Multistate Professional Responsibility Examination (MPRE) flashcards
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Opinion Work Product
Flip cardThe portion of the work product doctrine that provides heightened protection for materials containing the mental impressions, conclusions, opinions, or legal theories of an attorney or other representative concerning the litigation.
- Prepared in anticipation of litigation.
- Has near-absolute protection from discovery.
- Distinguished from 'fact work product'.
Memory trick: Strategy docs? Work Product wins.
Inadvertent Disclosure
Flip cardAn accidental revelation of confidential client information, often due to negligence or error, which still triggers a lawyer's ethical duties.
- Lawyers must take reasonable precautions to prevent it.
- Client notification is often required.
- Even if no actual harm, the breach can have ethical implications.
Memory trick: Accidental slips still mean Client must Know.
Assisting Client Fraud
Flip cardA lawyer is prohibited from counseling or assisting a client in conduct the lawyer knows to be criminal or fraudulent, even if the information about the client's intent is confidential.
- This is a limitation on the duty of confidentiality.
- Requires the lawyer's knowledge of the client's intent.
- Withdrawal is often the appropriate action if the client persists.
Memory trick: Don't Help Bad Deals, You Must Withdraw.
Prospective Client Confidentiality
Flip cardInformation shared by a prospective client with an attorney in a good faith effort to obtain legal services is confidential, even if no attorney-client relationship is formed.
- Duty applies even without formal representation.
- Information must be shared in contemplation of legal services.
- Protects against use or revelation of information.
Memory trick: Even a 'maybe' client gets a 'must' shield.
Confidentiality: Client's Future Crime
Flip cardA lawyer's duty of confidentiality generally extends to a client's stated intent to commit a future crime, unless that crime falls under specific exceptions, such as preventing death, substantial bodily harm, or certain financial crimes.
- Not all future crimes trigger disclosure exceptions.
- Fleeing jurisdiction is often not a recognized exception.
- The 'reasonably certain death/harm' exception is narrow.
Memory trick: Future crime? Check exceptions, then stay silent.
Protective Orders & Confidentiality
Flip cardA court order that limits the use or dissemination of sensitive information obtained during discovery, creating a specific boundary for confidentiality within litigation.
- Information remains confidential under the order.
- Attorney can still use the information within the scope of the litigation.
- Violation of a protective order can lead to sanctions.
Memory trick: Order protects, but you can still use in court.
Extrajudicial Activities (Appearance of Impropriety)
Flip cardJudges may engage in extrajudicial activities (civic, charitable, educational, religious, social) but must conduct them in a way that does not cast reasonable doubt on their capacity to act impartially or undermine judicial independence.
- Avoid activities that would reasonably appear to compromise impartiality.
- Cannot use the prestige of office to advance private interests.
- Must avoid activities that interfere with judicial duties.
Memory trick: A judge's 'off-stage' role shouldn't 'shadow' their 'courtroom' impartiality or 'public trust'.
Judicial Ex Parte Communication (Staff)
Flip cardJudges must ensure their staff (e.g., law clerks) do not engage in ex parte communications that would be impermissible for the judge to conduct personally.
- Staff are extensions of the judge's office.
- Prohibition applies to communications on the merits of a pending case.
- Requires disclosure to parties if an improper communication occurs.
Memory trick: A judge's 'staff whispers' must not be 'secret' concerning 'case facts'.
Judicial Decorum & Demeanor
Flip cardA judge must be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, and others with whom the judge deals in an official capacity, and must require similar conduct from those subject to the judge's direction and control.
- Maintain order and decorum in the courtroom.
- Can be firm but must avoid abusive or demeaning language.
- Duty to ensure fair and impartial proceedings.
Memory trick: A judge's 'courtroom voice' must be 'firm' for 'order', but 'kind' for 'justice'.
Judicial Competence
Flip cardA judge must be sufficiently knowledgeable and skilled in the law and relevant subject matter to perform judicial duties, or be able to acquire such knowledge and skill.
- Judges must maintain professional competence.
- Can acquire necessary knowledge through study or expert consultation.
- Lack of competence is a ground for disqualification if it impairs ability to rule fairly.
