ABA Model Rules of Professional Conduct — 2025 Edition

A collection of flashcards based on the ABA Model Rules of Professional Conduct, covering key terms, definitions, and rules for legal practice.

Rule 8.1(a)— What may an applicant/lawyer NOT do re: false statements in bar admission or disciplinary matters?

An applicant/lawyer may NOT knowingly make a false statement of material fact regarding bar admission or disciplinary matters.

• Applies to both bar applicants AND lawyers in any disciplinary matter

• Covers the lawyer's own admission/discipline AND that of others

Rule 8.1(b)— What are the disclosure duties in bar admission or disciplinary matters?

In bar admission or disciplinary matters, a lawyer must not fail to disclose a fact necessary to correct a known misapprehension.

Rule 8.3(a)—When must a lawyer report another lawyer's misconduct?

– Lawyer KNOWS another lawyer violated the Rules, AND

– The violation raises a SUBSTANTIAL QUESTION as to that lawyer's honesty, trustworthiness, or fitness as a lawyer

• "Substantial" refers to seriousness of the offense, not the quantum of evidence

Rule 8.3(b)—When must a lawyer report a judge’s misconduct?

• Must inform the appropriate authority when:

– Lawyer KNOWS a judge violated applicable rules of judicial conduct, AND

– The violation raises a SUBSTANTIAL QUESTION as to the judge's fitness for office

Rule 8.3(c)—What are the exceptions to the duty to report misconduct?

• No disclosure required if the information is:

– Protected by Rule 1.6 (confidentiality), OR

– Gained while participating in an approved lawyers assistance program

• Note: Lawyer representing the accused lawyer is governed by client-lawyer Rules (not this rule)

Rule 8.4—What constitutes professional misconduct?

It is misconduct to:

• (a) Violate or attempt to violate the Rules, or knowingly assist/induce another to do so

• (b) Commit a criminal act reflecting adversely on honesty, trustworthiness, or fitness as a lawyer

• (c) Engage in dishonesty, fraud, deceit, or misrepresentation

• (d) Engage in conduct prejudicial to the administration of justice

• (e) State or imply ability to improperly influence a government agency or official

• (f) Knowingly assist a judge in conduct violating judicial conduct rules or other law

• (g) Engage in harassment or discrimination (race, sex, religion, national origin, ethnicity, disability, age, sexual orientation, gender identity, marital status, socioeconomic status) in conduct related to the practice of law

Rule 5.1(a)—What are partners/managers' duties to ensure firm-wide compliance?

• Must make REASONABLE EFFORTS to ensure the firm has measures in effect giving reasonable assurance that ALL lawyers in the firm conform to the Rules

• Applies to: partners, shareholders, members, and lawyers with comparable managerial authority

Rule 5.1(b)—What is a supervisory lawyer's duty over supervised lawyers

A supervisory lawyer must make reasonable efforts to ensure supervised lawyers conform to the Rules.

Rule 5.1(c)—When is a supervising/managerial lawyer personally responsible for another lawyer's violation?

Responsible if:

• (1) The lawyer ORDERED or, with knowledge of the specific conduct, RATIFIED it; OR

• (2) The lawyer is a partner/manager or direct supervisor AND knew of the conduct at a time when its consequences could have been avoided or mitigated, but FAILED to take reasonable remedial action

Rule 5.2(a)— Can a subordinate lawyer escape responsibility by following supervisor's orders?

NO — a lawyer is bound by the Rules notwithstanding that they acted at the direction of another person

Rule 5.2(b)—When does a subordinate lawyer get a safe harbor for following supervisor's direction?

A subordinate lawyer does NOT violate the Rules if acting following a supervisory lawyer's reasonable resolution on an arguable professional duty.

• Key: must be (1) arguable and (2) reasonable — not just any instruction

Rule 5.3(a)/(b)—What are lawyers' supervisory duties over nonlawyer assistants?

• Partners/managers: must make reasonable efforts to ensure the firm has measures giving reasonable assurance that nonlawyers' conduct is compatible with the lawyer's professional obligations

• Direct supervisors: must make reasonable efforts to ensure the nonlawyer's conduct is compatible with those obligations

Rule 5.3©—-When is a lawyer responsible for a nonlawyer’s conduct?

Same standard as 5.1(c) — responsible if:

• (1) Lawyer ordered or, with knowledge, ratified the conduct; OR

• (2) Lawyer is a partner/manager or direct supervisor, knew of the conduct when its consequences could be avoided or mitigated, and failed to take reasonable remedial action

Rule 1.18(a)—Who is a prospective client?

A prospective client is a person who consults a lawyer about the possibility of forming a client-lawyer relationship.

Rule 1.18(b)

A lawyer must not use or reveal information learned from a prospective client after a consultation.

