
&% 1?4, D, 1?106
edu!ational a!ti'ities,
&% 6?5
law.er referral ser'i!e,
D, 5?1062%3213, D, 5?1062D3263
legal aid offi!e,
D, 5?1062D32132d3
"arratr.. S"" Ad'i!e -. law.er to se!ure legal ser'i!es4 ,e!oendation of $rofessional
e$lo.ent.
"equest -. !lient to law.er,
&% :?:
"est efforts. S"" Seal
"ounds of law
diffi!ult. of as!ertaining,
&% /?5, /?6, /?4, /?6
dut. to o-ser'e,
&% /?1, D, /?105
generall.,
%anon /
"ri-es. S"" 9ifts to tri-unal offi!er or e$lo.ee -. law.er.
"uilding dire!tor.. S"" Ad'ertising, -uilding dire!tor..
"usiness !ard. S"" Ad'ertising, !ards, $rofessional.
C
%alling !ard. S"" Ad'ertising, !ards,
$rofessional.
%andidate. S"" Politi!al a!ti'it..
%anons, $ur$ose and fun!tion of,
Prea-le Q Preliinar. #tateent
%ards. S"" Ad'ertising, !ards.
%hange of offi!e address. S"" Ad'ertising, announ!eent of !hange of offi!e address.
%hange of asso!iation. S"" Ad'ertising, announ!eent of !hange of asso!iation.
%hange of fir nae. S"" Ad'ertising, announ!eent of !hange of fir nae.
%hara!ter requireents,
&% 1?6
%lass a!tion. S"" Ad'i!e -. law.er to se!ure legal ser'i!es, $arties to legal a!tion.
%lients. S"" alo &$lo.ent4 Ad'erse effe!t on $rofessional <udgent of law.er4 Fee for legal
ser'i!es4 =ndigent $arties, re$resentation of4 @n$o$ular $art., re$resentation of, a$$earan!e as
witness for,
&% :?9, &% :?10, D, :?1012"3, D, :?105
attorne.?!lient $ri'ilege,
%anon 4
!oingling of funds of,
&% 9?:, D, 9?105
!onfiden!e of,
%anon 4
!ounseling,
&% /?:, &% /?/, &% /?8, &% /?9, &% /?15, D, /?1052A32/3, 2"3213, D, /?1092"3
%lients; se!urit. fund,
&% 9?/
%o?!ounsel. S"" alo Asso!iation of !ounsel.
di'ision of fee with,
D, 5?10/
ina-ilit. to wor) with,
D, 5?1102%3263
%oer!ial $u-li!it.. S"" Ad'ertising, !oer!ial $u-li!it..
%oingling of funds,
&% 9?:, D, 9?105
%ouni!ations with one of ad'erse interests,
D, /?104
<udi!ial offi!ers,
&% /?64, &% /?6:, &% /?66, D, /?110
<urors,
&% /?59, &% /?61, D, /?108
o$$osing $art.,
D, /?104
'enireen,
&% /?59, &% /?61, D, /?108
witnesses,
&% /?58, D, /?109
%o$ensation for re!oendation of e$lo.ent, $rohi-ition against,
D, 5?1062"3
%o$eten!e, ental. S"" insta-ilit., ental or eotional4 +ental !o$eten!e of !lient, effe!t on
re$resentation.
%o$eten!e, $rofessional,
&% 5?60, %anon 6
%onfiden!es of !lient, %anon 4
%onfli!ting interests. S"" Ad'erse effe!t on $rofessional <udgent of law.er.
%onsent of !lient, requireent of a!!e$tan!e of e$lo.ent though interest !onfli!t,
&% :?14, &% :?1:, &% :?16, &% :?1/, &% :?18, &% :?19, &% :?50, D, :?101, D, :?10:
a!!e$tan!e of 'alue fro third $erson,
&% 5?51, &% :?55, &% :?56, D, :?10/2A3, 2"3
ad'i!e requested fro another law.er,
&% 4?5
aggregate settleent of !lais,
D, :?1062A3
asso!iation of law.er,
&% 5?55, D, 5?10/2A3213
forgoing legal a!tion,
&% /?/, &% /?8
ulti$le re$resentation,
&% :?16, D, :?10:2%3
re'elation of !lient;s !onfiden!es and se!rets,
&% 4?5, &% 4?:, D, 4?1012"3263, D, 4?1012%3213
use of !lient;s !onfiden!es and se!rets,
&% 4?5 &% 4?:, D, 4?1012"3263, D, 4?1012%3213
withdrawal fro e$lo.ent,
&% 5?65, D, 5?1102A3253, D, 5?1102%32:3
%onsent of tri-unal to law.er;s withdrawal, requireent of,
&% 5?65, D, 5?1102A3213, D, 5?1102%3
%onsultant. S"" Ad'ertising, a'aila-ilit. as !onsultant.
%ontingent fee, $ro$riet. of in !i'il a!tions,
&% 5?50, &% :?/, D, :?1062A3253
in !riinal a!tions,
&% 5?50, D, 5?1062%3
in doesti! relation !ases,
&% 5?50
%ontinuing legal edu!ation $rogras,
&% 6?5
%ontra!t of &$lo.ent fee $ro'isions, desira-ilit. of writing,
&% 5?19
restri!ti'e !o'enant in,
D, 5?108
%ontro'ers. o'er fee, a'oiding,
&% 5?56
%o$.right $ra!titioner,
&% 5?14, D, 5?10:2A3213
%or$oration, law.er e$lo.ed -.,
&% :?18
%ounsel, designation as
B9eneral %ounselE designation,
D, 5?1052A3243
BOf %ounselE designation,
D, 5?1052A3243
%or$oration, $rofessional legal. S"" Professional legal !or$oration
%ounseling. S"" %lient, !ounseling.