Memory trick: A judge's brain must be 'book-smart' and 'law-sharp' to wield the gavel fairly.
Judicial Disqualification (De Minimis Financial Interest)
Flip cardA judge must disqualify themselves if they have a financial interest in a party to the proceeding. While some codes allow a 'de minimis' exception for certain interests, direct ownership of stock in a party (or its parent) is typically not considered de minimis, regardless of size.
- Financial interest includes ownership of stock in a party.
- The 'de minimis' exception for financial interests is narrow.
- Direct stock ownership in a party usually requires disqualification, however small.
Memory trick: A judge's 'wallet' must be 'empty' of 'party stock' to keep the 'scales' balanced.
Judicial Decorum & Demeanor (Juror Misconduct)
Flip cardJudges must maintain order and decorum in court and take appropriate action when juror misconduct potentially compromises impartiality or the integrity of proceedings.
- Judges must act promptly and appropriately when aware of juror misconduct.
- Actions should preserve due process and avoid prejudicing the jury.
- Inquiry into misconduct should typically occur in chambers, with counsel present.
Memory trick: When 'whispers' in the 'jury box' threaten 'justice', the judge must act 'discreetly' but 'decisively'.
Ex Parte Communication (Judicial)
Flip cardA communication made to a judge concerning a pending or impending matter without the presence or knowledge of all parties or their lawyers, generally prohibited unless specific exceptions apply.
- Prohibited to ensure fairness and impartiality.
- Includes both oral and written communications.
- Exceptions exist for scheduling, administrative matters, or with party consent.
Memory trick: Judges must never 'text' outside the 'courtroom' with 'secret' info.
Judicial Disqualification (Spouse's Firm)
Flip cardA judge must disqualify themselves if their spouse, or a person within a certain degree of relationship, is a lawyer in the proceeding, or has an interest that could be substantially affected by the outcome.
- Spouse's financial interest in a law firm appearing before the judge is a common ground for disqualification.
- Applies even if the spouse is not personally handling the case.
- Aims to avoid both actual impropriety and the appearance of impropriety.
Memory trick: A judge's 'gavel' must be 'clean' of any 'family ties' to the 'case' to ensure 'trust'.
Judicial Public Comment (Pending Cases)
Flip cardJudges must not make public comments that might reasonably be expected to affect the outcome or impair the fairness of a pending or impending matter in any court, or make any nonpublic comment that might substantially interfere with a fair trial or hearing.
- Strict prohibition on public comments about the merits of pending cases.
- Aims to preserve impartiality and ensure fair trial.
- Exceptions for public statements in course of official duties (e.g., explaining procedures).
Memory trick: A judge's 'lips' are 'sealed' on 'pending cases' to keep justice 'pure'.
Judicial Campaign Activities (Pledges/Promises)
Flip cardJudicial candidates must not make pledges, promises, or commitments regarding cases, controversies, or issues that are inconsistent with the impartial performance of the adjudicative duties of the office.
- Prohibits pre-judging types of cases.
- Aims to preserve judicial impartiality and independence.
- Distinguishes between general judicial philosophy and specific commitments.
Memory trick: A judge's 'campaign mic' must never 'pledge' specific 'rulings' that 'pre-judge' justice.
Concurrent Conflict (Confidentiality Dilemma)
Flip cardWhen representing multiple clients with consent, if a lawyer later learns confidential information from one client that is material to another client's representation, and cannot disclose it due to confidentiality, the lawyer must usually withdraw from the representation of the client to whom the information cannot be disclosed.
- Arises when duties of confidentiality and loyalty clash.
- Withdrawal is often the only ethical solution.
- Informed consent to the initial conflict does not automatically waive future confidentiality issues.
Memory trick: Secrets can break even the best legal balancing act.
Duties to Former Clients (Substantially Related)
Flip cardA 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.
- Applies to 'same' or 'substantially related' matters.
- Requires material adversity to the former client's interests.
- Informed consent from the former client, confirmed in writing, can waive the conflict.
Memory trick: Once a client, always some duties, especially if the topic is similar.