Rule 1.18(c)—What is the conflict rule for prospective clients?

• Lawyer may NOT represent a client with interests MATERIALLY ADVERSE to a prospective client in the SAME OR SUBSTANTIALLY RELATED matter if the lawyer received information that could be SIGNIFICANTLY HARMFUL to the prospective client

• Imputed to the entire firm — no lawyer in the firm may take the matter

Rule 1.18(d) — How can a firm overcome disqualification under 1.18(c)? Representation is permissible if:

• (1) Both the affected client AND the prospective client give INFORMED CONSENT, confirmed in writing; OR

• (2) ALL THREE of:

– The lawyer who received info took reasonable measures to LIMIT exposure to disqualifying information

– The disqualified lawyer is TIMELY SCREENED and apportioned NO PART of the fee

– WRITTEN NOTICE is promptly given to the prospective client

Rule 1.1

• Legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation

• Can be achieved through: prior experience OR reasonable preparation OR association with a competent lawyer

• Emergency exception: may assist outside area of competence when referral is impractical, but only to the extent reasonably necessary

• Duty to maintain competence: keep abreast of changes in law and practice, including relevant technology

Rule 1.3—What is the duty of diligence?

• Must act with REASONABLE DILIGENCE AND PROMPTNESS in representing a client

• Includes: pursuing matters despite opposition, obstruction, or personal inconvenience

• Workload must be controlled so each matter can be handled competently

• Must carry through to conclusion all matters undertaken (unless relationship terminated per 1.16)

Rule 1.4(a)

A lawyer shall:

• (1) Promptly inform client of decisions/circumstances requiring client's INFORMED CONSENT

• (2) Reasonably CONSULT with client about means to accomplish objectives

• (3) Keep client REASONABLY INFORMED about status of the matter

• (4) Promptly COMPLY with reasonable requests for information

• (5) CONSULT about limitations on the lawyer's conduct when client expects assistance not permitted by the Rules

Rule 1.4(b)—What is the duty to explain?

• Must explain a matter to the extent REASONABLY NECESSARY to permit the client to make informed decisions regarding the representation

Rule 1.2(a)—Who controls objectives? Means? What decisions belong exclusively to client?

• CLIENT controls: objectives of representation

• LAWYER controls: means (subject to consultation with client)

• Client's exclusive decisions: whether to settle, plea to enter (criminal), waive jury trial, whether to testify (criminal)

Rule 1.2(b)

NO — representation does not constitute an endorsement of the client's political, economic, social, or moral views or activities

Rule 1.2(c)—Can a lawyer limit the scope of representation?

YES, if:

• The limitation is REASONABLE under the circumstances, AND

• The client gives INFORMED CONSENT

Rule 1.2(d)—What is th elimit on assisting clients with illegal conduct?

• Must NOT counsel or assist a client in conduct the lawyer KNOWS is criminal or fraudulent

• MAY: discuss legal consequences of proposed conduct; counsel or assist in a good-faith effort to determine the validity, scope, meaning, or application of the law

Rule 1.14(a)—-What is the general duty when a client has diminished capacity?

• As far as reasonably possible, maintain a NORMAL client-lawyer relationship with the client

• Diminished capacity may result from: minority, mental impairment, or other reasons

Rule 1.14(b)—-When may a lawyer take protective action for a client with diminished capacity?

When the lawyer REASONABLY BELIEVES the client:

• Has DIMINISHED CAPACITY,

• Is at risk of SUBSTANTIAL physical, financial, or other harm unless action is taken, AND

• Cannot adequately act in the client's own interest

→ May take reasonably necessary protective action, including consulting with protective individuals/entities or seeking a guardian ad litem, conservator, or guardian

Rule 1.14(c)—What confidentiality rules apply when taking protective action?

• Information is protected by Rule 1.6

• When taking protective action under (b), lawyer is IMPLIEDLY AUTHORIZED to reveal information — but ONLY to the extent reasonably necessary to protect the client's interests

Rule 1.16(a)—When must a lawyer decline or withdraw from representation?

Must decline or withdraw if:

• (1) Representation would violate the Rules or other law

• (2) Lawyer's physical or mental condition MATERIALLY IMPAIRS ability to represent the client

• (3) The lawyer is DISCHARGED

• (4) Client seeks to use or persists in using lawyer's services to commit or further a crime or fraud (after lawyer's discussion per 1.2(d) and 1.4(a)(5))

• Exception: if tribunal requires continued representation (see (c))

Rule 1.16(b)—-When may a lawyer permissively withdraw?

