CLIENT-LAWYER RELATIONSHIP

RULE 1.0 DEFINITIONS

(e) "Informed consent" denotes the agreement by a person to a proposed course of

conduct after the lawyer has communicated adequate information and explanation
about the material risks of and reasonably available alternatives to the proposed course
of conduct.

(k) “Screened denotes the isolation of a lawyer from any participation in a matter
through the timely imposition of procedures within a firm that are reasonably adequate
under the circumstances to protect information that the isolated lawyer is obligated to
protect under these Rules or other law.”

RULE 1.1       COMPETENCE

Comment 5
“… An agreement between the lawyer and the client regarding the scope of the
representation may limit the matters for which the lawyer is responsible.”

RULE 1.2       SCOPE OF REPRESENTATION AND ALLOCATION OF AUTHORITY

BETWEEN CLIENT AND LAWYER
(a) Subject to paragraphs (c) and (d), a lawyer shall abide by a client's decisions
concerning the objectives of representation and, as required by Rule 1.4, shall consult
with the client as to the means by which they are to be pursued. A lawyer may take such
action on behalf of the client as is impliedly authorized to carry out the representation. A
lawyer shall abide by a client's decision whether to settle a matter. In a criminal case,
the lawyer shall abide by the client's decision, after consultation with the lawyer, as to a
plea to be entered, whether to waive jury trial and whether the client will testify.

(b) A lawyer's representation of a client, including representation by appointment,

does not constitute an endorsement of the client's political, economic, social or moral
views or activities.

(c) A lawyer may limit the scope of the representation if the limitation is reasonable
under the circumstances and the client gives informed consent.

(d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the
lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences
of any proposed course of conduct with a client and may counsel or assist a client to
make a good faith effort to determine the validity, scope, meaning or application of the
law.

Comment 1
 Paragraph (a) confers upon the client the ultimate authority to determine the
purposes to be served by legal representation, within the limits imposed by law
and the lawyer's professional obligations …
Comment 2
On occasion, however, a lawyer and a client may disagree about the means to be
used to accomplish the client's objectives. Clients normally defer to the special
knowledge and skill of their lawyer with respect to the means to be used to
accomplish their objectives, particularly with respect to technical, legal and
tactical matters. Conversely, lawyers usually defer to the client regarding such
questions as the expense to be incurred and concern for third persons who might
be adversely affected.
Comment 3
At the outset of a representation, the client may authorize the lawyer to take
specific action on the client's behalf without further consultation. Absent a
material change in circumstances and subject to Rule 1.4, a lawyer may rely on
such an advance authorization. The client may, however, revoke such authority at
any time.

RULE 1.3       DILIGENCE

A lawyer shall act with reasonable diligence and promptness in representing a client.

RULE 1.4       COMMUNICATIONS

(a) A lawyer shall:
(1) promptly inform the client of any decision or circumstance
with respect to which the client's informed consent, as defined in Rule 1.0(e), is
required by these Rules
(2) reasonably consult with the client about the means by which the client's
objectives are to be accomplished;
(3) keep the client reasonably informed about the status of the matter;
(4) promptly comply with reasonable requests for information; and
(5) consult with the client about any relevant limitation on the lawyer's conduct when
the lawyer knows that the client expects assistance not permitted by the Rules of
Professional Conduct or other law.
(b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to
make informed decisions regarding the representation.

Comment 2
For example, a lawyer who receives from opposing counsel an offer of settlement
in a civil controversy or a proffered plea bargain in a criminal case must
promptly inform the client of its substance unless the client has previously
indicated that the proposal will be acceptable or unacceptable or has authorized
the lawyer to accept or to reject the offer.
Comment 3
In other circumstances, such as during a trial when an immediate decision must be
made, the exigency of the situation may require the lawyer to act without
prior consultation.
 Comment 5
For example, when there is time to explain a proposal made in a negotiation, the
lawyer should review all important provisions with the client before proceeding to
an agreement. In litigation a lawyer should explain the general strategy and
prospects of success and ordinarily should consult the client on tactics that are
likely to result in significant expense or to injure or coerce others. On the other
hand, a lawyer ordinarily will not be expected to describe trial or negotiation
strategy in detail.

RULE 1.5       FEES

(a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an
unreasonable amount for expenses. The factors to be considered in determining the
reasonableness of a fee include the following:
(1) the time and labor required, the novelty and difficulty of the questions involved,
and the skill requisite to perform the legal service properly;
(2) the likelihood, if apparent to the client, that the acceptance of the particular
employment will preclude other employment by the lawyer;
(3) the fee customarily charged in the locality for similar legal services;
(4) the amount involved and the results obtained;
(5) the time limitations imposed by the client or by the circumstances;
(6) the nature and length of the professional relationship with the client;
(7) the experience, reputation, and ability of the lawyer or lawyers performing the
services; and
(8) whether the fee is fixed or contingent.

Comment 1
“The factors specified in (1) through (8) are not exclusive. Nor will each factor be
relevant in each instance. … A lawyer may seek reimbursement for the cost of
services performed in-house, such as copying, or for other expenses incurred in-
house, such as telephone charges, either by charging a reasonable amount to which
the client has agreed in advance or by charging an amount that reasonably reflects the
cost incurred by the lawyer”

(b) The scope of the representation and the basis or rate of the fee and expenses for which the
client will be responsible shall be communicated to the client, preferably in writing,
before or within a reasonable time after commencing the representation, except when
the lawyer will charge a regularly represented client on the same basis or rate. Any
changes in the basis or rate of the fee or expenses shall also be communicated to the
client.

Comment 2
“When the lawyer has regularly represented a client, they ordinarily will have
evolved an understanding concerning the basis or rate of the fee and the expenses for
which the client will be responsible. In a new client-lawyer relationship, however, an
understanding as to fees and expenses must be promptly established. … A written
 statement concerning the terms of the engagement reduces the possibility of
misunderstanding.”

(c) A fee may be contingent on the outcome of the matter for which the service is rendered,
except in a matter in which a contingent fee is prohibited by paragraph (d) or other law. A
contingent fee agreement shall be in a writing signed by the client and shall state the
method by which the fee is to be determined, including the percentage or percentages
that shall accrue to the lawyer in the event of settlement, trial or appeal; litigation and
other expenses to be deducted from the recovery; and whether such expenses are to be
deducted before or after the contingent fee is calculated. The agreement must clearly
notify the client of any expenses for which the client will be liable whether or not the
client is the prevailing party. Upon conclusion of a contingent fee matter, the lawyer
shall provide the client with a written statement stating the outcome of the matter and, if
there is a recovery, showing the remittance to the client and the method of its
determination.

Comment 3
“Contingent fees, like any other fees, are subject to the reasonableness standard of
paragraph (a) of this Rule. In determining whether a particular contingent fee is
reasonable, or whether it is reasonable to charge any form of contingent fee, a lawyer
must consider the factors that are relevant under the circumstances. Applicable law
may impose limitations on contingent fees, such as a ceiling on the percentage
allowable, or may require a lawyer to offer clients an alternative basis for the fee.
Applicable law also may apply to situations other than a contingent fee, for example,
government regulations regarding fees in certain tax matters.”
Comment 5
“An agreement may not be made whose terms might induce the lawyer improperly to
curtail services for the client or perform them in a way contrary to the client's interest.
For example, a lawyer should not enter into an agreement whereby services are to be
provided only up to a stated amount when it is foreseeable that more extensive
services probably will be required, unless the situation is adequately explained to the
client. Otherwise, the client might have to bargain for further assistance in the midst
of a proceeding or transaction. However, it is proper to define the extent of services in
light of the client's ability to pay. A lawyer should not exploit a fee arrangement
based primarily on hourly charges by using wasteful procedures.”

