On Friday, October 13, 2017, attorneys from Kegler Brown’s Professional Responsibility practice area held the 20th Annual Professional Responsibility Seminar.
3. z
Reporting
MISCONDUCT
You agree to meet with former
law partner for a glass of wine
after work one day
And she tells you very
upsetting news…
4. z
Do you have any duty to investigate and
see whether what you learned about the
overbilling was true?
1. Yes
2. No
3. Don’t Know – That’s what my
managing partner is for
5. z
Do you tell the client?
1. Yes
2. No
3. Hope it’s not my decision
to make
6. z
Assume you do tell the client. Do you report
the lawyer for engaging in misconduct?
1. Yes
2. No
3. How should I know – let the
firm’s managing partner figure
that one out
11. z
Assume you had just heard your friend tell
you at the bar about what she had done. Do
you have knowledge at this point in time?
1. Yes
2. No
3. Depends
12. z
Assume your former partner tells you she
overbilled a client at her new firm, but not any
clients at your firm while she was there. Do you
have any obligation to tell her new firm?
1. Yes
2. No
3. Not my problem
13. z
Do you have to report this to
disciplinary authorities?
1. Yes
2. No
16. z
A lawyer shall not reveal information relating
to the representation of a client, including
attorney-client privileged information, unless
the client gives informed consent.
Relevant exception – permissible to disclose
in order to prevent commission of a crime
Rule
1.6
17. z
OPINION
2016-02
Question is whether the information
acquired from the client regarding
their prior lawyer’s conduct is
privileged, thereby eliminating any
duty to report under Rule 8.3
19. z
OPINION
2016-02
Even if confidential under 1.6, if the
information is not privileged then it’s
permissible to report the misconduct
If privileged, lawyer must obtain
client consent to reveal by reporting
to disciplinary authorities
20. z
Does the conduct raise a question about
the lawyer’s honesty, trustworthiness
or fitness to practice?
1. Yes
2. No
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Jud.Cond.R.
2.15(A)
A judge who has knowledge that
another judge has committed a
violation of the Code of Judicial
Conduct that raises a question
regarding the judge’s honesty,
trustworthiness, or fitness as a
judge in other respects is
required to report it to the
appropriate disciplinary authority
23. z
Jud.Cond.R.
2.15(B)
A judge who has knowledge of a
lawyer’s violation of the Rules of
Professional Conduct conduct
that raises a question regarding
the lawyer’s honesty,
trustworthiness, or fitness as a
lawyer has an ethical duty to
report it
24. z
Do judges have a duty report a witness who
testifies to possession of marijuana?
1. Yes
2. No
25. z
What about a witness that
testifies to a felony?
1. Yes
2. No
26. z
Does a judge have to recuse from a case if
the judge has reported one of the lawyers to
disciplinary authorities?
1. Of course
2. Nope
3. Good question
28. z
What about lawyer advertising saying
“There is no charge unless we win your
case” or “No fee without recovery”?
1. That’s fine – I see it all
the time
2. Depends
29. z
OPINION
2017-01
Prohibited if the lawyer will be
seeking payment of fees/costs at any
time unless the lawyer uses a
disclaimer that clearly indicates the
client will be responsible for the
expenses and costs
30. z
Is it proper for a lawyer to advertise legal
services by sending unsolicited emails?
1. Absolutely
2. Maybe but…
3. No
4. Why would anyone want to?
35. z
“Reasonable efforts” can be determined
through the analysis of several nonexclusive
Op. 2017-5 factors including:
sensitivity of the information
likelihood of disclosure if additional safeguards are not employed
cost of employing additional safeguards
difficulty of implementing the safeguards
extent to which safeguards adversely affect lawyer’s
ability to represent clients
36. z
1
Determine that the vendor understands and agrees
to maintain and secure stored data consistent with
the lawyer’s duty of confidentiality
2 Ensure that client files and data will be maintained
and regularly backed up
3
Require that the vendor give the lawyer notice of
subpoenas for client data, nonauthorized access to
the stored data, or other breach of security, and a
reliable means of retrieving the data if the agreement
is terminated or the vendor goes out of business
51. z
Other Considerations
Flat fee – RPC 1.5(d)(3)
Add language – may be
entitled to refund
Refund if early
termination
ODC v. Summers
2012-Ohio-1144
Where does $$ go?
“Earned upon receipt”
Operating account
54. z
Rule 1.5(e) Permissible if:
Division in proportion to services
performed by each
Each lawyer assumes joint
responsibility for matter/available
Includes joint/severable liability
for malpractice
Client consent: identify each
lawyer and division of fees
55. z
Doing Business
with Clients
Rule 1.8(a) – explain in writing
Terms, risks/disadvantages
to client
Reasonable alternatives
Lawyer’s role
Advisable to consult with
another lawyer
57. z
Prospective clients
RPC 1.18: Communications
are confidential
Confirmation in writing
unable to take
Consider whether to inform
of applicable S/L
59. z
Key Areas to
COMMUNICATE
When seeking conflict waiver
Settle/appeal
Client objectives
Means to accomplish goal
(litigation tactics)
Updating on status
When client requests
information
62. z
How to
RPC 1.16
Client engages in illegal/
fraudulent conduct
Client insists upon action
lawyer considers “repugnant”
Or which lawyer has
“fundamental disagreement”
WITHDRAW
63. z
Client fails to fulfill obligation
financial or otherwise
Lack of payment
Lack of communication
Warn that will withdraw
unless obligation met
“Unreasonable financial
burden” on lawyer
Representation rendered
“unreasonably difficult”
“Other good cause”
Grounds to
WITHDRAW
64. z
Withdrawal Considerations
Minimize risk to client
Notice/opportunity to retain new counsel
Cooperate with transition
Refund earned fees
Litigation: permission from court
Careful with client confidences
Submit motion in camera
Board opinion cites to Rule 1.6 and indicates a lawyer is prohibited from revealing any information relating to the representation, without client consent.