%ourts. S"" alo %onsent of tri-unal to law.er;s withdrawal, requireent of4 &'iden!e, !ondu!t
regardng4 *rial ta!ti!s.
a$$ointent of law.ers as !ounsel,
&% 5?59
!ourtes., )nown !ustos of,
&% /?66,&% /?68, D, /?1062%32:3, 263
$ersonal influen!e, $rohi-itions against e(erting,
&% /?6:, &% /?66, D, /?1102%32:3, 263
re$resentation of !lient -efore,
%anon /
%riinal !ondu!t
as -asis for dis!i$line of law.er,
&% 1?:, D, 1?105 2A3 263
dut. to re'eal inforation as to,
&% 1?4, D, 1?106
$ro'iding !ounsel for those a!!used of,
&% 5?5/, &% 5?59
%riti!is of <udges and adinistrati'e offi!ials,
&% 8?6, D, 8?105
%ross?e(aination of witness. S"" >itnesses, !ouni!ations with.
D
De!eased law.er $a.ent to estate of,
&% 6?8, D, 6?1052A3213
use of nae -. law fir,
&% 5?11, D, 5?1052"3
De fa!to s$e!iali7ation,
&% 5?14, D, 5?10:
Defender, $u-li!. S"" Pu-li! defender offi!e, wor)ing with.
Defense against a!!usation -. !lient, $ri'ilege to dis!lose !onfiden!es and se!rets,
D, 4?1012%3243
Defense of those a!!used of !rie,
&% 5?59, &% 5?61
Definitions,
P. PPP
Delegation -. law.er of tas)s,
&% 6?6
Desires of third $arties, dut. to a'oid influen!e of,
&% :?51, &% :?55, &% :?56, &% :?54, D, :?10/
Differing interests. S"" alo Ad'erse effe!t on $rofessional <udgent of law.er.
%anon :
Dire!tor. listing. S"" Ad'ertising, dire!tories.
Dis!i$line of law.er, grounds for ad'an!eent of funds to !lient i$ro$er,
D, :?1062"3
ad'ertising, i$ro$er,
D, 1?105, D, 5?105
asso!iates, failure to e(er!ise reasona-le !are toward,
D, 4?1012D3
-ri-er. of legal offi!ials,
D, /?1102A3
!ir!u'ention of dis!i$linar. rule,
D, 1?1052A3263
!lients; funds, isanageent of,
D, 9?105
!ouni!ation with ad'erse $art., i$ro$er,
D, /?104
!ouni!ation with <urors, i$ro$er,
D, /?108
!onfidential inforation, dis!losure of,
D, 4?1012"3
!onfli!ting interests, re$resentation of,
D, :?10:, D, :?106, D, :?10/
!rie of oral tur$itude,
D, 1?1052A3263
!riinal !ondu!t,
D, 1?105, D, /?1052A32/3, 283, D, /?1092A3
differing interests, i$ro$er re$resentation of,
D, :?10:2A3, 2"3
disregard of tri-unal ruling,
D, /?1062A3
di'ision of fee, i$ro$er,
D, 5?10/2A3
e$lo.ees, failure to e(er!ise reasona-le !are toward,
D, 6?105, D, 4?1012D3
e'iden!e, false or isleading, use of,
D, /?1052A3243, 263
e(tra?<udi!ial stateent, i$ro$er,
D, /?10/
failure to a!t !o$etentl.,
D, 6?101
failure to a!t 7ealousl.,
D, /?1012A3
failure to dis!lose inforation !on!erning another law.er or <udge,
D, 1?106
failure to dis!lose inforation to tri-unal,
D, /?1052A3263, D, /?1062"3
false a!!usations,
D, 8?105
false stateent in -ar a$$li!ation,
D, 1?1012A3
fees
!harging illegal or !learl. e(!es?
si'e,
D, 5?106 2A3
!harging !ontingent fee in !rii?
nal !ase,
D, 5?1062%3
failure to return unearned,
D, 5?1102A3263
further a$$li!ation of unqualified -ar a$$li!ant,
D, 1?1012"3
guarant. of finan!ial assistan!e,
D, :?1062"3
holding out as ha'ing liited $ra!ti!e,
D, 5?10:
holding out as a s$e!ialist,
D, 5?10:
illegal !ondu!t,
D, 1?1052A3263, D, /?1052A32/3
i$ro$er arguent -efore tri-unal,
D, /?1062%3
institution of !riinal !harges,
D, /?1062A3
in'estigation of <urors,
D, /?108
al$ra!ti!e,
D, 6?105
oral tur$itude, !rie of,
D, 1?1052A3263
$u-li! offi!e, i$ro$er use of,
D, 8?1012A3
$u-li!it., i$ro$er,
D, 5?101
re!oendation of $rofessional e$lo.ent, $rohi-ited,
D, 5?106
restri!ti'e !o'enant, entering $rohi-ited,
D, 5?108
se!rets, dis!losure of,
D, 4?101
soli!itation of -usiness,
D, 5?106, D, 5?104
s$e!iali7ation, noti!e of,
D, 5?10:
suggestion of need of legal ser'i!es, $rohi-ited,
D, 5?104
unauthori7ed $ra!ti!e of law, aiding la.en in,
D, 6?101
'iolation of dis!i$linar. rule,
D, 5?1052A3213
withdrawal, i$ro$er,
D, 5?1102A3
Dis!losure of i$ro$er !ondu!t
of another law.er,
&% 1?4, D, 1?106
of -ar a$$li!ant,
&% 1?5, &% 1?6, D, 1?1012"3
of <udge,
D, 1?1062"3
toward <uror or 'enirean,
&% /?65, D, /?108293
Dis!retion of go'ernent law.er, e(er!ise of,
&% /?14
Dis!ussion of $ending litigation with news edia. S"" *rial $u-li!it..