(d) A lawyer shall not enter into an arrangement for, charge, or collect:
(1) any fee in a domestic relations matter, the payment or amount of which is
contingent upon the securing of a divorce or upon the amount of alimony or support,
or property settlement in lieu thereof; or
(2) a contingent fee for representing a defendant in a criminal case.

Comment 6
“Paragraph (d) prohibits a lawyer from charging a contingent fee in a domestic
relations matter when payment is contingent upon the securing of a divorce or upon
the amount of alimony or support or property settlement to be obtained. This
 provision does not preclude a contract for a contingent fee for legal
representation in connection with the recovery of post-judgment balances due
under support, alimony or other financial orders because such contracts do not
implicate the same policy concerns.” (emphasis added)

(e) A division of a fee between lawyers who are not in the same firm may be made only if:
(1) the division is in proportion to the services performed by each lawyer or each
lawyer assumes joint responsibility for the representation;
(2) the client agrees to the arrangement, including the share each lawyer will receive,
and the agreement is confirmed in writing; and
(3) the total fee is reasonable.

Comment 7
“A division of fee is a single billing to a client covering the fee of two or more
lawyers who are not in the same firm. A division of fee facilitates association of more
than one lawyer in a matter in which neither alone could serve the client as well, and
most often is used when the fee is contingent and the division is between a
referring lawyer and a trial specialist.”

RULE 1.6       CONFIDENTIALITY OF INFORMATION

(a) “A lawyer shall not reveal information relating to the representation of a client unless the
client gives informed consent, the disclosure is impliedly authorized in order to carry out the
representation or the disclosure is permitted by paragraph (b).”
(b) A lawyer may reveal information relating to the representation of a client to the extent
the lawyer reasonably believes necessary:
(1) to prevent reasonably certain death or substantial bodily harm;
(2) to prevent the client from committing a crime or fraud that is reasonably certain
to result in substantial injury to the financial interests or property of another and in
furtherance of which the client has used or is using the lawyer's services;
(3) to prevent, mitigate or rectify substantial injury to the financial interests or
property of another that is reasonably certain to result or has resulted from the client's
commission of a crime or fraud in furtherance of which the client has used the
lawyer's services;
(4) to secure legal advice about the lawyer's compliance with these Rules;
(5) to establish a claim or defense on behalf of the lawyer in a controversy between
the lawyer and the client, to establish a defense to a criminal charge or civil claim
against the lawyer based upon conduct in which the client was involved, or to respond
to allegations in any proceeding concerning the lawyer's representation of the client;
or
(6) to comply with other law or a court order.

Comment 2
“A fundamental principle in the client-lawyer relationship is that, in the
absence of the client's informed consent, the lawyer must not reveal
information relating to the representation. … This contributes to the trust
that is the hallmark of the client-lawyer relationship. The client is
 thereby encouraged to seek legal assistance and to communicate fully
and frankly with the lawyer even as to embarrassing or legally
damaging subject matter. The lawyer needs this information to represent
the client effectively and, if necessary, to advise the client to refrain from
wrongful conduct.
Comment 3
The term "substantial" refers to the seriousness of the possible offense and
not the quantum of evidence of which the lawyer is aware.
A report should be made to the bar disciplinary agency unless some
other agency, such as a peer review agency, is more appropriate in the
circumstances. Similar considerations apply to the reporting of judicial
misconduct.
Comment 5
“[5] Except to the extent that the client's instructions or special
circumstances limit that authority, a lawyer is impliedly authorized to
make disclosures about a client when appropriate in carrying out the
representation. In some situations, for example, a lawyer may be impliedly
authorized to admit a fact that cannot properly be disputed or to make a
disclosure that facilitates a satisfactory conclusion to a matter. Lawyers in a
firm may, in the course of the firm's practice, disclose to each other
information relating to a client of the firm, unless the client has
instructed that particular information be confined to specified lawyers.”
Comment 6
“Paragraph (b)(1) recognizes the overriding value of life and physical
integrity and permits disclosure reasonably necessary to prevent
reasonably certain death or substantial bodily harm. Such harm is
reasonably certain to occur if it will be suffered imminently or if there is a
present and substantial threat that a person will suffer such harm at a later
date if the lawyer fails to take action necessary to eliminate the threat. Thus,
a lawyer who knows that a client has accidentally discharged toxic
waste into a town's water supply may reveal this information to the
authorities if there is a present and substantial risk that a person who drinks
the water will contract a life-threatening or debilitating disease and the
lawyer's disclosure is necessary to eliminate the threat or reduce the number
of victims.”
Comment 7
“Paragraph (b)(2) is a limited exception to the rule of confidentiality that
permits the lawyer to reveal information to the extent necessary to enable
affected persons or appropriate authorities to prevent the client from
committing a crime or fraud, as defined in Rule 1.0(d), that is reasonably
certain to result in substantial injury to the financial or property interests of
another and in furtherance of which the client has used or is using the
lawyer's services. Such a serious abuse of the client-lawyer relationship by
the client forfeits the protection of this Rule. The client can, of course,
prevent such disclosure by refraining from the wrongful conduct. Although
paragraph (b)(2) does not require the lawyer to reveal the client's
 misconduct, the lawyer may not counsel or assist the client in conduct
the lawyer knows is criminal or fraudulent. …”
Comment 10
“[10] Where a legal claim or disciplinary charge alleges complicity of the
lawyer in a client's conduct or other misconduct of the lawyer involving
representation of the client, the lawyer may respond to the extent the
lawyer reasonably believes necessary to establish a defense. The same is
true with respect to a claim involving the conduct or representation of a
former client. Such a charge can arise in a civil, criminal, disciplinary or
other proceeding and can be based on a wrong allegedly committed by the
lawyer against the client or on a wrong alleged by a third person, for
example, a person claiming to have been defrauded by the lawyer and client
acting together.”
Comment 11 (Pay your Lawyer)
“[11] A lawyer entitled to a fee is permitted by paragraph (b)(5) to prove the
services rendered in an action to collect it. This aspect of the rule expresses
the principle that the beneficiary of a fiduciary relationship may not
exploit it to the detriment of the fiduciary.”
Comment 12
“[12] Other law may require that a lawyer disclose information about a
client. Whether such a law supersedes Rule 1.6 is a question of law beyond
the scope of these Rules.”
Comment 17
“[17] When transmitting a communication that includes information relating
to the representation of a client, the lawyer must take reasonable precautions
to prevent the information from coming into the hands of unintended
recipients. This duty, however, does not require that the lawyer use
special security measures if the method of communication affords a
reasonable expectation of privacy.”

RULE 1.7       CONFLICT OF INTEREST: CURRENT CLIENTS

(a) Except as provided in paragraph (b), a lawyer shall not represent a client if the
representation involves a concurrent conflict of interest. A concurrent conflict of
interest exists if:
(1) the representation of one client will be directly adverse to another client; or
(2) there is a significant risk that the representation of one or more clients will
be materially limited by the lawyer's responsibilities to another client, a former
client or a third person or by a personal interest of the lawyer.