May withdraw if:

• (1) Withdrawal accomplished without MATERIAL ADVERSE EFFECT on client

• (2) Client persists in criminally or fraudulently using lawyer's services

• (3) Client has already used lawyer's services to perpetrate crime or fraud

• (4) Client insists on action lawyer finds REPUGNANT or a FUNDAMENTAL DISAGREEMENT

• (5) Client FAILS SUBSTANTIALLY to fulfill obligations to lawyer after reasonable warning

• (6) Representation will result in UNREASONABLE FINANCIAL BURDEN or client made it unreasonably difficult

• (7) OTHER GOOD CAUSE

Rule 1.16(c)/(d)—What are the procedural duties upon withdrawal?

• (c) Must comply with applicable law requiring notice to or permission of tribunal; must continue if ordered by tribunal

• (d) Must take steps to PROTECT CLIENT'S INTERESTS: give reasonable notice, allow time for new counsel, surrender papers and property, refund unearned advance fees

Rule 1.6(a)—General confidentiality rule?

• Shall NOT reveal information relating to the representation UNLESS:

– Client gives INFORMED CONSENT, OR

– Disclosure is IMPLIEDLY AUTHORIZED to carry out the representation, OR

– Disclosure is permitted by Rule 1.6(b)

• Covers ALL information relating to the representation, regardless of source

Rule 1.6(b)—What are the seven permissible disclosure exceptions?

A lawyer MAY reveal to the extent reasonably believes necessary:

• (1) To prevent REASONABLY CERTAIN DEATH OR SUBSTANTIAL BODILY HARM

• (2) To prevent client's crime/fraud reasonably certain to cause SUBSTANTIAL FINANCIAL INJURY, where client used/is using lawyer's services

• (3) To prevent, mitigate, or RECTIFY substantial financial injury from client's past crime/fraud using lawyer's services

• (4) To secure LEGAL ADVICE about lawyer's compliance with the Rules

• (5) To establish a CLAIM OR DEFENSE in a lawyer-client controversy, or respond to allegations in proceedings re: lawyer's representation

• (6) To comply with OTHER LAW OR COURT ORDER

• (7) To detect and resolve CONFLICTS OF INTEREST upon change of employment or firm composition — only if disclosure wouldn't compromise privilege or prejudice client

Rule 1.6(c)—-What is the duty to safeguard confidential information?

• Must make REASONABLE EFFORTS to prevent inadvertent or unauthorized disclosure of, or unauthorized access to, client information

Rule 1.13(a)—Who does a lawyer for an organization represent?

The ORGANIZATION — acting through its duly authorized constituents (not individual officers, employees, etc.)

Rule 1.13(b)—— What must a lawyer do when an organizational constituent is acting wrongfully?

When the lawyer KNOWS a constituent is engaged in, intends to, or refuses to act in violation of a legal obligation to the org or law that might be imputed to the org, AND that is likely to result in SUBSTANTIAL INJURY to the org:

• Must proceed as REASONABLY NECESSARY in the organization's best interest

• Shall (unless unreasonable) REFER to higher authority, up to and including the HIGHEST AUTHORITY that can act

Rule 1.13(c)— When may a lawyer for an organization reveal confidential information externally?

May reveal (even beyond 1.6 limits) ONLY IF:

• (1) Despite lawyer's efforts under (b), highest authority INSISTS ON or FAILS TO ADDRESS a clear violation of law, AND

• (2) The violation is reasonably certain to result in SUBSTANTIAL INJURY to the organization

→ Then may reveal only to the extent reasonably necessary to prevent that injury

• EXCEPTION: Does NOT apply to representation to investigate or defend the organization against claims

Rule 1.13(f)—What must a lawyer tell organizational constituents?

When dealing with an organization's constituents, if the lawyer knows the constituent's interests are adverse to the organization, must EXPLAIN that the lawyer represents the organization, not the constituent — and advise them to get their own counsel

Rule 1.7(a)—What is a concurrent conflict of interest?

A concurrent conflict exists if:

• (1) Representation of one client will be DIRECTLY ADVERSE to another client; OR

• (2) There is a SIGNIFICANT RISK the representation will be MATERIALLY LIMITED by responsibilities to another client, a former client, a third person, or the lawyer's own personal interest

Rule 1.7(b)—When can a lawyer proceed despite a concurrent conflict? ALL FOUR conditions must be met:

• (1) Lawyer REASONABLY BELIEVES they can provide competent and diligent representation to each affected client

• (2) Representation is NOT PROHIBITED BY LAW

• (3) No assertion of a claim by one client AGAINST another client in the same litigation/proceeding

• (4) Each affected client gives INFORMED CONSENT, CONFIRMED IN WRITING

Rule 1.10(a)—What is the general imputation rule while lawyers are associated in a firm?