No Imputation Between Different Firms
Flip cardConflicts of interest for lawyers in separate firms are generally not imputed to each other, even if they share a common client for different, unrelated matters. Imputation rules primarily apply within the same law firm.
- Rule 1.10 governs imputation within a firm.
- Lawyers in different firms are treated as distinct for imputation.
- Sharing a client for unrelated matters does not create imputation.
- Lack of relevant confidential information further negates conflict.
Memory trick: Separate Stacks Stop Shared Stumbles, Success Secures Solos.
Imputation of Conflicts (Unrelated Matters)
Flip cardConflicts of interest are generally imputed within a law firm. However, if a former client's matter is not substantially related to the new matter, and no relevant confidential information exists, then imputation may not prevent the new representation.
- Imputation generally applies to all lawyers in a firm.
- Rule 1.10(a) imputes conflicts under Rules 1.7 and 1.9.
- If the matters are not substantially related, Rule 1.9 does not apply.
- Absence of relevant confidential information is crucial.
Memory trick: Firm's Fabric Forbids Folly, Unless Facts Free the Firm.
Duties to Former Clients: Substantially Related Matters
Flip cardA lawyer cannot represent a new client against a former client in the same or a substantially related matter, where the new client's interests are materially adverse to the former client, unless the former client gives informed consent.
- Duty survives termination of representation.
- Focuses on 'substantially related matters'.
- Protects former client's confidential information.
Memory trick: Past clients, present problems, if it's too close, you lose.
Former Government Lawyer (Drafting Regulations)
Flip cardA former government lawyer is prohibited from representing a client in a matter in which the lawyer participated personally and substantially while in government service, including the drafting of specific regulations that are later challenged, unless the government agency gives informed consent.
- Applies to 'matter' where lawyer participated 'personally and substantially'.
- Drafting specific regulations can be a 'matter'.
- Prohibits taking adverse positions to government on prior work.
- Waiver requires informed consent from the government agency.
Memory trick: Government's Guidance Guides Goals, Governing Guardians Get Grounded.
Imputed Conflict (Screening Breach)
Flip cardIf a screening mechanism intended to prevent an imputed conflict fails, and a lawyer gains material confidential information about a client whose interests are adverse to another client, the conflict becomes unmanageable, and the lawyer must withdraw from the affected representation.
- Screening is designed to prevent information flow.
- A breach can render the conflict unmanageable.
- Withdrawal is often the required remedy when a breach occurs.
Memory trick: A broken wall means a broken trust; retreat from the battle.
Concurrent Conflict (Intertwined Matters)
Flip cardWhen initially unrelated concurrent representations become intertwined such that advising one client on a new aspect of their case would materially limit the lawyer's responsibilities to another client, a new conflict arises, often requiring the lawyer to advise the client to seek independent counsel for that specific aspect.
- Initial consent does not cover all future, evolving conflicts.
- Material limitation can arise from a firm's duties to other clients.
- Suggesting independent counsel is a common remedy for specific, intertwined conflicts.
Memory trick: Separate paths can cross, creating new legal roadblocks; get a new guide for the crossroad.
Joint Representation & Confidentiality Conflict
Flip cardWhen representing joint clients, a lawyer generally has a duty to share all material information. If one joint client provides confidential information that must be kept from the other, and that information is material to the joint representation, an irreconcilable and often non-consentable conflict arises, usually requiring withdrawal.
- No confidentiality between joint clients on shared matters.
- Secret information from one joint client creates a conflict.
- Often leads to mandatory withdrawal from both clients.
Memory trick: Shared secrets, shared duties, if one hides, the lawyer divides.
Personal Interest Conflict (Family Relationship)
Flip cardA lawyer's personal interest, such as a close familial relationship with a client, can create a material limitation conflict of interest, requiring the lawyer to obtain informed consent, confirmed in writing, from the client.
- Falls under the 'material limitation' category of concurrent conflicts.
- The lawyer must reasonably believe they can still represent the client competently.
- Informed consent, confirmed in writing, is crucial.
Memory trick: Family ties can tangle legal duties; always get it in writing.