(b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a),
a lawyer may represent a client if:
(1) the lawyer reasonably believes that the lawyer will be able to provide
competent and diligent representation to each affected client;
(2) the representation is not prohibited by law;
 (3) the representation does not involve the assertion of a claim by one client
against another client represented by the lawyer in the same litigation or other
proceeding before a tribunal; and
(4) each affected client gives informed consent, confirmed in writing.

Comment 1
“Loyalty and independent judgment are essential elements in the lawyer's
relationship to a client. Concurrent conflicts of interest can arise from the
lawyer's responsibilities to another client, a former client or a third person
or from the lawyer's own interests. For specific Rules regarding certain
concurrent conflicts of interest …”
Comment 2
“1) clearly identify the client or clients; 2) determine whether a conflict of
interest exists; 3) decide whether the representation may be undertaken despite
the existence of a conflict, i.e., whether the conflict is consentable; and 4) if
so, consult with the clients affected under paragraph (a) and obtain their
informed consent, confirmed in writing. …”
Comment 3
“A conflict of interest may exist before representation is undertaken, in which
event the representation must be declined, unless the lawyer obtains the
informed consent of each client under the conditions of paragraph (b). To
determine whether a conflict of interest exists, a lawyer should adopt reasonable
procedures …”
Comment 4
“If a conflict arises after representation has been undertaken, the lawyer
ordinarily must withdraw from the representation, unless the lawyer has
obtained the informed consent of the client …”
Comment 6
“[6] Loyalty to a current client prohibits undertaking representation
directly adverse to that client without that client's informed consent. Thus,
absent consent, a lawyer may not act as an advocate in one matter against a
person the lawyer represents in some other matter, even when the matters are
wholly unrelated. …”
Comment 8
“[8] Even where there is no direct adverseness, a conflict of interest exists if
there is a significant risk that a lawyer's ability to consider, recommend or
carry out an appropriate course of action for the client will be materially
limited as a result of the lawyer's other responsibilities or interests. …”
“For example, a lawyer asked to represent several individuals seeking to form a
joint venture is likely to be materially limited in the lawyer's ability to
recommend or advocate all possible positions that each might take because of
the lawyer's duty of loyalty to the others.”
Comment 11
[11] When lawyers representing different clients in the same matter or in
substantially related matters are closely related by blood or marriage, there
may be a significant risk that client confidences will be revealed and that the
 lawyer's family relationship will interfere with both loyalty and independent
professional judgment. As a result, each client is entitled to know of the
existence and implications of the relationship between the lawyers before the
lawyer agrees to undertake the representation.
Comment 18
Informed consent requires that each affected client be aware of the relevant
circumstances and of the material and reasonably foreseeable ways that the
conflict could have adverse effects on the interests of that client. See Rule
1.0(e) (informed consent). The information required depends on the nature of
the conflict and the nature of the risks involved. When representation of
multiple clients in a single matter is undertaken, the information must include
the implications of the common representation, including possible effects on
loyalty, confidentiality and the attorney-client privilege and the advantages
and risks involved. See Comments [30] and [31] (effect of common
representation on confidentiality).
Comment 20
Rather, the writing is required in order to impress upon clients the seriousness
of the decision the client is being asked to make and to avoid disputes or
ambiguities that might later occur in the absence of a writing.
Comment 23
The potential for conflict of interest in representing multiple defendants in a
criminal case is so grave that ordinarily a lawyer should decline to represent
more than one codefendant. On the other hand, common representation of
persons having similar interests in civil litigation is proper if the requirements of
paragraph (b) are met.
Comment 24
[24] Ordinarily a lawyer may take inconsistent legal positions in different
tribunals at different times on behalf of different clients. The mere fact that
advocating a legal position on behalf of one client might create precedent
adverse to the interests of a client represented by the lawyer in an unrelated
matter does not create a conflict of interest
Comment 31
[29] In considering whether to represent multiple clients in the same matter, a
lawyer should be mindful that if the common representation fails because the
potentially adverse interests cannot be reconciled, the result can be additional
cost, embarrassment and recrimination. Ordinarily, the lawyer will be forced
to withdraw from representing all of the clients if the common
representation fails. In some situations, the risk of failure is so great that
multiple representation is plainly impossible.

RULE 1.8       CONFLICT OF INTEREST: CURRENT CLIENTS: SPECIFIC RULES

(h) Cannot Limit Malpractice Liability
A lawyer shall not:
(1) make an agreement prospectively limiting the lawyer's liability to a client
for malpractice unless the client is independently represented in making
the agreement; or
 (2) settle a claim or potential claim for such liability with an unrepresented
client or former client unless that person is advised in writing of the
desirability of seeking and is given a reasonable opportunity to seek the
advice of independent legal counsel in connection therewith.

Comment 14
i. “This paragraph does not, however, prohibit a lawyer from entering
into an agreement with the client to arbitrate legal malpractice claims,
provided such agreements are enforceable and the client is fully informed
of the scope and effect of the agreement.”

(j) Sexual Relations With Client

A lawyer shall not have sexual relations with a client unless a consensual sexual
relationship existed between them when the client-lawyer relationship commenced.
Comment 17
The relationship between lawyer and client is a fiduciary one in which the
lawyer occupies the highest position of trust and confidence. The
relationship is almost always unequal; thus, a sexual relationship between
lawyer and client can involve unfair exploitation of the lawyer's fiduciary
role, in violation of the lawyer's basic ethical obligation not to use the trust
of the client to the client's disadvantage.”
“In addition, such a relationship presents a significant danger that, because
of the lawyer's emotional involvement, the lawyer will be unable to
represent the client without impairment of the exercise of independent
professional judgment. Moreover, a blurred line between the professional
and personal relationships may make it difficult to predict to what extent
client confidences will be protected by the attorney-client evidentiary
privilege, since client confidences are protected by privilege only when they
are imparted in the context of the client-lawyer relationship.
“Because of the significant danger of harm to client interests and because
the client's own emotional involvement renders it unlikely that the client
could give adequate informed consent, this Rule prohibits the lawyer from
having sexual relations with a client regardless of whether the
relationship is consensual and regardless of the absence of prejudice to the
client.
Comment 18
“Sexual relationships that predate the client-lawyer relationship are not
prohibited. Issues relating to the exploitation of the fiduciary relationship
and client dependency are diminished when the sexual relationship existed
prior to the commencement of the client-lawyer relationship. However,
before proceeding with the representation in these circumstances, the
lawyer should consider whether the lawyer's ability to represent the
client will be materially limited by the relationship. See Rule 1.7(a)(2).”
Comment 19
 “When the client is an organization, paragraph (j) of this Rule prohibits a
lawyer for the organization (whether inside counsel or outside counsel)
from having a sexual relationship with a constituent of the
organization who supervises, directs or regularly consults with that
lawyer concerning the organization's legal matters.”

RULE 1.9       DUTIES TO FORMER CLIENTS

(a) A lawyer who has formerly represented a client in a matter shall not thereafter
represent another person in the same or a substantially related matter in which that
person's interests are materially adverse to the interests of the former client unless the
former client gives informed consent, confirmed in writing.”