Di'erse interests. S"" Ad'erse effe!t on $rofessional <udgent of law.er.
Di'ision of legal fees
!onsent of !lient, when required for,
&% 5?55, D, 5?10/2A3213
reasona-leness of total fee, requireent of,
&% 5?55, D, 5?10/2A3263
with asso!iated law.er,
&% 5?55, D, 5?10/2A3
with estate of de!eased law.er,
&% 6?8, D, 6?1052A3253, 263
with la.en,
&% 6?8, D, 6?1052A3
E
&du!ation
!ontinuing legal edu!ation $rogras,
&% 6?5
of la.en to re!ogni7e legal $ro-les,
&% 5?1 V &% 5?:, &% 8?1
of la.en to sele!t law.ers,
&% 5?6 V &% ?5?1:, &% 8?1
requireent of -ar for a$$li!ant,
&% 1?5
&le!tions. S"" Politi!al a!ti'it..
&otional insta-ilit.. S"" =nsta-ilit., ental or eotional.
&$lo.ees of law.er,
delegation of tas)s,
&% 6?6
dut. of law.er to !ontrol,
&% 4?5, &% 4?6, D, 4?1012D3
&$lo.ent. S"" alo Ad'i!e -. law.er to se!ure legal ser'i!es4 ,e!oendation of $rofessional
e$lo.ent.
a!!e$tan!e of
generall.,
&% 5?6 V &% 5?66
indigent !lient, on -ehalf of,
&% 5?5:
instan!es when i$ro$er,
&% 5?6, &% 5?4 &% 5?60,
D, 5?106, D, 5?104, %anon :, &% 6?1, &% 6?6, D, 6?1012A3213, &% 9?6, D, 9?1012A3, 2"3
$u-li! retireent fro,
&% 9?6, D, 9?1012A3, 2"3
re<e!tion of,
&% 5?56 V &% 5?66, D, 5?1062&3, D, 5?104, D, 5?109, D, 5?110, &% 4?:, %anon :, &% 6?
1, &% 6?6, D, 6?1012A3, &% 9?6, D, 9?1012A3, 2"3
un$o$ular !ause, on -ehalf of,
&% 5?5/
un$o$ular !lient, on -ehalf of,
&% 5?5/
when a-le to render !o$etent
ser'i!e,
&% 5?60, &% 6?1, &% 6?6,
D, 6?1012A3213
!ontra!t of
desira-ilit. of,
&% 5?19
withdrawal fro
generall.,
&% 5?65, D, 5?110, %anon :, &% /?8
har to !lient, a'oidan!e of,
&% 5?65, D, 5?1102A3253, %anon :
andator. withdrawal,
&% 5?65, D, 5?1102"3, %anon :
$erissi'e withdrawal,
D, 5?1102%3, %anon :, &% /?8
refund of unearned fee $aid in
ad'an!e, requireent of,
&% 5?65, D, 5?1102A3263
tri-unal, !onsent to,
&% 5?65, D, 5?110
when ar-itrator or ediator,
&% :?50
&state of de!eased law.er. S"" Di'ision of legal fees, with estate of de!eased law.er.
&thi!al !onsiderations, $ur$ose and fun!tion of,
Preliinar. #tateent
&'iden!e, !ondu!t regarding,
&% /?54, &% /?5:, D, /?1052A3, 263 V 263
&(!essi'e fee. S"" Fee for legal ser'i!es, aount of, e(!essi'e.
&($enses of !lient, ad'an!ing or guaranteeing $a.ent of,
&% :?8, D, :?106
F
Fee for legal ser'i!es,
adequate fee, need for,
&% 5?1/
agreeent as to,
&% 5?19, D, 5?1062A3
aount of
e(!essi'e, !learl.,
D, 5?106
reasona-leness, desira-ilit. of,
&% 5?1/, &% 5?18
!olle!tion of
a'oiding litigation with !lient,
&% 5?56
!lient;s se!rets, use of in !olle!ting or esta-lishing,
D, 4?1012%3243
liens, use of,
&% :?/, D, :?1062A3213
!ontingent fee,
&% 5?50, D, 5?1062"3283, D, 5?1062%3, &% :?/, D, :?1062A3253
!ontra!t as to, desira-ilit. of written,
&% 5?19
!ontro'ers. o'er, a'oiding,
&% 5?56
deterination of, fa!tors to !onsider
a-ilit. of law.er,
&% 5?18, D, 5?1062"32/3
aount in'ol'ed,
D, 5?1062"3243
!ustoar.,
D, 5?1062"3263
effort required,
D, 5?1062"3213
e$lo.ent, li)elihood of $re!lu?