Former Government Lawyer Conflict (Same Matter)
Flip cardA lawyer who has formerly served as a public officer or employee of the government shall not represent a private 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.
- Applies to the 'same matter' in which the lawyer had substantial government involvement.
- Prohibits representation of a private client adverse to the government's interest.
- Consent from the government agency can sometimes waive the conflict, but is often difficult to obtain.
Memory trick: Don't fight the rules you helped write.
Former Government Lawyer Conflict
Flip cardA lawyer who has served as a public officer or employee is generally prohibited from representing a private client in connection with a 'matter' in which the lawyer participated personally and substantially while in government service.
- Applies to 'matters' not general policy.
- Requires 'personal and substantial' participation.
- Conflict is imputed to the firm, but screening might cure imputation for other firm members.
Memory trick: Government's secrets stay government's secrets, even when you switch teams.
Concurrent Conflict: Direct Adversity
Flip cardA concurrent conflict of interest arises when a lawyer's representation of one client is directly adverse to another client, even if the matters are unrelated.
- Applies to lawyers in the same firm.
- Exists even if the matters are completely separate.
- Often non-consentable in litigation contexts.
Memory trick: Two clients, one firm, different sides, big problem.
Concurrent Conflict (Unmanageable Loyalty)
Flip cardEven after obtaining initial informed consent for a concurrent conflict, if a lawyer's representation of one client becomes materially limited by responsibilities to another client or a personal interest, and the lawyer can no longer reasonably believe they can provide competent and diligent representation, the lawyer must withdraw.
- Initial consent does not make all future conflicts consentable.
- Material limitation can arise during representation.
- Withdrawal is required if the conflict becomes unmanageable.
Memory trick: Consent isn't a magic shield if new limits arise; sometimes you just have to step back.
Duties to Former Judges (Same Matter)
Flip cardA lawyer who has formerly served as a judge shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge, unless all parties give informed consent, confirmed in writing.
- Applies to 'same matter' where lawyer acted as judge.
- Requires 'personally and substantially' participation.
- Prohibition can be waived by informed consent from all parties.
- Does not apply to unrelated matters, even if a party was seen before.
Memory trick: Judges' Judgments Justify Justice, Jurists' Junctions Join Judgments.
Imputation of Conflicts (Current Clients)
Flip cardWhile lawyers are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by the rules on concurrent conflicts of interest, unless specific exceptions apply.
- Conflicts of one lawyer are generally imputed to all lawyers in the firm.
- Applies to current client conflicts, even if matters are unrelated.
- Informed consent from affected clients can sometimes cure imputed conflicts.
Memory trick: One bad apple spoils the whole legal barrel, unless there's a strong screen.
Lawyer's Personal Interest (Close Relationship with Opposing Counsel)
Flip cardA conflict of interest exists when a lawyer's close personal relationship with opposing counsel creates a significant risk that the lawyer's representation of a client will be materially limited. Disclosure and informed consent from the client are typically required.
- Close relationships with opposing counsel can be a 'personal interest'.
- Can create a material limitation conflict (Rule 1.7(a)(2)).
- Requires disclosure to the client.
- Requires informed consent, confirmed in writing, if waivable.
Memory trick: Friends' Fights Force Full Facts For Fairness.
Duties to Former Clients (Substantially Related Matters)
Flip cardA lawyer generally cannot represent a new client against a former client in the same or a substantially related matter where the new client's interests are materially adverse, unless the former client gives informed consent, confirmed in writing.
- Applies to 'same or substantially related' matters.
- Requires material adversity to the former client.
- Prohibition can be waived by former client's informed consent, confirmed in writing.
- Duty continues after representation ends.
Memory trick: Past Projects Prohibit Present Pursuits, Unless Permission Prevails.
Former Client Conflict (Fiduciary Representation)
Flip cardWhen a lawyer represents an entity or fiduciary, the duties to former clients can extend to individuals who acted on behalf of that entity or fiduciary, especially when the new matter involves actions taken during the prior representation and is substantially related.
- Entity representation often involves duties to individuals acting for the entity.
- Rule 1.9 (former client conflicts) applies.
- 'Substantially related' is key to determining the conflict.