Comment 1
After termination of a client-lawyer relationship, a lawyer has certain
continuing duties with respect to confidentiality and conflicts of interest
and thus may not represent another client except in conformity with this
Rule.”
Comment 3
Matters are ‘substantially related’ for purposes of this Rule if they involve
the same transaction or legal dispute or if there otherwise is a
substantial risk that confidential factual information as would
normally have been obtained in the prior representation would
materially advance the client's position in the subsequent matter.”

(b) A lawyer shall not knowingly represent a person in the same or a substantially related
matter in which a firm with which the lawyer formerly was associated had previously
represented a client
(1) whose interests are materially adverse to that person; and
(2) about whom the lawyer had acquired information protected by Rules 1.6 and
1.9(c) that is material to the matter;

Comment 5
Paragraph (b) operates to disqualify the lawyer only when the lawyer
involved has actual knowledge of information protected by Rules 1.6 and
1.9(c). Thus, if a lawyer while with one firm acquired no knowledge or
information relating to a particular client of the firm, and that lawyer later
joined another firm, neither the lawyer individually nor the second firm is
disqualified from representing another client in the same or a related
matter even though the interests of the two clients conflict. See Rule
1.10(b) for the restrictions on a firm once a lawyer has terminated
association with the firm.
Comment 6
In contrast, another lawyer may have access to the files of only a limited
number of clients and participate in discussions of the affairs of no other
clients; in the absence of information to the contrary, it should be
inferred that such a lawyer in fact is privy to information about the
 clients actually served but not those of other clients. In such an inquiry,
the burden of proof should rest upon the firm whose disqualification is
sought.

(c) A lawyer who has formerly represented a client in a matter or whose present or former
firm has formerly represented a client in a matter shall not thereafter:
(1) use information relating to the representation to the disadvantage of the former
client except as these Rules would permit or require with respect to a client, or
when the information has become generally known; or
(2) reveal information relating to the representation except as these Rules would
permit or require with respect to a client.

Comment 8
Paragraph (c) provides that information acquired by the lawyer in the
course of representing a client may not subsequently be used or revealed
by the lawyer to the disadvantage of the client. However, the fact that a
lawyer has once served a client does not preclude the lawyer from using
generally known information about that client when later representing
another client.”

RULE 1.11     SPECIAL CONFLICTS OF INTEREST FOR FORMER AND CURRENT

GOVERNMENT OFFICERS AND EMPLOYEES
Revolving Door and Timely Screening
(a) Except as law may otherwise expressly permit, a lawyer who has formerly served as
a public officer or employee of the government:
(1) is subject to Rule 1.9(c); and
(2) shall not otherwise represent a client in connection with a matter in which
the lawyer participated personally and substantially as a public officer or
employee, unless the appropriate government agency gives its informed
consent, confirmed in writing, to the representation.

(b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in a
firm with which that lawyer is associated may knowingly undertake or continue
representation in such a matter unless:
(1) the disqualified lawyer is timely screened from any participation in the
matter and is apportioned no part of the fee therefrom; and
(2) written notice is promptly given to the appropriate government agency to
enable it to ascertain compliance with the provisions of this rule.

(c) Except as law may otherwise expressly permit, a lawyer having information that the
lawyer knows is confidential government information about a person acquired when
the lawyer was a public officer or employee, may not represent a private client whose
interests are adverse to that person in a matter in which the information could be
used to the material disadvantage of that person. As used in this Rule, the term
"confidential government information" means information that has been obtained under
governmental authority and which, at the time this Rule is applied, the government is
prohibited by law from disclosing to the public or has a legal privilege not to disclose and
which is not otherwise available to the public. A firm with which that lawyer is
associated may undertake or continue representation in the matter only if the disqualified
lawyer is timely screened from any participation in the matter and is apportioned no part
of the fee therefrom.

(d) Except as law may otherwise expressly permit, a lawyer currently serving as a public
officer or employee:
(1) is subject to Rules 1.7 and 1.9; and
(2) shall not:
(i) participate in a matter in which the lawyer participated personally and
substantially while in private practice or nongovernmental employment,
unless the appropriate government agency gives its informed consent,
confirmed in writing; or
(ii) negotiate for private employment with any person who is involved as a
party or as lawyer for a party in a matter in which the lawyer is
participating personally and substantially, except that a lawyer serving as
a law clerk to a judge, other adjudicative officer or arbitrator may
negotiate for private employment as permitted by Rule 1.12(b) and
subject to the conditions stated in Rule 1.12(b)
Comment 1
[1] A lawyer who has served or is currently serving as a public officer or
employee is personally subject to the Rules of Professional Conduct, including
the prohibition against concurrent conflicts of interest stated in Rule 1.7. In
addition, such a lawyer may be subject to statutes and government regulations
regarding conflict of interest.
Comment 2
[2] Paragraphs (a)(1), (a)(2) and (d)(1) restate the obligations of an individual
lawyer who has served or is currently serving as an officer or employee of
the government toward a former government or private client. Rule 1.10 is
not applicable to the conflicts of interest addressed by this Rule.
Rather, paragraph (b) sets forth a special imputation rule for former
government lawyers that provides for screening and notice. Because of the
special problems raised by imputation within a government agency, paragraph
(d) does not impute the conflicts of a lawyer currently serving as an officer or
employee of the government to other associated government officers or
employees, although ordinarily it will be prudent to screen such lawyers.
Comment 4
[4] This Rule represents a balancing of interests. On the one hand, where the
successive clients are a government agency and another client, public or private,
the risk exists that power or discretion vested in that agency might be used
for the special benefit of the other client. A lawyer should not be in a position
where benefit to the other client might affect performance of the lawyer's
professional functions on behalf of the government. Also, unfair advantage
could accrue to the other client by reason of access to confidential government
 information about the client's adversary obtainable only through the lawyer's
government service.
“On the other hand, the rules governing lawyers presently or formerly employed
by a government agency should not be so restrictive as to inhibit transfer of
employment to and from the government. The government has a legitimate
need to attract qualified lawyers as well as to maintain high ethical standards.
Thus a former government lawyer is disqualified only from particular matters in
which the lawyer participated personally and substantially. The provisions for
screening and waiver in paragraph (b) are necessary to prevent the
disqualification rule from imposing too severe a deterrent against entering
public service.
Comment 6
[6] Paragraphs (b) and (c) contemplate a screening arrangement. See Rule 1.0(k)
(requirements for screening procedures). These paragraphs do not prohibit a
lawyer from receiving a salary or partnership share established by prior
independent agreement, but that lawyer may not receive compensation directly
relating the lawyer's compensation to the fee in the matter in which the lawyer is
disqualified.