No lawyer in a firm may represent a client when ANY ONE of them would be prohibited under Rules 1.7 or 1.9

• EXCEPTIONS:

– (1) If the prohibition is based on a PERSONAL INTEREST of the disqualified lawyer and does not present a significant risk of materially limiting the firm's representation

– (2) If the prohibition is based on 1.9(a) or (b) from a PRIOR FIRM, AND:

· Disqualified lawyer is TIMELY SCREENED and apportioned NO PART of the fee

· WRITTEN NOTICE promptly given to affected former client (including screening procedures, compliance statements, right to review, and firm's agreement to respond to inquiries)

· CERTIFICATIONS of compliance provided to former client at reasonable intervals upon request and upon termination of screening

Rule 1.10(b)—What happens when a lawyer leaves a firm?

• Firm is NOT prohibited from representing persons adverse to the departed lawyer's former clients UNLESS:

– (1) The matter is the SAME OR SUBSTANTIALLY RELATED, AND

– (2) A REMAINING LAWYER has material information protected by Rules 1.6 and 1.9(c)

Rule 1.10(c)/(d)—Additional imputation rules

• (c) A disqualification under this Rule may be WAIVED by the affected client under Rule 1.7 conditions

• (d) Conflicts involving former/current GOVERNMENT LAWYERS are governed by Rule 1.11 (not this rule)

Rule 1.9(a)—What is a former client conflict for the indivdual lawyer?

A lawyer who FORMERLY REPRESENTED a client shall not thereafter represent another person in the SAME OR SUBSTANTIALLY RELATED MATTER in which that person's interests are MATERIALLY ADVERSE to the former client

• EXCEPTION: Former client gives INFORMED CONSENT, CONFIRMED IN WRITING

Rule 1.9(b)— What is the former client conflict based on a former firm?

A lawyer shall not represent a person in the same/substantially related matter in which a FIRM WITH WHICH THE LAWYER FORMERLY WAS ASSOCIATED previously represented a client:

• (1) Whose interests are MATERIALLY ADVERSE to the current person, AND

• (2) About whom the lawyer acquired information protected by 1.6 and 1.9(c) that is MATERIAL TO THE MATTER

• EXCEPTION: Former client gives INFORMED CONSENT, CONFIRMED IN WRITING

Rule 1.9(c) — What ongoing duties does a lawyer have toward former clients re: information?

A lawyer who formerly represented a client (or whose firm did) shall NOT:

• (1) USE information relating to the representation to the DISADVANTAGE of the former client (except as Rules permit re: a current client, or when info has become GENERALLY KNOWN)

• (2) REVEAL information relating to the representation (except as Rules permit re: a current client)

Rule 1.5(a)—What is the standard for a reasonable fee, and what factors apply?

Must not make an agreement for, charge, or collect an UNREASONABLE FEE or unreasonable expenses

Reasonableness factors:

• Time/labor, novelty/difficulty, skill required

• Likelihood of preclusion of other employment

• Fee customarily charged in the locality

• Amount involved and results obtained

• Time limitations imposed

• Nature and length of professional relationship

• Experience, reputation, ability of lawyer(s)

• Whether fee is fixed or contingent

Rule 1.5(b)—What are the fee communication requirements?

• Scope of representation AND basis/rate of fee and expenses must be COMMUNICATED TO THE CLIENT, PREFERABLY IN WRITING, before or within reasonable time after commencing representation

• Exception: regularly represented client charged on same basis

• Any CHANGES must also be communicated

Rule 1.5(c)— What are the rules for contingent fees?

• Must be IN A WRITING SIGNED BY THE CLIENT

• Must state: method of fee determination (percentages for settlement/trial/appeal), litigation expenses and whether deducted before or after fee calculation, client liability for expenses regardless of outcome

• Upon conclusion: must provide client a WRITTEN STATEMENT of outcome and, if recovery, remittance and method of determination

Rule 1.5(d)—What fee arrangements are prohibited?

• (1) Contingent fees in DOMESTIC RELATIONS matters where the fee is contingent on securing a divorce or on the amount of alimony/support/property settlement

• (2) Contingent fees for REPRESENTING A DEFENDANT IN A CRIMINAL CASE

Rule 1.5(e)— When may fees be divided between lawyers not in the same firm?

Only if:

• (1) Division is in PROPORTION TO SERVICES performed by each lawyer, OR each assumes JOINT RESPONSIBILITY for the representation

• (2) Client AGREES to the arrangement, including the share each lawyer will receive, confirmed in WRITING

• (3) Total fee is REASONABLE

Rule 1.15(a) —What are the basic property safekeeping duties?

• Must hold client/third-party property SEPARATE from lawyer's own property

• Funds: kept in a SEPARATE CLIENT TRUST ACCOUNT in the state of the lawyer's office (or elsewhere with client/third-party consent)

• Other property: identified as such and appropriately safeguarded

• Complete records preserved for [FIVE YEARS] after termination

Rule 1.15(b)/(c)—What are the rules about lawyer funds in trust accounts and advance fees?