- Consent from the 'former client' (e.g., the former trustee) may waive the conflict.
Memory trick: Trustee's Troubles Tangle Trust's Tasks, Truly Testing Truth.
Corporate Client vs. Officer Conflict (Confidentiality)
Flip cardWhen a lawyer represents a corporation, a request by an officer for personal representation, where the officer demands confidentiality from the corporation on matters that could materially impact the corporation, creates a non-consentable conflict of interest for the lawyer.
- Lawyer for a corporation represents the entity, not individual officers.
- An officer's personal interests may conflict with the corporation's.
- Demanding confidentiality from the board on corporate-impacting issues creates conflict.
- This is often a non-consentable material limitation conflict.
Memory trick: CEO's Covert Choices Clash Corporate Concerns, Creating Crisis.
Material Limitation Conflict (Personal Interest)
Flip cardA concurrent conflict of interest exists if 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.
- Can arise from a lawyer's personal, financial, or political interests.
- Requires informed consent, confirmed in writing, if the conflict is consentable.
- The lawyer must reasonably believe they can provide competent and diligent representation.
Memory trick: My own interests can't block my client's path.
Former Third-Party Neutral Conflict
Flip cardA lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge, arbitrator, mediator, or other third-party neutral, unless all parties to the proceeding give informed consent, confirmed in writing.
- Applies to the 'same matter' in which the lawyer served as a neutral.
- Requires 'personal and substantial' participation as a neutral.
- Can be waived by informed consent from all parties, confirmed in writing.
Memory trick: Once a fair judge, always neutral for that case; no picking sides later.
No Imputation (Retired Lawyer)
Flip cardA conflict of interest of a lawyer who has completely retired from the practice of law and is no longer associated with a firm, and no longer has access to confidential client information, is generally not imputed to the remaining lawyers in the firm.
- Requires complete cessation of association with the firm.
- Retired lawyer must not retain access to confidential information.
- The purpose of imputation is to protect client confidences and loyalty within a firm.
Memory trick: Old lawyers fade away, taking their conflicts with them from the firm.
Material Limitation Conflict (Non-Consentable Personal Interest)
Flip cardA conflict where a lawyer's representation of a client may be materially limited by the lawyer's own personal interests, or the interests of a third party. Such conflicts can sometimes be waived with informed consent, but some are non-consentable if a disinterested lawyer would conclude the client should not agree.
- Arises when lawyer's judgment is limited by personal interests.
- Also applies to duties to other clients, former clients, or third persons.
- Requires reasonable belief of competent representation AND informed consent (written).
- Some conflicts are non-consentable, even with client consent.
Memory trick: Disinterested Decisions Determine Denials, Despite Desires.
Concurrent Conflict of Interest (Unrelated Matters)
Flip cardA conflict arising when an attorney represents two clients whose interests are directly adverse, even if the matters are unrelated, requiring specific conditions for waiver.
- Directly adverse interests trigger the conflict.
- Unrelated matters do not automatically negate the conflict.
- Waiver requires attorney's reasonable belief in competent representation.
- Waiver requires informed consent from both clients, confirmed in writing.
Memory trick: Consent Confirms Competence, Clients' Choices Count.
Lawyer's Own Interest Conflict (Conditional Referral)
Flip cardA conflict where a lawyer's representation of a client is materially limited by the lawyer's own personal interests, such as a financial incentive tied to a client's decision to hire another specific lawyer. Such conflicts are often non-consentable.
- Arises from the lawyer's personal financial or other interests.
- Can materially limit the lawyer's independent judgment.
- Offering incentives for specific referrals can create this conflict.
- Consent may not be effective if the conflict is non-consentable.
Memory trick: Self-Serving Schemes Seriously Subvert Sound Service.
Duties to Prospective Clients (Unrelated Matters)
Flip cardA lawyer owes duties of confidentiality and loyalty to prospective clients. Representation against a prospective client in an unrelated matter is generally permissible unless the new client's interests are materially adverse to the prospective client in that new matter, or the lawyer received significantly harmful information relevant to the new matter.
- Confidentiality applies to prospective client information.