RULE 1.12     FORMER JUDGE, ARBITRATOR, MEDIATOR OR OTHER THIRD-

PARTY NEUTRAL
(a) Except as stated in paragraph (d), a lawyer shall not represent anyone in connection
with a matter in which the lawyer participated personally and substantially as a judge or
other adjudicative officer or law clerk to such a person or as an arbitrator, mediator or
other third-party neutral, unless all parties to the proceeding give informed consent,
confirmed in writing.
(b) A lawyer shall not negotiate for employment with any person who is involved as a
party or as lawyer for a party in a matter in which the lawyer is participating personally
and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or
other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative
officer may negotiate for employment with a party or lawyer involved in a matter in
which the clerk is participating personally and substantially, but only after the lawyer has
notified the judge or other adjudicative officer.
(c) If a lawyer is disqualified by paragraph (a), no lawyer in a firm with which that
lawyer is associated may knowingly undertake or continue representation in the matter
unless:
(1) the disqualified lawyer is timely screened from any participation in the matter and is
apportioned no part of the fee therefrom; and
(2) written notice is promptly given to the parties and any appropriate tribunal to enable
them to ascertain compliance with the provisions of this rule.
(d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not
prohibited from subsequently representing that party.
RULE 1.15     SAFEKEEPING PROPERTY
(a) A lawyer shall hold property of clients or third persons that is in a lawyer's possession
in connection with a representation separate from the lawyer's own property.
Funds shall be kept in a separate account maintained in the state where the lawyer's
office is situated, or elsewhere with the consent of the client or third person. Other
property shall be identified as such and appropriately safeguarded. Complete
records of such account funds and other property shall be kept by the lawyer and shall
be preserved for a period of [five years] after termination of the representation.”

Comment 1
[1] A lawyer should hold property of others with the care required of a
professional fiduciary. Securities should be kept in a safe deposit box, except
when some other form of safekeeping is warranted by special circumstances.
All property that is the property of clients or third persons, including
prospective clients, must be kept separate from the lawyer's business and
personal property and, if monies, in one or more trust accounts.

(d) Upon receiving funds or other property in which a client or third person has an
interest, a lawyer shall promptly notify the client or third person. Except as stated in
this rule or otherwise permitted by law or by agreement with the client, a lawyer shall
promptly deliver to the client or third person any funds or other property that the
client or third person is entitled to receive and, upon request by the client or third
person, shall promptly render a full accounting regarding such property.”

(e) When in the course of representation a lawyer is in possession of property in which

two or more persons (one of whom may be the lawyer) claim interests, the property
shall be kept separate by the lawyer until the dispute is resolved. The lawyer shall
promptly distribute all portions of the property as to which the interests are not in
dispute.”

RULE 1.16     DECLINING OR TERMINATING REPRESENTATION

(a) Except as stated in paragraph (c), a lawyer shall not represent a client or, where
representation has commenced, shall withdraw from the representation of a client if:
(1) the representation will result in violation of the rules of professional conduct
or other law;
(2) the lawyer's physical or mental condition materially impairs the lawyer's
ability to represent the client; or
(3) the lawyer is discharged.

Comment 1
“[1] A lawyer should not accept representation in a matter unless it can be
performed competently, promptly, without improper conflict of interest and to
completion.”
Comment 3
 “[3] When a lawyer has been appointed to represent a client, withdrawal
ordinarily requires approval of the appointing authority. See also Rule 6.2.
Similarly, court approval or notice to the court is often required by
applicable law before a lawyer withdraws from pending litigation. Difficulty
may be encountered if withdrawal is based on the client's demand that the
lawyer engage in unprofessional conduct. The court may request an
explanation for the withdrawal, while the lawyer may be bound to keep
confidential the facts that would constitute such an explanation.”
Comment 4
“[4] A client has a right to discharge a lawyer at any time, with or without
cause, subject to liability for payment for the lawyer's services. Where future
dispute about the withdrawal may be anticipated, it may be advisable to prepare
a written statement reciting the circumstances.”

(b) Except as stated in paragraph (c), a lawyer may withdraw from representing a client
if:
(1) withdrawal can be accomplished without material adverse effect on the
interests of the client;
(2) the client persists in a course of action involving the lawyer's services that
the lawyer reasonably believes is criminal or fraudulent;
(3) the client has used the lawyer's services to perpetrate a crime or fraud;
(4) the client insists upon taking action that the lawyer considers repugnant or
with which the lawyer has a fundamental disagreement;
(5) the client fails substantially to fulfill an obligation to the lawyer regarding
the lawyer's services and has been given reasonable warning that the lawyer will
withdraw unless the obligation is fulfilled;
(6) the representation will result in an unreasonable financial burden on the
lawyer or has been rendered unreasonably difficult by the client; or
(7) other good cause for withdrawal exists.

Comment 8
A lawyer may withdraw if the client refuses to abide by the terms of an
agreement relating to the representation, such as an agreement concerning fees
or court costs or an agreement limiting the objectives of the representation.”

(c) A lawyer must comply with applicable law requiring notice to or permission of a
tribunal when terminating a representation. When ordered to do so by a tribunal, a
lawyer shall continue representation notwithstanding good cause for terminating the
representation.”

(d) Upon termination of representation, a lawyer shall take steps to the extent
reasonably practicable to protect a client's interests, such as giving reasonable notice
to the client, allowing time for employment of other counsel, surrendering papers and
property to which the client is entitled and refunding any advance payment of fee or
expense that has not been earned or incurred. The lawyer may retain papers relating to the
client to the extent permitted by other law.”
RULE 1.18     DUTIES TO PROSPECTIVE CLIENT
(a) A person who discusses with a lawyer the possibility of forming a client-lawyer
relationship with respect to a matter is a prospective client.

(b) Even when no client-lawyer relationship ensues, a lawyer who has had discussions
with a prospective client shall not use or reveal information learned in the
consultation, except as Rule 1.9 would permit with respect to information of a former
client.

Comment 1
[1] Prospective clients, like clients, may disclose information to a lawyer, place
documents or other property in the lawyer's custody, or rely on the lawyer's
advice. A lawyer's discussions with a prospective client usually are limited in
time and depth and leave both the prospective client and the lawyer free (and
sometimes required) to proceed no further. Hence, prospective clients should
receive some but not all of the protection afforded clients.
Comment 2
[2] Not all persons who communicate information to a lawyer are entitled to
protection under this Rule. A person who communicates information
unilaterally to a lawyer, without any reasonable expectation that the lawyer
is willing to discuss the possibility of forming a client-lawyer relationship, is not
a "prospective client" within the meaning of paragraph (a).
Comment 3
[3] It is often necessary for a prospective client to reveal information to the
lawyer during an initial consultation prior to the decision about formation of a
client-lawyer relationship. The lawyer often must learn such information to
determine whether there is a conflict of interest with an existing client and
whether the matter is one that the lawyer is willing to undertake. Paragraph (b)
prohibits the lawyer from using or revealing that information, except as
permitted by Rule 1.9, even if the client or lawyer decides not to proceed with
the representation. The duty exists regardless of how brief the initial
conference may be.

(c) A lawyer subject to paragraph (b) shall not represent a client with interests materially
adverse to those of a prospective client in the same or a substantially related matter if
the lawyer received information from the prospective client that could be significantly
harmful to that person in the matter, except as provided in paragraph (d). If a lawyer is
disqualified from representation under this paragraph, no lawyer in a firm with which that
lawyer is associated may knowingly undertake or continue representation in such a
matter, except as provided in paragraph (d).

(d) When the lawyer has received disqualifying information as defined in paragraph (c),
representation is permissible if:
(1) both the affected client and the prospective client have given informed
consent, confirmed in writing, or:
(2) the lawyer who received the information took reasonable measures to avoid
exposure to more disqualifying information than was reasonably necessary to
determine whether to represent the prospective client; and
(i) the disqualified lawyer is timely screened from any participation in the
matter and is apportioned no part of the fee therefrom; and
(ii) written notice is promptly given to the prospective client.
 ADVOCATE
RULE 3.1      MERITORIOUS CLAIMS AND CONTENTIONS
“A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein,
unless there is a basis in law and fact for doing so that is not frivolous, which includes a
good faith argument for an extension, modification or reversal of existing law. A lawyer
for the defendant in a criminal proceeding, or the respondent in a proceeding that could
result in incarceration, may nevertheless so defend the proceeding as to require that every
element of the case be established.”

