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Rule 1.0(d)
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"Firm" or "law firm" denotes a lawyer or lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation, government entity, or other organization
When deciding if a group of lawyers are a law firm: What does it appear to the public? Would it be reasonable for a client to think they're affiliated? Do they have access to each other's confidential information?
When deciding if a group of lawyers are a law firm: What does it appear to the public? Would it be reasonable for a client to think they're affiliated? Do they have access to each other's confidential information?
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Rule 1.10
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Members of a firm share conflicts (conflicts of interest are contagious)
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Rule 5.2 Responsibilities of a Subordinate Lawyer
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(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.
(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.
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Rule 5.1 Responsibilities of Principals, Managers, and Supervisory Lawyers
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(a) A principal in a law firm, and a lawyer who individually or together with other lawyers possesses comparable managerial authority, shall make reasonable efforts to ensure that the firm or the organization has in effect measures giving reasonable assurance that all lawyers in the firm or the organization conform to the Rules of Professional Conduct
(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct
(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 principal 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 to avoid the consequences
(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct
(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 principal 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 to avoid the consequences
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Rule 5.3 Responsibilities Regarding Nonlawyer Assistance
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With respect to a nonlawyer employed or retained by or associated with a lawyer
(a) a principal, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm or organization shall make reasonable efforts to ensure that the firm or organization has in effect measures giving reasonable assurance that the non lawyer's conduct is compatible with the professional obligations of the lawyer;
(b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the nonlawyer's conduct is compatible with the professional obligations of the lawyer; and
(c) a lawyer shall be responsible for conduct of such a nonlawyer that would be a violation of the RPC if engaged in by a lawyer if:
(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or
(2) the lawyer is a principal or has comparable managerial authority in the law firm or organization in which the person is employer, or has direct supervisory authority over the non lawyer, and knows of the the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action to avoid the consequences
(a) a principal, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm or organization shall make reasonable efforts to ensure that the firm or organization has in effect measures giving reasonable assurance that the non lawyer's conduct is compatible with the professional obligations of the lawyer;
(b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the nonlawyer's conduct is compatible with the professional obligations of the lawyer; and
(c) a lawyer shall be responsible for conduct of such a nonlawyer that would be a violation of the RPC if engaged in by a lawyer if:
(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or
(2) the lawyer is a principal or has comparable managerial authority in the law firm or organization in which the person is employer, or has direct supervisory authority over the non lawyer, and knows of the the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action to avoid the consequences
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Rules 5.1 & 5.3 in Plain Language
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Lawyers in a supervisory position must have
(a) adequate policies (like a manual)
(b) reasonable direct supervision
(c) vicarious liability if there is
(1) intent
(2) specific knowledge + approval OR secretary is embezzling & attorney allows them to stay on after they're caught
(3) opportunity to remediate & failure to do so
(a) adequate policies (like a manual)
(b) reasonable direct supervision
(c) vicarious liability if there is
(1) intent
(2) specific knowledge + approval OR secretary is embezzling & attorney allows them to stay on after they're caught
(3) opportunity to remediate & failure to do so
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Rule 5.6 Restrictions on Right to Practice
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A lawyer shall not participate in offering or making:
(a) a partnership, shareholders, operating, employment, or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or
(b) an agreement in which a restriction on the lawyer's right to practice is part of the settlement of a client controversy.
NO NON COMPETES ALLOWED
(a) a partnership, shareholders, operating, employment, or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or
(b) an agreement in which a restriction on the lawyer's right to practice is part of the settlement of a client controversy.
NO NON COMPETES ALLOWED
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Regulating Lawyers: Discipline
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Rules aren't for any form of civil or criminal liability. But you can still face some disciplinary consequences like disbarment, suspension, reprimand/censure
Most complaints do not result in disciplinary action
We are a self-regulating profession. Ultimate authority over the legal profession lies with the courts but lawyers dominate the rule-making process
Most complaints do not result in disciplinary action
We are a self-regulating profession. Ultimate authority over the legal profession lies with the courts but lawyers dominate the rule-making process
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Rule 8.5: Disciplinary Authority; Choice of Law
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If you are licensed here, or engage in misconduct here, we have jurisdiction
For misconduct in litigation, rules of tribunal apply
For other misconduct, rules where conduct occurred or had predominant effect apply
For misconduct in litigation, rules of tribunal apply
For other misconduct, rules where conduct occurred or had predominant effect apply
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Rule 8.4: Misconduct
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It is professional misconduct for a lawyer to:
(a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;
(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;
(e) state or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law; or
(f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law.
(g) intentionally prejudice or damage his or her client during the course of the professional relationship, except as may be required by Rule 3.3
(a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;
(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;
(e) state or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law; or
(f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law.
(g) intentionally prejudice or damage his or her client during the course of the professional relationship, except as may be required by Rule 3.3
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Rule 8.3 Reporting Professional Misconduct
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Knowledge + Substantiality
(a) A lawyer who knows that another lawyer has committed a violation of the RPC that raises a substantial question as to that lawyer's honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the NC State Bar or the court having jurisdiction over the matter
Knowledge = objective standard (reasonable lawyer under the circumstances would have formed a firm opinion that the conduct in question had more likely than not occurred) & can be inferred from circumstances
(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 NC Judicial Standards Commission or other appropriate authority
(c) This rules does not require disclosure of information otherwise protected by Rule 1.6 (client confidentiality + info from participating in LAP)
(d) A lawyer who is disciplined in any state or federal court for a violation of RPC in effect in such state or federal court shall inform the secretary of the NC State Bar of such action in writing no later than 30 days after entry of order of discipline
(e) A lawyer who is serving as a mediator & who is subject to the NC Supreme Court Standards of Professional Conduct for Mediators is not required to disclose information learned during a mediation if the standards do not allow disclosure.
(a) A lawyer who knows that another lawyer has committed a violation of the RPC that raises a substantial question as to that lawyer's honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the NC State Bar or the court having jurisdiction over the matter
Knowledge = objective standard (reasonable lawyer under the circumstances would have formed a firm opinion that the conduct in question had more likely than not occurred) & can be inferred from circumstances
(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 NC Judicial Standards Commission or other appropriate authority
(c) This rules does not require disclosure of information otherwise protected by Rule 1.6 (client confidentiality + info from participating in LAP)
(d) A lawyer who is disciplined in any state or federal court for a violation of RPC in effect in such state or federal court shall inform the secretary of the NC State Bar of such action in writing no later than 30 days after entry of order of discipline
(e) A lawyer who is serving as a mediator & who is subject to the NC Supreme Court Standards of Professional Conduct for Mediators is not required to disclose information learned during a mediation if the standards do not allow disclosure.
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Hypo 1- Drunk lawyer talking a lot at a bar
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Come back
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Hypo 2- Classmate borrowing $200
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Come back
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Hypo 3- Wife divorcing attorney husband who accepted sex as payment and now wants a settlement clause to prohibit reporting
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Must have client's permission to disclose confidential information given to you by client
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