- Prohibited from representing against a prospective client in 'same or substantially related' matters.
- Prohibited if received 'significantly harmful' information for that matter.
- For unrelated matters, general conflict rules (e.g., direct adversity) still apply.
Memory trick: Prospective Promises Protect, Unless Problems Prove Permissible.
Concurrent Conflict of Interest (Direct Adversity)
Flip cardA concurrent conflict of interest exists if the representation of one client will be directly adverse to another client.
- Requires informed consent, confirmed in writing.
- Conflict must be consentable.
- Direct adversity can arise in litigation or transactional contexts.
Memory trick: Two clients, one lawyer, potential for a legal squabble.
Lawyer's Personal Interest (Family Member's Financial Stake)
Flip cardA conflict of interest arises when a lawyer's representation of a client may be materially limited by the lawyer's own personal interests, including significant financial interests of a close family member that could influence the lawyer's professional judgment.
- Personal interest conflicts include those of close family.
- A significant financial stake can materially limit judgment.
- Requires disclosure and informed consent (written).
- Attorney must reasonably believe competent representation is possible.
Memory trick: Spousal Stocks Stir Subtle Struggles, Seeking Client's Clear Consent.
Truthfulness in Statements to Others
Flip cardA lawyer shall not knowingly make a false statement of material fact or law to a third person, nor fail to disclose a material fact when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client.
- No false statements of material fact/law.
- Puffery in negotiation is generally allowed.
- Disclosure required to avoid assisting client crime/fraud.
Memory trick: Be 'Honest' of 'Fact', or 'Assist' no 'Fraudulent Act'.
Contacting Former Employees
Flip cardA lawyer may generally communicate with a former employee of an organization represented by counsel without the organization's counsel's consent, provided the former employee is not represented and does not possess privileged information or authority to bind the organization.
- Rule 4.2 generally applies to current employees.
- Former employees are usually treated as unrepresented third parties.
- Caution required if former employee had binding authority or privileged information.
Memory trick: Don't chat with the other side's 'current' team without their coach's 'OK'.
Duty of Candor vs. Adversarial Role
Flip cardA lawyer must not knowingly make a false statement of material fact or law. However, a lawyer generally has no affirmative duty to volunteer facts or correct an adversary's factual misapprehension, unless such silence would constitute assisting a client's criminal or fraudulent act.
- Rule 4.1 prohibits affirmative misstatements.
- No general duty to disclose adverse facts.
- Distinguish between silence and active misrepresentation.
Memory trick: Speak no lies, but you don't have to spill all the beans.
Responsibilities of a Partner/Managerial Lawyer
Flip cardPartners and lawyers with comparable managerial authority in a law firm must make reasonable efforts to ensure the firm has measures in place giving reasonable assurance that all lawyers conform to the Rules of Professional Conduct.
- Applies to partners and managers.
- Requires proactive measures for firm-wide compliance.
- Focuses on reasonable efforts to prevent violations.
Memory trick: The 'Firm's' 'Partners' must 'Ensure' 'Rules' are 'Secure'.
Inadvertent Contact with Represented Person
Flip cardIf a represented person initiates communication with an opposing lawyer, the lawyer must cease discussion of the subject matter and direct the person to communicate through their own counsel.
- Rule 4.2 applies regardless of who initiates contact.
- Lawyer must avoid discussing the merits of the case.
- The purpose is to protect the represented person from overreaching by opposing counsel.
Memory trick: No back-channel talks; always go through the official 'legal' channels.
Delegation to Nonlawyer Assistants
Flip cardLawyers may delegate tasks to nonlawyer assistants but retain supervisory responsibility and cannot delegate tasks requiring professional legal judgment, such as giving legal advice.
- Lawyer must supervise nonlawyer assistants.
- Cannot delegate tasks requiring legal judgment.
- Lawyer remains responsible for assistant's conduct.
Memory trick: Delegate 'Tasks', not 'Brains', for 'Legal Gains'.
Dealing with Unrepresented Persons
Flip cardWhen dealing with an unrepresented person, a lawyer must not state or imply disinterest, must correct misunderstandings about the lawyer's role, and should not give legal advice other than to obtain counsel if their interests conflict with the client's.