Comment 1
“The advocate has a duty to use legal procedure for the fullest benefit of the
client's cause, but also a duty not to abuse legal procedure. The law, both
procedural and substantive, establishes the limits within which an advocate may
proceed. However, the law is not always clear and never is static.
Accordingly, in determining the proper scope of advocacy, account must be
taken of the law's ambiguities and potential for change.”
Comment 2
“What is required of lawyers, however, is that they inform themselves about the
facts of their clients' cases and the applicable law and determine that they can
make good faith arguments in support of their clients' positions.”
Comment 3
“The lawyer's obligations under this Rule are subordinate to federal or state
constitutional law that entitles a defendant in a criminal matter to the
assistance of counsel in presenting a claim or contention that otherwise would
be prohibited by this Rule.”

RULE 3.2      EXPEDITING LITIGATION

A lawyer shall make reasonable efforts to expedite litigation consistent with the interests
of the client.

RULE 3.3      CANDOR TOWARD THE TRIBUNAL

(A)(2) Duty To Disclose Adverse Authority
(a) A lawyer shall not knowingly: …
(2) fail to disclose to the tribunal legal authority in the controlling jurisdiction
known to the lawyer to be directly adverse to the position of the client and not disclosed
by opposing counsel;”

Comment 4
Legal argument based on a knowingly false representation of law constitutes dishonesty
toward the tribunal. A lawyer is not required to make a disinterested exposition of the
law, but must recognize the existence of pertinent legal authorities.

RULE 3.4      FAIRNESS TO OPPOSING PARTY AND COUNSEL

 A lawyer shall not:
(a) unlawfully obstruct another party' s access to evidence or unlawfully alter, destroy or
conceal a document or other material having potential evidentiary value. A lawyer shall
not counsel or assist another person to do any such act;

(b) falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement
to a witness that is prohibited by law;

(c) knowingly disobey an obligation under the rules of a tribunal except for an open
refusal based on an assertion that no valid obligation exists;

(d) in pretrial procedure, make a frivolous discovery request or fail to make reasonably
diligent effort to comply with a legally proper discovery request by an opposing party;

(e) in trial, allude to any matter that the lawyer does not reasonably believe is relevant or
that will not be supported by admissible evidence, assert personal knowledge of facts in
issue except when testifying as a witness, or state a personal opinion as to the justness of
a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or
innocence of an accused; or

(f) request a person other than a client to refrain from voluntarily giving relevant
information to another party unless:
(1) the person is a relative or an employee or other agent of a client; and
(2) the lawyer reasonably believes that the person's interests will not be adversely
affected by refraining from giving such information.

RULE 3.5      IMPARTIALITY AND DECORUM OF THE TRIBUNAL

(d) “A lawyer shall not … engage in conduct intended to disrupt a tribunal.”

Comment 4
“The advocate's function is to present evidence and argument so that the
cause may be decided. Refraining from abusive or obstreperous conduct
is a corollary of the advocate's right to speak on behalf of litigants. A lawyer
may stand firm against abuse by a judge but should avoid reciprocation; the
judge's default is no justification for similar dereliction by an advocate. An
advocate can present the cause, protect the record for subsequent review and
preserve professional integrity by patient firmness no less effectively than
by belligerence or theatrics.”
Comment 5
“The duty to refrain from disruptive conduct applies to any proceeding
of a tribunal, including a deposition

RULE 3.6      TRIAL PUBLICITY

(a) A lawyer who is participating or has participated in the investigation or litigation of a
matter shall not make an extrajudicial statement that the lawyer knows or reasonably
 should know will be disseminated by means of public communication and will have a
substantial likelihood of materially prejudicing an adjudicative proceeding in the matter.
(b) Notwithstanding paragraph (a), a lawyer may state:
(1) the claim, offense or defense involved and, except when prohibited by law, the
identity of the persons involved;
(2) information contained in a public record;
(3) that an investigation of a matter is in progress;
(4) the scheduling or result of any step in litigation;
(5) a request for assistance in obtaining evidence and information necessary
thereto;
(6) a warning of danger concerning the behavior of a person involved, when there
is reason to believe that there exists the likelihood of substantial harm to an
individual or to the public interest; and
(7) in a criminal case, in addition to subparagraphs (1) through (6):
(i) the identity, residence, occupation and family status of the accused;
(ii) if the accused has not been apprehended, information necessary to aid
in apprehension of that person;
(iii) the fact, time and place of arrest; and
(iv) the identity of investigating and arresting officers or agencies and the
length of the investigation.
(c) Notwithstanding paragraph (a), a lawyer may make a statement that a reasonable
lawyer would believe is required to protect a client from the substantial undue prejudicial
effect of recent publicity not initiated by the lawyer or the lawyer's client. A statement
made pursuant to this paragraph shall be limited to such information as is necessary to
mitigate the recent adverse publicity.
(d) No lawyer associated in a firm or government agency with a lawyer subject to
paragraph (a) shall make a statement prohibited by paragraph (a)

RULE 3.8      SPECIAL RESPONSIBILITIES OF A PROSECUTOR

The prosecutor in a criminal case shall:
(a) refrain from prosecuting a charge that the prosecutor knows is not supported by
probable cause;
(b) make reasonable efforts to assure that the accused has been advised of the right to,
and the procedure for obtaining, counsel and has been given reasonable opportunity to
obtain counsel;
(c) not seek to obtain from an unrepresented accused a waiver of important pretrial rights,
such as the right to a preliminary hearing;
(d) make timely disclosure to the defense of all evidence or information known to the
prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in
connection with sentencing, disclose to the defense and to the tribunal all unprivileged
mitigating information known to the prosecutor, except when the prosecutor is relieved of
this responsibility by a protective order of the tribunal;
(e) not subpoena a lawyer in a grand jury or other criminal proceeding to present
evidence about a past or present client unless the prosecutor reasonably believes:
(1) the information sought is not protected from disclosure by any applicable
privilege;
(2) the evidence sought is essential to the successful completion of an ongoing
investigation or prosecution; and
(3) there is no other feasible alternative to obtain the information;
(f) except for statements that are necessary to inform the public of the nature and extent
of the prosecutor's action and that serve a legitimate law enforcement purpose, refrain
from making extrajudicial comments that have a substantial likelihood of heightening
public condemnation of the accused and exercise reasonable care to prevent investigators,
law enforcement personnel, employees or other persons assisting or associated with the
prosecutor in a criminal case from making an extrajudicial statement that the prosecutor
would be prohibited from making under Rule 3.6 or this Rule.
(g) When a prosecutor knows of new, credible and material evidence creating a
reasonable likelihood that a convicted defendant did not commit an offense of which the
defendant was convicted, the prosecutor shall:
(1) promptly disclose that evidence to an appropriate court or authority, and
(2) if the conviction was obtained in the prosecutor’s jurisdiction,
(i) promptly disclose that evidence to the defendant unless a court
authorizes delay, and
(ii) undertake further investigation, or make reasonable efforts to cause an
investigation, to determine whether the defendant was convicted of an
offense that the defendant did not commit.
(h) When a prosecutor knows of clear and convincing evidence establishing that a
defendant in the prosecutor’s jurisdiction was convicted of an offense that the defendant
did not commit, the prosecutor shall seek to remedy the conviction.
 TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS

RULE 4.2      COMMUNICATION WITH PERSON REPRESENTED BY COUNSEL

No Ex Parte Contact With Represented Person
“In representing a client, a lawyer shall not communicate about the subject matter of the
representation with a person the lawyer knows to be represented by another lawyer in the
matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by
law or court order.”