sion of other,
D, 5?1062"3253
e($erien!e of law.er,
&% 5?18, D, 5?1062"32/3
fee !ustoaril. !harged in lo!alit.,
D, 5?1062"3263
interests of !lient and law.er,
&% 5?1/
la-or required,
D, 5?1062"3213
nature of e$lo.ent,
&% 5?18
question in'ol'ed, diffi!ult. and
no'elt. of,
D, 5?1062"3213
relationshi$ with !lient, $rofes?
sional,
&% 5?1/, D, 5?1062"3263
re$utation of law.er,
&% 5?18, D, 5?1062/3
res$onsi-ilit. assued -. law.er,
&% 5?18
results o-tained,
&% 5?18, D, 5?1062"3243
s)ill requisite to ser'i!es,
&% 5?18
tie required,
&% 5?18, D, 5?1062"3213
t.$e of fee, fi(ed or !ontingent,
&% 5?18, D, 5?1062"3283
di'ision of,
&% 5?55, D, 5?10/, D, 6?105
esta-lishent of fee, use of !lient;s !onfiden!es and se!rets,
D, 4?1012%3243
e(!essi'e fee,
&% 5?1/, D, 5?1062A3
e($lanation of,
&% 5?1/, &% 5?18
illegal fee, $rohi-ition against,
D, 5?1062A3
$ersons a-le to $a. reasona-le
fee,
&% 5?1/, &% 5?18
$ersons onl. a-le to $a. a $artial
fee,
&% 5?16
$ersons without eans to $a. a
fee,
&% 5?54, &% 5?5:
reasona-le fee, rationale against
o'er!harging
&% 5?1/
refund of unearned $ortion to
!lient,
D, 5?110 2A3263
Felon.. S"" Dis!i$line of law.er, grounds for, illegal !ondu!t.
Fir nae. S"" Aae, use of, fir nae.
Fraewor) of law. S"" "ounds of law.
Fri'olous $osition, a'oiding,
&% /?4, D, /?105 2A3 213
Funds of !lient, $rote!tion of,
&% 9?:, D, 9?105
Future !ondu!t of !lient, !ounseling as to. S"" %lients, !ounseling.
=
B9eneral %ounselE designation,
D, 5?1052A3243
9ift to law.er -. !lient,
&% :?:
9ifts to tri-unal offi!er or e$lo.ee -. law.er,
D, /?1102A3
9o'ernent legal agen!ies, wor)ing with,
D, 5?1062%3253, D, 5?106 2D32132%3
9rie'an!e !oittee. S"" "ar asso!iations, dis!i$linar. authorit., assisting.
9uaranteeing $a.ent of !lient;s !ost and e($enses,
&% :?8, D, :?1062"3
'
Harassent, dut. to a'oid litigation,
in'ol'ing,
&% 5?60, D, 5?1092A3213,
D, /?1052A3213
as liiting $ra!ti!e,
&% 5?8, &% 5?14,
D, 5?1012"3253, D, 5?10:
as $artnershi$,
&% 5?16, D, 5?1052%3
as s$e!ialist,
&% 5?8, &% 5?14,
D, 5?1012"3253, D, 5?10:
I
=dentit. of !lient, dut. to re'eal,
&% /?16, &% 8?:
=llegal !ondu!t, as !ause for dis!i$line,
&% 1?:, D, 1?1052A3263,
D, /?1052A32/3
=$artialit. of tri-unal, aiding in the,
%anon /
=nsta-ilit., ental or eotional
of -ar a$$li!ant,
&% 1?6
of law.er,
&% 1?6, D, 5?1102"3263,
D, 5?1102%3243
re!ognition of reha-ilitation,
&% 1?6
=$ro$er influen!es, gift or loan to
<udi!ial offi!er,
&% /?64, D, /?1102A3
on <udgent of law.er. S"" Ad'erse effe!t on $rofessional <udgent of law.er.
=$ro'eent of legal s.ste,
&% 8?1, &% 8?5, &% 8?9
=n!o$eten!e, ental. S"" =nsta-ilit., ental or eotional4 +ental !o$eten!e of !lient.
=n!o$eten!e, $rofessional. S"" %o$eten!e, $rofessional.
=nde$endent $rofessional <udgent, dut. to $reser'e,
%anon :
=ndigent $arties
$ro'isions of legal ser'i!es to,
&% 5?54, &% 5?5:
re$resentation of,
&% 5?5:
=ntegrit. of legal $rofession, aintaining
Prea-le, &% 1?1, &% 1?4,
D, 1?101, &% 8?/
=ntent of !lient, as fa!tor in gi'ing ad'i!e,
&% /?:, &% /?6, D, /?105
=nterests of law.er. S"" Ad'erse effe!t on $rofessional <udgent of law.er, interests of law.er.
=nterests of other !lient. S"" Ad'erse effe!t on $rofessional <udgent of law.er, interests of other
!lients.
=nterests of third $erson. S"" Ad'erse effe!t on $rofessional <udgent of law.er, desires of third
$ersons.