• (b) Lawyer may deposit own funds ONLY to pay bank service charges, in amounts necessary for that purpose

  • (c) ADVANCE FEES AND EXPENSES must be deposited into the trust account; withdrawn only as fees are EARNED or expenses INCURRED

Rule 1.15(d)—What are the prompt delivery duties?

pon receiving funds/property in which a client or third person has an interest:

• Must PROMPTLY NOTIFY the client or third person

• Must PROMPTLY DELIVER any funds/property they are entitled to receive

• Must PROMPTLY RENDER a full accounting upon request

Rule 1.15(e)— What if there's a dispute over property in the lawyer's possession?

• Must KEEP THE PROPERTY SEPARATE until the dispute is resolved

• Must PROMPTLY DISTRIBUTE undisputed portions

Rule 1.8(a)— What are the requirements for business transactions with a client?

Must NOT enter into a business transaction with a client or acquire a pecuniary interest adverse to a client UNLESS ALL THREE:

• (1) Transaction terms are FAIR AND REASONABLE and FULLY DISCLOSED IN WRITING in a manner the client can understand

• (2) Client is ADVISED IN WRITING to seek independent legal counsel and given REASONABLE OPPORTUNITY to do so

• (3) Client gives INFORMED CONSENT in a WRITING SIGNED BY THE CLIENT, including whether lawyer is representing client in the transaction

Rule 1.8(b)— Use of client information

• Must NOT use information relating to the representation to the DISADVANTAGE OF THE CLIENT

• EXCEPTION: Client gives informed consent, or as otherwise permitted/required by the Rules

Rule 1.8(c)— Gifts from clients

• Must NOT SOLICIT any substantial gift from a client (including testamentary gifts)

• Must NOT PREPARE an instrument giving the lawyer or a related person any substantial gift from a client

• EXCEPTION: Lawyer or recipient is RELATED TO THE CLIENT (spouse, child, grandchild, parent, grandparent, or person with close familial relationship)

Rule 1.8(d)—Literary/media rights

• Must NOT make or negotiate an agreement giving lawyer LITERARY OR MEDIA RIGHTS to a portrayal or account based substantially on representation PRIOR TO CONCLUSION of representation

Rule 1.8(e)—Financial assistance to clients

Must NOT provide financial assistance in connection with pending/contemplated litigation

EXCEPTIONS:

• May ADVANCE court costs and litigation expenses (repayment may be contingent on outcome)

• For INDIGENT clients: may pay court costs/expenses outright

• For indigent clients pro bono (including through nonprofit/law school): may pay court costs/expenses outright

Rule 1.8(f)— Compensation from third parties

Must NOT accept compensation for representing a client from someone other than the client UNLESS:

• (1) Client gives INFORMED CONSENT

• (2) No INTERFERENCE with lawyer's independence of professional judgment or client-lawyer relationship

• (3) Client's CONFIDENTIAL INFORMATION is protected per Rule 1.6

Rule 1.8(g)—Aggregate Settlements

Must NOT make an aggregate settlement or agree to an aggregate criminal plea on behalf of multiple clients UNLESS:

• Each client gives INFORMED CONSENT IN A WRITING SIGNED BY THE CLIENT

• Disclosure must include: existence/nature of all claims, the total involved, and each person's participation

Rule 1.8(h)—Limiting malpractice liability

Must NOT make an agreement PROSPECTIVELY LIMITING liability for malpractice UNLESS the client is independently represented in making the agreement

• Must NOT SETTLE a malpractice claim with an unrepresented client/former client without first advising them in writing to seek independent legal counsel and giving them reasonable opportunity to do so

Rule 1.8(i)—Proprietary interest in cause of action

Must NOT acquire a PROPRIETARY INTEREST in the cause of action or subject matter of litigation the lawyer is conducting for a client

EXCEPTIONS:

• May take a LIEN authorized by law to secure fees/expenses

• May contract with a client for a REASONABLE CONTINGENT FEE in a civil case

Rule 1.8(j)—Sexual relations with clients

Must NOT have SEXUAL RELATIONS with a client UNLESS a consensual sexual relationship existed between them when the client-lawyer relationship commenced

Rule 1.8(k)— Firm-wide imputation of 1.8 prohibitions

• Prohibitions in (a)–(i) are IMPUTED to all lawyers in the firm

• EXCEPTION: Prohibitions based on a PERSONAL INTEREST of the prohibited lawyer that do not present a significant risk of materially limiting representation by remaining lawyers

Rule 5.4(a)—Fee sharing with nonlawyers

Must NOT share legal fees with a nonlawyer

EXCEPTIONS:

• Death payments over time to lawyer's estate/designated persons per firm agreement

• Purchase price paid to estate of deceased/disabled/disappeared lawyer (per Rule 1.17)

• Including nonlawyer employees in compensation/retirement plan (even profit-sharing)

• Sharing court-awarded fees with a NONPROFIT that employed/retained/recommended the lawyer

Rule 5.4(b)/(c)/(d)—Other nonlawyer independence rules

• (b) Must NOT form a PARTNERSHIP with a nonlawyer if any activities involve the practice of law

• (c) Must NOT PERMIT a third party (who recommends, employs, or pays the lawyer) to direct or regulate the lawyer's professional judgment

• (d) Must NOT practice in a professional corporation if: a nonlawyer OWNS any interest, serves as DIRECTOR/OFFICER, or has the right to DIRECT OR CONTROL professional judgment of a lawyer

Rule 5.6(a)— Restrictions on right to practice — firm agreements

Must NOT participate in offering or making a partnership, shareholder, employment, or similar agreement that RESTRICTS THE RIGHT TO PRACTICE after termination of the relationship

• EXCEPTION: Agreement concerning RETIREMENT BENEFITS

Rule 5.6(b)— Restrictions on right to practice — settlement agreements

Must NOT include a restriction on the lawyer's right to practice as part of a SETTLEMENT OF A CLIENT CONTROVERSY

Rule 1.11(a)— Former government lawyer: personal disqualification

A lawyer who formerly served as a public officer or employee:

• (1) Is subject to Rule 1.9(c) (confidentiality duties to former clients), AND

• (2) Shall NOT represent a client in a matter in which the lawyer PARTICIPATED PERSONALLY AND SUBSTANTIALLY as a public officer/employee

• EXCEPTION: Appropriate government agency gives INFORMED CONSENT, CONFIRMED IN WRITING

Rule 1.11(b)— Former government lawyer: firm imputation

When a former government lawyer is disqualified under (a):

• No lawyer in the firm may knowingly take or continue the matter UNLESS:

– (1) Disqualified lawyer is TIMELY SCREENED and apportioned NO PART of the fee

– (2) WRITTEN NOTICE promptly given to the appropriate government agency

Rule 1.11(c)— Confidential government information

A lawyer with CONFIDENTIAL GOVERNMENT INFORMATION about a person (acquired as a government officer/employee) may NOT represent a private client ADVERSE TO THAT PERSON in a matter where the information could be used to their MATERIAL DISADVANTAGE

• Firm may take the matter only if the lawyer is TIMELY SCREENED and apportioned NO PART of the fee

• "Confidential government information" = obtained under governmental authority, prohibited by law from public disclosure (or privileged), and not otherwise publicly available

Rule 1.11(d)— Current government lawyer

A current government lawyer:

• (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 in private practice (unless agency gives informed consent, confirmed in writing); or (ii) NEGOTIATE FOR PRIVATE EMPLOYMENT with a party involved in a matter the lawyer is participating in (except for judges — see Rule 1.12)

Rule 1.11(e) Definition of "matter" for 1.11 purposes

Includes: any judicial or administrative proceeding, application, request for a ruling, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter involving specific parties

• Does NOT include: general rulemaking or broadly applicable legislation/regulation/rulemaking

Rule 3.2—Duty to expedite litigation

• Must make REASONABLE EFFORTS TO EXPEDITE LITIGATION consistent with the interests of the client

• Delay solely for convenience of advocates is improper

• Financial or other benefit from delay is NOT a legitimate client interest

Rule 3.3(a)—Candor: prohibited conduct toward tribunal

A lawyer shall NOT knowingly:

• (1) Make a FALSE STATEMENT OF FACT OR LAW to a tribunal, or fail to correct a previously made false material statement

• (2) Fail to disclose DIRECTLY ADVERSE LEGAL AUTHORITY in the controlling jurisdiction known to the lawyer and not disclosed by opposing counsel

• (3) OFFER EVIDENCE known to be false; if material false evidence has already been offered, must take REASONABLE REMEDIAL MEASURES, including if necessary DISCLOSURE TO THE TRIBUNAL

• May refuse to offer evidence (other than defendant's testimony in a criminal matter) that lawyer REASONABLY BELIEVES is false

Rule 3.3(b)—Criminal/fraudulent conduct related to proceeding

• If lawyer knows a person intends to, is engaging, or has engaged in CRIMINAL OR FRAUDULENT CONDUCT related to the proceeding, must take REASONABLE REMEDIAL MEASURES, including if necessary DISCLOSURE TO THE TRIBUNAL

Rule 3.3(c)/(d)—Scope of candor duties

• (c) Duties under 3.3(a) and (b) continue to CONCLUSION OF THE PROCEEDING, even if compliance requires overriding Rule 1.6 confidentiality