Comment 1
“This Rule contributes to the proper functioning of the legal system by
protecting a person who has chosen to be represented by a lawyer in a
matter against possible overreaching by other lawyers who are
participating in the matter, interference by those lawyers with the client-
lawyer relationship and the uncounselled disclosure of information relating
to the representation.”
Comment 4
“This Rule does not prohibit communication with a represented person, or
an employee or agent of such a person, concerning matters outside the
representation. … A lawyer may not make a communication prohibited by
this Rule through the acts of another. … Also, a lawyer having
independent justification or legal authorization for communicating with a
represented person is permitted to do so. ”
Comment 5
“Communications authorized by law may include communications by a
lawyer on behalf of a client who is exercising a constitutional or other
legal right to communicate with the government. Communications
authorized by law may also include investigative activities of lawyers
representing governmental entities, directly or through investigative agents,
prior to the commencement of criminal or civil enforcement proceedings.”
Comment 6
“A lawyer who is uncertain whether a communication with a
represented person is permissible may seek a court order. A lawyer may
also seek a court order in exceptional circumstances to authorize a
communication that would otherwise be prohibited by this Rule, for
example, where communication with a person represented by counsel is
necessary to avoid reasonably certain injury.”
Comment 7
“In the case of a represented organization, this Rule prohibits
communications with a constituent of the organization who supervises,
directs or regularly consults with the organization’s lawyer concerning the
matter or has authority to obligate the organization with respect to the matter
or whose act or omission in connection with the matter may be imputed to
the organization for purposes of civil or criminal liability …”
Comment 8- Actual Knowledge
 “The prohibition on communications with a represented person only
applies in circumstances where the lawyer knows that the person is in
fact represented in the matter to be discussed. This means that the lawyer
has actual knowledge of the fact of the representation; …”

RULE 4.3      DEALING WITH UNREPRESENTED PERSON

Cannot Imply Disinterest Or Give Advice

“In dealing on behalf of a client with a person who is not represented by counsel, a
lawyer shall not state or imply that the lawyer is disinterested. When the lawyer
knows or reasonably should know that the unrepresented person misunderstands the
lawyer’s role in the matter, the lawyer shall make reasonable efforts to correct the
misunderstanding. The lawyer shall not give legal advice to an unrepresented person,
other than the advice to secure counsel, if the lawyer knows or reasonably should know
that the interests of such a person are or have a reasonable possibility of being in conflict
with the interests of the client.”

Comment 1
“In order to avoid a misunderstanding, a lawyer will typically need to identify
the lawyer’s client and, where necessary, explain that the client has interests
opposed to those of the unrepresented person.”
Comment 2
“The Rule distinguishes between situations involving unrepresented persons
whose interests may be adverse to those of the lawyer’s client and those in
which the person’s interests are not in conflict with the client’s.”
“Whether a lawyer is giving impermissible advice may depend on the
experience and sophistication of the unrepresented person, as well as the
setting in which the behavior and comments occur.”

RULE 4.4      RESPECT FOR RIGHTS OF THIRD PERSONS

(b) Notification Of Unintended Document Receipt
A lawyer who receives a document relating to the representation of the lawyer's client
and knows or reasonably should know that the document was inadvertently sent shall
promptly notify the sender.”

Comment 2
Paragraph (b) recognizes that lawyers sometimes receive documents that were mistakenly
sent or produced by opposing parties or their lawyers. If a lawyer knows or reasonably
should know that such a document was sent inadvertently, then this Rule requires the
lawyer to promptly notify the sender in order to permit that person to take
protective measures. Whether the lawyer is required to take additional steps, such as
returning the original document, is a matter of law beyond the scope of these Rules, as is
the question of whether the privileged status of a document has been waived.
 LAW FIRMS AND ASSOCIATIONS

RULE 5.1      RESPONSIBILITIES OF A PARTNER OR SUPERVISORY LAWYER

(c) A lawyer shall be responsible for another lawyer's violation of the Rules of
Professional Conduct if:
(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the
conduct involved; or
(2) the lawyer is a partner or has comparable managerial authority in the law
firm in which the other lawyer practices, or has direct supervisory authority over
the other lawyer, and knows of the conduct at a time when its consequences can
be avoided or mitigated but fails to take reasonable remedial action.

RULE 5.2      RESPONSIBILITIES OF A SUBORDINATE LAWYER

(a) A lawyer is bound by the Rules of Professional Conduct notwithstanding that the
lawyer acted at the direction of another person.
(b) A subordinate lawyer does not violate the Rules of Professional Conduct if that
lawyer acts in accordance with a supervisory lawyer's reasonable resolution of an
arguable question of professional duty.

Comment 4
The duty to report professional misconduct does not apply to a lawyer retained
to represent a lawyer whose professional conduct is in question. Such a situation
is governed by the Rules applicable to the client-lawyer relationship.
Comment 5
Information about a lawyer's or judge's misconduct or fitness may be
received by a lawyer in the course of that lawyer's participation in an
approved lawyers or judges assistance program. In that circumstance,
providing for an exception to the reporting requirements of paragraphs
(a) and (b) of this Rule encourages lawyers and judges to seek treatment
through such a program. Conversely, without such an exception, lawyers
and judges may hesitate to seek assistance from these programs, which may
then result in additional harm to their professional careers and additional
injury to the welfare of clients and the public
 PUBLIC SERVICE

RULE 6.2      ACCEPTING APPOINTMENTS

A lawyer shall not seek to avoid appointment by a tribunal to represent a person except
for good cause, such as:
(a) representing the client is likely to result in violation of the Rules of
Professional Conduct or other law;
(b) representing the client is likely to result in an unreasonable financial burden
on the lawyer; or
(c) the client or the cause is so repugnant to the lawyer as to be likely to
impair the client-lawyer relationship or the lawyer's ability to represent the
client.

Comment 1
A lawyer ordinarily is not obliged to accept a client whose character or cause the
lawyer regards as repugnant. The lawyer's freedom to select clients is, however,
qualified. All lawyers have a responsibility to assist in providing pro bono public
service. See Rule 6.1. An individual lawyer fulfills this responsibility by
accepting a fair share of unpopular matters or indigent or unpopular clients. A
lawyer may also be subject to appointment by a court to serve unpopular clients or
persons unable to afford legal services.
 INFORMATION ABOUT LEGAL SERVICES
RULE 7.1      COMMUNICATION CONCERNING A LAWYER'S SERVICES
A lawyer shall not make a false or misleading communication about the lawyer or the
lawyer's services. A communication is false or misleading if it contains a material
misrepresentation of fact or law, or omits a fact necessary to make the statement
considered as a whole not materially misleading.