=nterediar., $rohi-ition against use of,
&% :?51, &% :?56, &% :?54,
D, :?10/2A3, 2"3
=nter'iew,
with o$$osing $art.,
D, /?104
with news edia
&%? /?66, D, /?10/
with witness,
&% /?58, D, /?109
=n'estigation e($enses, ad'an!ing or guaranteeing $a.ent,
&% :?8, D, :?1062"3
7
Judges,
false stateents !on!erning
D, 8?105
i$ro$er influen!es on gifts to
&% /?64, D, /?1102A3
$ri'ate !ouni!ation with,
&% /?69, D, /?1102"3
is!ondu!t toward,
!riti!iss of,
&% 8?6
diso-edien!e of orders,
&% /?66, D, /?1062A3
false stateent regarding,
D, 8?105
nae in $artnershi$, use of,
&% 5?15, D, 5?1052"3
retireent fro -en!h,
&% 9?6
sele!tion of,
&% 8?6
Judgent of law.er. S"" Ad'erse effe!t on $rofessional <udgent of law.er.
Jur.,
arguents -efore,
&% /?5:, D, /?1052A3243, 2:3, 263
in'estigation of e-ers
&% /?60, D, /?1082&3
is!ondu!t of, dut. to re'eal,
&% /?65, D, /?108293
questioning e-ers of after their disissal,
&% /?59, D, /?1082D3
Gnowledge of intended !rie, re'ealing,
D, 4?1012%3263
L
Law fir. S"" Partnershi$.
Law offi!e. S"" Partnershi$
Law #!hool, wor)ing with legal aid offi!e or $u-li! defender offi!e s$onsored -.,
D, 5?1062D32132a3
Law.er?!lient $ri'ilege. S"" Attorne.?!lient $ri'ilege.
Law.er referral ser'i!es,
fee for listing,
$ro$riet. of $a.ing,
D, 5?1062%3213
request for referrals, $ro$riet. of,
D, 5?1062D3
wor)ing with,
&% 5?1:, D, 5?1062%32D3
La.en. S"" alo @nauthori7ed $ra!ti!e of law.
need of legal ser'i!es,
&% 5?6, &% 5?/, &% 5?8
re!ognition of legal $ro-les, need to i$ro'e,
&% 5?5, &% 8?6
sele!tion of law.er, need to fa!ilitate,
&% 5?9, &% 5?10, &% 8?6
Legal aid offi!es, wor)ing with,
&% 5?5:, D, 5?1062D3213
Legal !or$oration. S"" $rofessional legal !or$oration.
Legal dire!tor.. S"" Ad'ertising, legal dire!tories.
Legal do!uents of !lients, dut. to safeguard,
&% 4?5, &% 4?6
Legal edu!ation $rogras. S"" !ontinuing legal edu!ation $rogras.
Legal $ro-les, re!ognition of -. la.en,
&% 5?5, &% 8?6
Legal s.ste, dut. to i$ro'e,
%anon 8
Legislature
i$ro$er influen!e u$on,
&% 9?5, &% 9?6, &% 9?4, D, 8?1012A3, D, 9?1012"3,
D, 9?1012%3
re$resentation of !lient -efore,
&% /?1/, &% 8?4, &% 8?:
ser'ing as a e-er of,
&% 8?8, D, 8?101
Letterhead. S"" Ad'ertising, letterheads.
Lia-ilit. to !lient,
Prea-le, %anon /
Li!ensing of law.ers,
!ontrol of,
&% 6?1, &% 6?6, &% 6?4, &% 6?:, &% 6?6, &% 6?9, D, 6?101
oderni7ation of,
&% 6?:, &% 6?9, &% 8?6
Liens, attorne.s;,
&% :?/, D, :?1062A3
Liited $ra!ti!e, holding out as ha'ing,
&% 5?14, D, 5?1012"3253,
D, 5?10:
Litigation,
a!quiring an interest in,
&% :?/, &% :?8, D, :?1062A3
e($enses of ad'an!ing or guaranteeing $a.ent of,
&% :?/, &% :?8, D, :?1062"3
$ending, dis!ussion of in the edia,
&% /?66, D, /?10/
res$onsi-ilit. for !ondu!t of,
&% /?4, &% /?:, &% /?/, &% /?10, &% /?16, &% /?14, &% /?50, &% /?55, &% /?56, &% /?54, D,
/?105, D, /?106, D, /?106
to harass another, dut. to a'oid,
&% 5?60, D, 5?1102"3,
D, 5?1092A3213, &% /?10, &% /?14, D, /?1052A3213, D, /?1062A3
to ali!iousl. har another, dut. to a'oid,
&% 5?60, D, 5?1102"3, D, 5?1092A3213, &% /?10, &% /?14, D, /?1052A3213, D, /?1062A3
Li'ing e($enses of !lient, ad'an!es to !lient,
&% :?8, D, :?1062"3
Loan to <udi!ial offi!er,
&% /?64, D, /?1102A3
Lo.alt. to !lient. S"" Seal.
Lu$?su settleents,
D, :?106
M
+andator. withdrawal. S"" &$lo.ent, withdrawal fro, andator..
+ediator, law.er ser'ing as
&% :?50
+edi!al e($enses,
&% :?8, D, :?1062"3
+ental !o$eten!e of !lient, effe!t on re$resentation,
&% /?11, &% /?15
+ental !o$eten!e of law.er. S"" =nsta-ilit., ental or eotional.
+ilitar. legal ser'i!e offi!ers, -eing re!oended -. and !olla-orating with,
D, 5?1062D3253
+iniu fee s!hedule. S"" Fee for legal ser'i!es, deterination of, fa!tors to !onsider, iniu fee
s!hedule.