- No implication of disinterest.
- Correct misunderstandings about lawyer's role.
- Advise to obtain counsel if interests conflict; no other legal advice.
Memory trick: Don't pretend to be neutral; clarify your role and suggest a lawyer.
Responsibilities Regarding Law-Related Services
Flip cardA lawyer providing law-related services must ensure clients understand these are not legal services and lack client-lawyer protections, and must disclose any ownership interest in the entity providing such services.
- Ensure client understanding of non-legal nature.
- Disclose lawyer's ownership/control interest.
- Full RPCs apply if not distinct from legal services.
Memory trick: For 'Related' 'Services', 'Disclose' your 'Role', or 'Ethics' take a 'Toll'.
Inadvertent Receipt of Privileged Information
Flip cardA lawyer who receives a document or ESI that was inadvertently sent and knows or reasonably should know it is privileged has an ethical obligation to promptly notify the sender.
- Applies to both physical documents and ESI.
- Knowledge or reasonable knowledge of inadvertent sending is key.
- Notification to sender is mandatory; use is generally prohibited.
Memory trick: Oops, wrong mail! Tell them it's not yours and don't peek.
Respecting Rights of Third Persons (Inadvertent Receipt)
Flip cardA lawyer who receives inadvertently sent privileged information must promptly notify the sender. Further actions (e.g., returning, sequestering, refraining from use) may be required by law or judicial decision in the specific jurisdiction.
- Mandatory: promptly notify sender.
- Applies to inadvertently sent documents/ESI.
- Jurisdictional variations on further actions.
Memory trick: If 'Privilege' 'Slips' your 'Way', 'Notify' the 'Sender' right away!
Responsibilities of a Supervisory Lawyer
Flip cardA lawyer with direct supervisory authority over another lawyer must make reasonable efforts to ensure the subordinate lawyer conforms to the Rules of Professional Conduct.
- Applies to direct supervisory authority.
- Requires reasonable efforts to ensure compliance.
- Includes supervision of work product.
Memory trick: The 'Supervisor' must 'Guide' the 'Subordinate' right, to 'Ensure' 'Ethical' light.
Lawyer-Provided Law-Related Services
Flip cardA lawyer may provide law-related services through an entity separate from their law practice, provided the lawyer takes reasonable measures to ensure recipients understand the services are not legal services and lack client-lawyer protections.
- Rule 5.7 governs these services.
- Disclosure and understanding are paramount.
- Protections of attorney-client relationship don't apply to law-related services.
Memory trick: Legal-ish help is fine, just make sure they know it's *not* legal help.
Truthfulness in Negotiation (Silence as Misrepresentation)
Flip cardA lawyer must not knowingly make a false statement of material fact or law. Silence can be a misrepresentation if the lawyer knows a statement made by another is false and material, and the lawyer is actively allowing it to stand for their client's benefit in negotiation.
- No knowingly false statements of material fact/law.
- Silence can constitute misrepresentation.
- Applies to material facts, not just 'puffery'.
Memory trick: Don't 'Silence' a 'Lie' that's 'Material' for 'Gain', or 'Ethics' will 'Stain'.
Supervisory Lawyer's Duty
Flip cardA lawyer having direct supervisory authority over another lawyer must make reasonable efforts to ensure that the supervised lawyer conforms to the Rules of Professional Conduct, and must take reasonable remedial action if they know of a violation.
- Supervisors are responsible for subordinates' ethical conduct.
- Duty includes implementing policies and taking remedial action.
- Applies to all Rules, including competence and confidentiality.
Memory trick: The captain is responsible for the ship's crew and their ethical course.
Paying for Referrals (Non-Lawyers)
Flip cardLawyers are generally prohibited from giving anything of value to a person for recommending the lawyer's services, especially to non-lawyers.
- Prevents potential for UPL and protects lawyer independence.
- Exceptions exist for certain authorized lawyer referral services or modest gifts of appreciation.
- Paying a percentage of fees is a clear violation.
Memory trick: Don't pay for praise, in ethical ways, keep your client base.