RULE 7.2      ADVERTISING

(a) Subject to the requirements of Rules 7.1 and 7.3, a lawyer may advertise services
through written, recorded or electronic communication, including public media.
(b) A lawyer shall not give anything of value to a person for recommending the lawyer's
services except that a lawyer may
(1) pay the reasonable costs of advertisements or communications permitted by
this Rule;
(2) pay the usual charges of a legal service plan or a not-for-profit or qualified
lawyer referral service. A qualified lawyer referral service is a lawyer referral
service that has been approved by an appropriate regulatory authority;
(3) pay for a law practice in accordance with Rule 1.17; and
(4) refer clients to another lawyer or a nonlawyer professional pursuant to an
agreement not otherwise prohibited under these Rules that provides for the other
person to refer clients or customers to the lawyer, if
(i) the reciprocal referral agreement is not exclusive, and
(ii) the client is informed of the existence and nature of the agreement.
(c) Any communication made pursuant to this rule shall include the name and office
address of at least one lawyer or law firm responsible for its content.

RULE 7.3      SOLICITATION OF CLIENTS

(a)  A lawyer shall not by in-person, live telephone or real-time electronic contact solicit
professional employment when a significant motive for the lawyer's doing so is the
lawyer's pecuniary gain, unless the person contacted:
(1)  is a lawyer; or
(2)  has a family, close personal, or prior professional relationship with the
lawyer.
(b)  A lawyer shall not solicit professional employment by written, recorded or electronic
communication or by in-person, telephone or real-time electronic contact even when not
otherwise prohibited by paragraph (a), if:
 (1)  the target of the solicitation has made known to the lawyer a desire not to be
solicited by the lawyer; or
(2)  the solicitation involves coercion, duress or harassment.
(c)   Every written, recorded or electronic communication from a lawyer soliciting
professional employment from anyone known to be in need of legal services in a
particular matter shall include the words "Advertising Material" on the outside envelope,
if any, and at the beginning and ending of any recorded or electronic communication,
unless the recipient of the communication is a person specified in paragraphs (a)(1) or (a)
(2).
(d)   Notwithstanding the prohibitions in paragraph (a), a lawyer may participate with a
prepaid or group legal service plan operated by an organization not owned or directed by
the lawyer that uses in-person or telephone contact to solicit memberships or
subscriptions for the plan from persons who are not known to need legal services in a
particular matter covered by the plan.

RULE 7.4      COMMUNICATION OF FIELDS OF PRACTICE AND SPECIALIZATION

(a) A lawyer may communicate the fact that the lawyer does or does not practice in
particular fields of law.
(b) A lawyer admitted to engage in patent practice before the United States Patent and
Trademark Office may use the designation "Patent Attorney" or a substantially similar
designation.
(c) A lawyer engaged in Admiralty practice may use the designation "Admiralty,"
"Proctor in Admiralty" or a substantially similar designation.
(d) A lawyer shall not state or imply that a lawyer is certified as a specialist in a particular
field of law, unless:
(1) the lawyer has been certified as a specialist by an organization that has been
approved by an appropriate state authority or that has been accredited by the
American Bar Association; and
(2) the name of the certifying organization is clearly identified in the
communication.

RULE 7.5      FIRM NAMES AND LETTERHEAD

(a) A lawyer shall not use a firm name, letterhead or other professional designation that
violates Rule 7.1. A trade name may be used by a lawyer in private practice if it does not
imply a connection with a government agency or with a public or charitable legal services
organization and is not otherwise in violation of Rule 7.1.
(b) A law firm with offices in more than one jurisdiction may use the same name or other
professional designation in each jurisdiction, but identification of the lawyers in an office
 of the firm shall indicate the jurisdictional limitations on those not licensed to practice in
the jurisdiction where the office is located.
(c) The name of a lawyer holding a public office shall not be used in the name of a law
firm, or in communications on its behalf, during any substantial period in which the
lawyer is not actively and regularly practicing with the firm.
(d) Lawyers may state or imply that they practice in a partnership or other organization
only when that is the fact.

RULE 7.6      POLITICAL CONTRIBUTIONS TO OBTAIN LEGAL ENGAGEMENTS

OR APPOINTMENTS BY JUDGES
A lawyer or law firm shall not accept a government legal engagement or an appointment
by a judge if the lawyer or law firm makes a political contribution or solicits political
contributions for the purpose of obtaining or being considered for that type of legal
engagement or appointment.
 MAINTAINING THE INTEGRITY OF THE PROFESSION

RULE 8.1      BAR ADMISSION AND DISCIPLINARY MATTERS

“An applicant for admission to the bar, or a lawyer in connection with a bar admission
application or in connection with a disciplinary matter, shall not:
(a) knowingly make a false statement of material fact; or
(b) fail to disclose a fact necessary to correct a misapprehension known by the
person to have arisen in the matter, or knowingly fail to respond to a lawful
demand for information from an admissions or disciplinary authority, except
that this rule does not require disclosure of information otherwise protected by
Rule 1.6.”

Comment 1
“The duty imposed by this Rule extends to persons seeking admission to the bar
as well as to lawyers. …”

RULE 8.2      JUDICIAL AND LEGAL OFFICIALS

(a) “A lawyer shall not make a statement that the lawyer knows to be false or with
reckless disregard as to its truth or falsity concerning the qualifications or integrity of a
judge, adjudicatory officer or public legal officer, or of a candidate for election or
appointment to judicial or legal office.”

Comment 1
“Conversely, false statements by a lawyer can unfairly undermine public
confidence in the administration of justice.”

RULE 8.3      REPORTING PROFESSIONAL MISCONDUCT

(a) A lawyer who knows that another lawyer has committed a violation of the Rules of
Professional Conduct that raises a substantial question as to that lawyer's honesty,
trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate
professional authority.

(b) A lawyer who knows that a judge has committed a violation of applicable rules of
judicial conduct that raises a substantial question as to the judge's fitness for office shall
inform the appropriate authority.

(c) This Rule does not require disclosure of information otherwise protected by Rule 1.6
or information gained by a lawyer or judge while participating in an approved lawyers
assistance program.

Comment 1
Self-regulation of the legal profession requires that members of the
profession initiate disciplinary investigation when they know of a violation of
the Rules of Professional Conduct. Lawyers have a similar obligation with
respect to judicial misconduct. An apparently isolated violation may indicate a
pattern of misconduct that only a disciplinary investigation can uncover.
 Reporting a violation is especially important where the victim is unlikely to
discover the offense.
Comment 2
A report about misconduct is not required where it would involve violation of
Rule 1.6. However, a lawyer should encourage a client to consent to disclosure
where prosecution would not substantially prejudice the client's interests.

RULE 8.4      MISCONDUCT

“It is professional misconduct for a lawyer to:
(b) commit a criminal act that reflects adversely on the lawyer’s honesty,
trustworthiness or fitness as a lawyer in other respects;”
(c)Engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
(d) engage in conduct that is prejudicial to the administration of justice”

Comment 2
“Many kinds of illegal conduct reflect adversely on fitness to practice law, such
as offenses involving fraud and the offense of willful failure to file an income
tax return.”
“Although a lawyer is personally answerable to the entire criminal law, a lawyer
should be professionally answerable only for offenses that indicate lack of
those characteristics relevant to law practice. Offenses involving violence,
dishonesty, breach of trust or serious interference with the administration of
justice are in that category.”