+isa$$ro$riation,
!onfiden!es and se!rets of !lient,
&% 4?1, &% 4?:, &% 4?6,
D, 4?1012"3263
$ro$ert. of !lient,
&% 9?:, &% 9?6, D, 9?105
+is!ondu!t. S"" alo Dis!i$line of law.er.
of !lient,
&% 5?56, &% 5?56, &% 5?60,
D, 5?1102A3, D, 5?1102"3213, D, 5?1102%3213, D, 4?1012%3, &% /?:, &% /?8, &% /?9, &% /?
10
of <uror,
D, /?1082D3, D, /?1082F3,
D, /?108293
of law.er, dut. to re'eal to $ro$er offi!ials,
D, 1?106
+isleading ad'ertiseent or $rofessional noti!e, $rohi-ition of,
&% 5?9, &% 5?11, &% 5?16, &% 5?14, D, 5?101, D, 5?1052"3, 2%3
+oral !hara!ter, requireent of,
&% 1?5, &% 1?6, &% 1?:, D, 1?105
+oral fa!tors !onsidered in !ounseling,
&% /?6, &% /?:, &% /?9
+oral tur$itude, !rie of as ground for dis!i$line,
D, 1?1052A3263
+ulti$le !lients, re$resentation of,
&% :?14, &% :?50, D, :?10:, D, :?106
N
Aae, use of,
assued nae,
&% 5?11, D, 5?1052"3
de!eased $artner;s
&% 5?11, D, 5?1052A3243,
D, 5?1052"3
fir nae,
&% 5?11, &% 5?15, D, 5?1052"3
isleading nae,
&% 5?11, D, 5?1052"3
$artners who hold $u-li! offi!e,
&% 5?15, D, 5?1052"3
$rede!essor firs,
&% 5?11, D, 5?1052A3243, 2"3
retired $artner,
&% 5?11, D, 5?1052A3243, 2"3
trade nae,
&% 5?11, D, 5?1052"3
withdrawn $artner;s,
&% 5?11, D, 5?1042"3
Aeed for legal ser'i!es, suggestion of. S"" Ad'i!e -. law.er to se!ure legal ser'i!es.
Aegligen!e of law.er,
%anon 6
Aegotiations with o$$osite $art.,
&% /?18, &% /?50, D, /?104, D, /?10:
Aeigh-orhood law offi!es, wor)ing with,
&% 5?6, &% 5?/,
D, 5?1062D32132-3
Aews$a$ers
ad'ertising in,
&% 5?8, &% 5?9, &% 5?10, D, 5?1012A3, 2"3, 2%3, 2&3, 2F3, 2=3
news stories in,
&% 5?:, D, /?10/
news release in, during or $ending trial
&% /?66, D, /?10/
Aon?eritorious $osition, dut. to a'oid,
D, 5?1092A3253, 263, &% /?4, &% /?:, &% /?14, D, /?1052A3213, 253, D, /?1062A3253, 263
Aon?$rofit organi7ations, legal aid ser'i!es of,
&% 5?54, &% 5?5:,
D, 5?1062D3213, 243,
D, 5?1042A3253, 263
Aoti!es. S"" Ad'ertising.
O
O-<e!ti'es of !lient, dut. to see),
&% /?1, &% /?10, D, /?105
BOf %ounselE designation,
D, 5?1052A3243
Offensi'e ta!ti!s -. law.er,
&% /?4, &% /?:, &% /?10,
D, /?105, D, /?104, D, /?10:
Offi!e -uilding dire!tor.. S"" ad'ertising, -uilding dire!tor..
Offi!e sign,
D, 5?1052A3263
O$$osing !ounsel,
&% :?9, &% /?50, &% /?56, &% /?6:, &% /?6/, &% /?68, D, /?104, D, /?1062%32:3, D, /?
1102"3253, 263
O$$osing $art., !ouni!ations with,
&% /?18, D, /?104
P
Partnershi$,
ad'ertising, S"" Ad'ertising !onfli!ts of interest
D, :?10:
de!eased e-er,
$a.ents to estate of,
&% 6?8
use of nae,
&% 5?11, D, 5?1052A3243, 2"3
dissol'ed, use of nae of,
&% 5?11, &% 5?15, &% 5?16,
D, 5?1052A3243, 2"3, 2%3
holding out as, falsel.,
&% 5?16, D, 5?1052"3, 2%3
e-ers li!ensed in different <urisdi!tions,
D, 5?1052D3
nae,
&% 5?11, &% 5?15, D, 5?1052"3
none(istent, holding out falsel.,
&% 5?16, D, 5?1052"3, 2%3
non?law.er, with,
&% 6?8, D, 6?106
$rofessional !or$oration, with,
D, 5?1052%3
re!oending $rofessional e$lo.ent of,
&% 5?9
Patent $ra!titioner,
&% 5?14, D, 5?10:?10:2A3213
Pa.ent to o-tain re!oendation or e$lo.ent, $rohi-ition against,
&% 5?8, D, 5?1062"3, 2D3
Pending litigation, dis!ussion of in edia,
&% /?66, D, /?10/
Per<ur.,
&% /?:, &% /?6, &% /?56, &% /?58, D, /?1052A3243, 263, 2/3, D, /?1052"3
Personal interests of law.er. S"" Ad'erse effe!t on $rofessional <udgent of law.er, interests of
law.er.
Personal o$inion of !lient;s !ause,
&% 5?5/, &% 5?58, &% 5?59, &% /?54, D, /?1062%3243
Politi!al a!ti'it.,
&% 8?8, D, 8?101, D, 8?106
Politi!al !onsiderations in sele!tion of <udges,
&% 8?6, D, 8?106
Potentiall. differing interests. S"" Ad'erse effe!t on $rofessional <udgeent of law.er.