• (d) In EX PARTE proceedings: must inform tribunal of ALL MATERIAL FACTS known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse

Rule 3.1—Meritorious claims and contentions

• Must NOT bring or defend a proceeding, or assert/controvert an issue, unless there is a BASIS IN LAW AND FACT that is NOT FRIVOLOUS

• Includes good faith arguments for extension, modification, or reversal of existing law

• EXCEPTION: Defense in a criminal case (or proceeding involving potential incarceration) — lawyer may require every element to be established regardless of merits

Rule 3.4 — Fairness to opposing party and counse

A lawyer shall NOT:

• (a) Unlawfully obstruct access to evidence; unlawfully alter, destroy, or conceal material with potential evidentiary value; or counsel/assist another to do so

• (b) Falsify evidence, counsel/assist a witness to testify falsely, or offer prohibited inducements to a witness

• (c) Knowingly disobey a tribunal obligation (except open refusal asserting no valid obligation exists)

• (d) Make frivolous discovery requests or fail to make reasonably diligent efforts to comply with proper discovery requests

• (e) At trial: allude to inadmissible/irrelevant matter, assert personal knowledge of disputed facts, or state personal opinion on justness of cause, credibility of witness, culpability of civil litigant, or guilt/innocence of accused

• (f) Request a non-client to refrain from giving relevant information to another party UNLESS: (1) person is a relative, employee, or agent of client, AND (2) lawyer reasonably believes the person's interests won't be adversely affected

Rule 3.5— Impartiality and decorum of the tribunal

A lawyer shall NOT:

• (a) Seek to influence a judge, juror, prospective juror, or other official by means PROHIBITED BY LAW

• (b) Communicate EX PARTE with such a person during the proceeding unless authorized by law or court order

• (c) Communicate with a juror or prospective juror AFTER DISCHARGE if: (1) prohibited by law/court order; (2) juror has expressed desire not to communicate; or (3) communication involves misrepresentation, coercion, duress, or harassment

• (d) Engage in conduct intended to DISRUPT A TRIBUNAL

Rule 3.6(a)—Trial publicity: general prohibition

• Must NOT make an EXTRAJUDICIAL STATEMENT the lawyer knows or reasonably should know will be disseminated publicly and will have a SUBSTANTIAL LIKELIHOOD OF MATERIALLY PREJUDICING an adjudicative proceeding

Rule 3.6(b)—Trial publicity: what is permissible to say

A lawyer MAY state:

• The claim, offense, or defense involved and (unless prohibited) the identity of persons involved

• Information in a PUBLIC RECORD

• That an investigation is in progress

• Scheduling or result of any step in litigation

• Request for assistance in obtaining evidence

• Warning of danger concerning a person involved (when substantial harm to individual or public interest is likely)

• In CRIMINAL CASES (additionally): accused's identity/residence/occupation/family status; info needed to apprehend unapprehended accused; fact, time, place of arrest; identity of investigating/arresting officers and length of investigation

Rule 3.6(c)/(d) — Trial publicity: right of reply and firm-wide scope

• (c) May make a statement a REASONABLE LAWYER would believe is REQUIRED TO PROTECT THE CLIENT from substantial undue prejudicial effect of RECENT PUBLICITY not initiated by the lawyer — limited to information necessary to mitigate

• (d) No lawyer in the FIRM OR GOVERNMENT AGENCY associated with a lawyer subject to (a) may make a statement prohibited by (a)

Rule 3.7(a)— Lawyer as witness: when may a lawyer serve as both advocate and witness? A lawyer shall NOT act as advocate at a trial in which the lawyer is likely to be a NECESSARY WITNESS unless:

• (1) Testimony relates to an UNCONTESTED ISSUE

• (2) Testimony relates to the NATURE AND VALUE OF LEGAL SERVICES rendered in the case

• (3) Disqualification would work SUBSTANTIAL HARDSHIP on the client

Rule 3.7(b)—Lawyer as witness: firm members

• A lawyer MAY act as advocate even if another lawyer in the FIRM is likely to be a witness — UNLESS precluded by Rule 1.7 or Rule 1.9

Rule 3.9 — Advocate in nonadjudicative proceedings

When representing a client before a LEGISLATIVE BODY OR ADMINISTRATIVE AGENCY in a NONADJUDICATIVE proceeding, a lawyer:

• Must DISCLOSE that the appearance is in a representative capacity

• Must conform to Rules 3.3(a)–(c) (candor), 3.4(a)–(c) (fairness), and 3.5 (decorum)

Rule 4.1— Truthfulness to third persons

In representing a client, a lawyer shall NOT knowingly:

• (a) Make a FALSE STATEMENT OF MATERIAL FACT OR LAW to a third person

• (b) Fail to DISCLOSE A MATERIAL FACT when disclosure is necessary to avoid assisting a client's CRIMINAL OR FRAUDULENT ACT — unless prohibited by Rule 1.6

• Note: Estimates of price/value and settlement positions are NOT generally "statements of fact" under accepted negotiation conventions

Rule 4.2— No-contact rule

Must NOT communicate about the SUBJECT OF THE REPRESENTATION with a person the lawyer KNOWS is REPRESENTED BY ANOTHER LAWYER in the matter — unless:

• The other lawyer CONSENTS, OR

• Authorized by LAW OR COURT ORDER

• Applies even if the represented person initiates or consents; applies through agents

Rule 4.3— Dealing with unrepresented persons

When dealing with an unrepresented person:

• Must NOT STATE OR IMPLY the lawyer is DISINTERESTED

• Must make REASONABLE EFFORTS TO CORRECT any misunderstanding about the lawyer's role

• Must NOT give LEGAL ADVICE (other than advice to secure counsel) if the lawyer knows or reasonably should know the unrepresented person's interests ARE OR MAY BE IN CONFLICT with the client's

Rule 4.4(a)— Respect for rights of third persons

Must NOT use means that have NO SUBSTANTIAL PURPOSE OTHER THAN to embarrass, delay, or burden a third person, or use methods of obtaining evidence that VIOLATE THE LEGAL RIGHTS of such a person

Rule 4.4(b)—Inadvertently sent documents

If a lawyer receives a document or ESI relating to the representation that the lawyer knows or reasonably should know was INADVERTENTLY SENT: must PROMPTLY NOTIFY THE SENDER

Rule 3.8(a)–(d)—-Special duties of prosectuors

A prosecutor shall:

• (a) NOT prosecute a charge the prosecutor KNOWS is not supported by PROBABLE CAUSE

• (b) Make reasonable efforts to assure the accused has been ADVISED OF RIGHT TO COUNSEL and given reasonable opportunity to obtain counsel

• (c) NOT seek a waiver of IMPORTANT PRETRIAL RIGHTS from an unrepresented accused

• (d) Make TIMELY DISCLOSURE to the defense of all evidence or information that tends to NEGATE GUILT or mitigates the offense; at sentencing, disclose all unprivileged MITIGATING INFORMATION to defense and tribunal (unless protective order applies)

Rule 3.8(e)— Prosecutor subpoenaing a lawyer

Must NOT subpoena a lawyer in a grand jury or criminal proceeding to present evidence about a past/present client UNLESS the prosecutor REASONABLY BELIEVES:

• (1) Information is NOT PROTECTED by any privilege

• (2) Evidence is ESSENTIAL to the successful completion of an ongoing investigation or prosecution

• (3) There is NO OTHER FEASIBLE ALTERNATIVE to obtain the information

Rule 3.8(f)—Prosecutor’s extrajudicial statements

• Must refrain from extrajudicial comments with a SUBSTANTIAL LIKELIHOOD OF HEIGHTENING PUBLIC CONDEMNATION of the accused (except statements necessary to inform the public of nature/extent of action serving a legitimate law enforcement purpose)

• Must exercise REASONABLE CARE to prevent investigators, law enforcement, employees, and others associated with the case from making statements the prosecutor would be prohibited from making

Rule 3.8(g)—Prosecutor’s duty re: new exculpatory evidence post-conviction

When prosecutor knows of NEW, CREDIBLE, AND MATERIAL EVIDENCE creating a REASONABLE LIKELIHOOD that a convicted defendant did not commit the offense:

• Must PROMPTLY DISCLOSE to an appropriate court or authority

• If the conviction was in the prosecutor's jurisdiction: must PROMPTLY DISCLOSE to the defendant and undertake further investigation or make reasonable efforts to cause investigation

Rule 3.8(h)— Prosecutor's duty re: known false conviction

When a prosecutor knows of CLEAR AND CONVINCING EVIDENCE establishing that a defendant in the prosecutor's jurisdiction was CONVICTED OF AN OFFENSE THE DEFENDANT DID NOT COMMIT:

• Must SEEK TO REMEDY THE CONVICTION

Rule 7.1—False or misleading communications

Must 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 not materially misleading when considered as a whole

Rule 7.2(a)/(b) — Advertising and referrals

• (a) May communicate information about services through ANY MEDIA

• (b) Must NOT compensate, give, or promise anything of value to a person for RECOMMENDING the lawyer's services

EXCEPTIONS to (b): paying reasonable advertising costs; paying usual charges of legal service plan or nonprofit/qualified referral service; paying for a law practice (per 1.17); RECIPROCAL REFERRAL AGREEMENTS if not exclusive and client is informed; NOMINAL GIFTS as appreciation not intended as compensation