But Rule 8.3 requires disclosure to disciplinary authorities of all information that is not privileged.
So, even if confidential under 1.6, if the information is not privileged then it permissible to report the misconduct.
If it is privileged, the lawyer must obtain client consent to reveal the information by reporting it to disciplinary authorities.
Board opinion cites to Rule 1.6 and indicates a lawyer is prohibited from revealing any information relating to the representation, without client consent.
But Rule 8.3 requires disclosure to disciplinary authorities of all information that is not privileged.
So, even if confidential under 1.6, if the information is not privileged then it permissible to report the misconduct.
If it is privileged, the lawyer must obtain client consent to reveal the information by reporting it to disciplinary authorities.
A lawyer is not required to recover the costs and expenses from the client.
A lawyer is permitted to “advance the court costs and expenses of litigation, the repayment of which may be contingent upon the outcome of the matter.”
However, in some instances, a lawyer may require the client to directly repay the costs advanced by the lawyer if the case is unsuccessful or the recovery is too small to recoup the costs of litigation advanced by the lawyer. Prof.Cond.R. 1.5(c)(1).
Whether it is proper for a lawyer to advertise legal services by sending unsolicited emails to persons?
Whether a lawyer can participate in a lawyer referral service or lawyer advertising service that sends unsolicited emails?
APPLICABLE RULES: Prof. Cond. R. 5.3, 7.1, 7.2, and 7.3
1) disclose accurately and fully the manner in which the lawyer became aware of the identity and specific legal need of the addressee; 2) refrain from expressing any predetermined evaluation of the merits of the addressee’s case; and 3) conspicuously include the recital “ADVERTISING MATERIAL” or “ADVERTISEMENT ONLY” at the beginning and ending of any electronic communication.
A virtual law office “VLO” typically involves a lawyer communicating with clients almost exclusively through secure Internet portals, emails, or other electronic messaging.1 See also Adv. Op. 1999-9.
A VLO permits lawyers to work remotely, offers clients and lawyers the ability to discuss matters electronically without meeting in person, affords clients the opportunity to review their client file online, and reduces or eliminates the overhead typically associated with traditional offices.
A VLO is uniquely situated to provide limited scope representation or “unbundled legal services” through electronic means, including “document drafting assistance, document review, representation in dispute resolution, legal advice, case evaluation, negotiation counseling, and litigation coaching.”
1) the sensitivity of the information,
2) the likelihood of disclosure if additional safeguards are not employed,
3) the cost of employing additional safeguards,
4) the difficulty of implementing the safeguards, and
5) the extent to which the safeguards adversely affect the lawyer’s ability to represent clients. Prof.Cond.R. 1.6(c), cmt. [18].
Specifically, the lawyer should:
Determine that the vendor understands and agrees to maintain and secure stored data consistent with the lawyer’s duty of confidentiality;
Ensure that client files and data will be maintained and regularly backed up;
Require that the vendor give the lawyer notice of subpoenas for client data, nonauthorized access to the stored data, or other breach of security, and a reliable means of retrieving the data if the agreement is terminated or the vendor goes out of business.
Confirm no conflict
No secrets between joint clients
Give option to secure separate counsel
Confirm in writing
Represent insured
Flat fee - RPC 1.5(d)(3)
Add language - may be entitled to refund
Refund if early termination
ODC v. Summers, 2012-Ohio-1144
Where does $$ go?
“Earned upon receipt” - Operating account
Contingent fee cases
Prospective clients
Communications are confidential – RPC 1.18
Confirm in writing unable to take
Consider whether to inform of applicable S/L
Communicate with Clients; Failure to communicate is bad business; Can lead to malpractice and ethical problems; RPC 1.4 requires us to communicate with clients
Communicate with Clients; Failure to communicate is bad business; Can lead to malpractice and ethical problems; RPC 1.4 requires us to communicate with clients
Talk to clients – do not rely exclusively on e-mails; Show client value and hard work; Gets you paid; Informs client of status
Send key letters, pleadings and bills;
RPC 1.16
Client engages in illegal/fraudulent conduct
Client insists upon action lawyer considers “repugnant”
Or which lawyer has “fundamental disagreement”
Client fails to fulfill obligation - Financial or otherwise
Lack of payment
Lack of communication
Warn that will withdraw unless obligation met
“Unreasonable financial burden” on lawyer
Representation rendered “unreasonably difficult”
“Other good cause”
Minimize risk to client
Notice/opportunity to retain new counsel
Cooperate with transition
Refund unearned fees
Litigation – permission from court
Careful with client confidences
Submit motion in camera