Pra!ti!e of law, unauthori7ed,
%anon 6
Pre<udi!e to right of !lient, dut. to a'oid,
&% 5?65, D, 5?1102A3253, 2%3263, 2%3243, D, /?1012A3263
Preser'ation of !onfiden!es of !lient,
%anon 4
Preser'ation of se!rets of !lient,
%anon 4
Pressure on law.er -. third $erson. S"" Ad'erse effe!t on $rofessional <udgent of law.er.
Pri'ilege, attorne.?!lient. S"" Attorne.?!lient $ri'ilege.
Pro!edures, dut. to hel$ i$ro'e,
&% 8?1, &% 8?5, &% 8?9
Professional !ard of law.er. S"" Ad'ertising, !ards, $rofessional.
Professional i$ro$riet., a'oiding a$$earan!e of,
&% :?1, %anon 9
Professional <udgent, dut. to $rote!t inde$enden!e of,
%anon :
Professional legal !or$orations,
Definitions 253, 243, D, 5?1052"3, &% :?54, D, :?10/2%3
Professional noti!es. S"" Ad'ertising.
Professional status, res$onsi-ilit. not to islead !on!erning,
&% 5?11, &% 5?15, &% 5?14,
D, 5?1052"3, 2%3, 2D3
Profit?sharing with la. e$lo.ees, authori7ation of,
&% 6?8, D, 6?1052A3263
Pro$ert. of !lient, handling,
&% 9?:, D, 9?105
Prose!uting attorne., dut. of,
&% /?16, &% /?14, D, /?106
Pu-li! defender offi!e, wor)ing with,
D, 5?1062%3253, D, 5?1062D3213
Pu-li! e$lo.ent, retireent fro,
&% 9?6, D, 9?1012"3
Pu-li! offi!e, dut. of holder,
&% 8?8, D, 8?101
Pu-li! o$inion, irrele'ant to a!!e$tan!e of e$lo.ent,
&% 5?56, &% 5?5/, &% 5?59
Pu-li! $rose!utor. S"" Prose!uting attorne., dut. of.
Pu-li!ation of arti!les for la. $ress,
&% 5?5, &% 5?:
Pu-li!it., !oer!ial. S"" Ad'ertising, !oer!ial $u-li!it..
Pu-li!it., trial. S"" *rial $u-li!it..
>
Huasi?<udi!ial $ro!eedings,
&% /?1:, &% /?16, D, /?10/2H3, &% 8?4
R
,adio -road!asting. S"" Ad'ertising, radio.
,easona-le fee. S"" Fee for legal ser'i!es, aount of
,e-ate, $ro$riet. of a!!e$ting,
&% 5?54, &% 5?5:
,e!ognition of legal $ro-les, aiding la.en in,
&% 5?1, &% 5?:
,e!oendation of -ar a$$li!ant, dut. of law.er to satisf. hiself that a$$li!ant is qualified,
&% 1?6, D, 1?1012"3
,e!oendation of $rofessional e$lo.ent,
&% 5?8, &% 5?1:, D, 5?106
,e!ords of funds, se!urities, and $ro$erties of !lients,
&% 9?:, D, 9?1052"3
,eferral ser'i!e. S"" Law.er referral
ser'i!es
,eha-ilitation of -ar a$$li!ant or law.er, re!ognition of,
&% 1?6
,efund of unearned fee when withdrawing, dut. to gi'e to !lient,
&% 5?65, D, 5?110
,egulation of legal $rofession,
%anons 6 and 8, &% 6?1, &% 6?6, &% 6?9, &% 8?/
,e$resentation of ulti$le !lients. S"" Ad'erse effe!t on $rofessional <udgent of law.er, interest of
other !lients.
,e$utation of law.er,
&% 5?6, &% 5?/
,equests for re!oendation for e$lo.ent,
&% 5?8, D, 5?1062%3
,equireents for -ar adission,
&% 1?5, &% 1?6, D, 1?1012"3
,es$e!t for law,
&% 1?:
,estri!ti'e !o'enant,
D, 5?108
,etention of e$lo.ent. S"" &$lo.ent.
,etireent. S"" alo Aae, use of retired $artner.
fro <udi!ial offi!e,
&% 9?6, D, 9?1012A3
fro $u-li! e$lo.ent,
&% 9?6, D, 9?1012"3
$lan for la.en e$lo.ees,
&% 6?8, D, 6?105263
,e'ealing of !onfiden!es,
&% 4?1, &% 4?5, &% 4?6,
D, 4?1012"3213, 2%3, 2D3
,e'ealing of se!rets,
&% 4?1, &% 4?5, &% 4?6, D, 4?1012"3213, 2%3, 2D3
,e'ealing to tri-unal <ur., is!ondu!t,
&% /?65, D, /?108293
,unner, $rohi-ition against use of,
&% 5?8, D, 5?1062"3
S
#an!tion for 'iolating dis!i$linar. rules,
Preliinar. stateent
#e!rets of !lient,
%anon 4
#ele!tion of law.er,
&% 5?6, &% 5?/, &% 5?8, &% 5?9, &% 5?11, &% 5?14, &% 5?1:,
D, 5?101
#ele!tion of <udges, dut. of law.ers,
&% 8?6, D, 8?1052A3
#elf interest of law.er. S"" Ad'erse effe!t on $rofessional <udgent of law.er, interests of law.er.
#elf?re$resentation, $ri'ilege of,
&% 6?/
#ettleent agreeent,
D, :?106
#oli!itation of -usiness. S"" Ad'ertising4 ,e!oendation of $rofessional e$lo.ent.
#$e!ialist, holding out as,
&% 5?14, D, 5?10:
#$e!iali7ation,
adiralt.,
&% 5?14,
holding out as ha'ing,
&% 5?14, D, 5?10:
$atents,
&% 5?14, D, 5?10:2A3213
tradear),
&% 5?14, D, 5?10:2A3213
#$ee!hes to la. grou$s,
&% 5?5, &% 5?:
#tate of ind of !lient, effe!t of in ad'ising hi,
&% /?11, &% /?15
#tate;s attorne.. S"" Prose!uting attorne..
B#tirring u$ litigation.E S"" Ad'ertising4 Ad'i!e -. law.er to se!ure legal ser'i!es4 ,e!oendation
of $rofessional e$lo.ent.
#to!)holders of !or$oration, !or$orate !ounsel;s allegian!e to,
&% :?18
#uit to harass another, dut. to a'oid,
&% 5?60, D, 5?1092A3213, &% /?10, &% /?14, D, /?1052A3213
#uit to ali!iousl. har another dut., to a'oid,
&% 5?60, D, 5?1092A3213, &% /?10, &% /?14, D, /?1052A3213
#uggested fee s!hedule. S"" Fee for legal ser'i!es, deterination of iniu fee s!hedule.
#uggestion of need for legal ser'i!es. S"" Ad'i!e -. law.er to se!ure legal ser'i!es.
#u$$ression of e'iden!e,
&% /?5/, D, /?1052A3253,
D, /?1062"3, D, /?1062%32/3
T
*e!hni!al and $rofessional li!enses,
D, 5?1012"32153, D, 5?1052&3
*erination of e$lo.ent. S"" %onfiden!es of !lient4 &$lo.ent, withdrawal fro.
*hird $ersons, desires of. S"" ad'erse effe!t on $rofessional <udgent of law.er, desire of third
$ersons.
*hreatening !riinal $ro!ess,
&% /?51, D, /?10:2A3
*radear) $ra!titioner,
&% 5?14, D, 5?10:2A3213
*rade nae. S"" Aae, use of trade nae.
*rial $u-li!it.,
&% /?66, D, /?10/
*rial ta!ti!s,
%anon /
*ri-unal, re$resentation of !lient -efore,
%anon /
*rustee, !lient naing law.er as,
&% :?6
.
@nauthori7ed $ra!ti!e of law. S"" alo Di'ision of legal fees4 Partnershi$, non?law.er, with.
aiding a la.an in the, $rohi-ited,
&% 6?8, D, 6?1012A3
distinguished fro delegation of tas)s to su-$rofessionals,
&% 6?:, &% 6?6, D, 6?1052A3263
fun!tional eaning of,
&% 6?:, &% 6?9
self?re$resentation -. la.an not in!luded in,
&% 6?/
@ndignified !ondu!t, dut. to a'oid,
&% /?6/, &% /?68
@nlawful !ondu!t, aiding !lient in,
D, /?1052A3263, 2/3, 2"3213
@n$o$ular $art., re$resentation of,
&% 5?5/, &% 5?59, &% 5?60,
&% 5?61
@nreasona-le fees. S"" Fee for legal ser'i!es, aount of.
@nsoli!ited ad'i!e. S"" ad'i!e -. law.er to o-tain legal ser'i!es.
?
Far.ing interests of !lients. S"" Ad'erse effe!t on $rofessional <udgent of a law.er, interests of
other !lients.
Fenireen. S"" Jur..
Fiolation of dis!i$linar. rule as !ause for dis!i$line,
D, 1?1052A3 213, 253
Fiolation of law as !ause for dis!i$line,
&% 1?:, D, 1?105263, 243, &% /?56, D, /?1052A3263?283
Foluntar. gifts -. !lients to law.er,
&% :?:
Folunteered ad'i!e to se!ure legal ser'i!es. S"" ad'i!e -. law.er to se!ure legal ser'i!es.
:
>ai'er of $osition of !lient,
D, /?1012"3213
>ill of !lient, gift to law.er in,
&% :?:
>ithdrawal. S"" &$lo.ent, withdrawal fro.
>itness,
!ouni!ations with,
&% /?5/, &% /?58, D, /?109
false testion. -.,
&% /?56, &% /?58, D, /?1052"3253
law.er a!ting as,
&% :?9, &% :?10, D, :?1012"3, D, :?105
e-er of law.er;s fir a!ting as,
D, :?1012"3, D, :?105
$a.ent to,
&% /?58, D, /?1092%3
>riting for la. $u-li!ation, a'oiding a$$earan!e of gi'ing general solution,
&% 5?:
9
Seal
general dut. of,
&% /?1, D, /?101
liitations u$on,
&% /?1, &% /?5, &% /?6, &% /?:, &% /?6, &% /?/, &% /?8, &% /?9, &% /?10, &% /?1:, &% /?16,
&% /?1/, &% /?51, &% /?55, &% /?5:, &% /?56, &% /?5/, &% /?66, &% /?6/, &% /?68, &% /?69,
D, /?110, D, /?105, D, /?10: