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Chapter 1. Lawyer-Client Relationship (Rules 1.1 – 1.18) 2 Comment Allocation of Authority between Client and Lawyer [1] Paragraph (a) confers upon the client the ultimate authority to determine the purposes to be served by legal representation, within the limits imposed by law and the lawyer’s professional obligations.
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[1] The requirement that the sale be of “all or substantially* all of the law practice of a lawyer” prohibits the sale of only a field or area of practice or the seller’s practice in a geographical area or in a particular jurisdiction. The prohibition against the sale of less than all or substantially* all of a practice protects those clients whose matters are less lucrative and who might find it difficult to secure other counsel if a sale could be limited to substantial* fee-generating matters. The purchasers are required to undertake all client matters sold in the transaction, subject to client consent. This requirement is satisfied, however, even if a purchaser is unable to undertake a particular client matter because of a conflict of interest.
Subject to rule 1.2.1, a lawyer shall abide by a client’s decisions concerning the objectives of representation and, as required by rule 1.4, shall reasonably* consult with the client as to the means by which they are to be pursued. Subject to Business and Professions Code section 6068, subdivision (e)(1) and rule 1.6, a lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation. A lawyer shall abide by a client’s decision whether to settle a matter. Except as otherwise provided by law in a criminal case, the lawyer shall abide by the client’s decision, after consultation with the lawyer, as to a plea to be entered, whether to waive jury trial and whether the client will testify.
The duty of undivided loyalty to a current client prohibits undertaking representation directly adverse to that client without that client’s informed written consent.* Thus, absent consent, a lawyer may not act as an advocate in one matter against a person* the lawyer represents in some other matter, even when the matters are wholly unrelated. (See Flatt v. Superior Court (1994) 9 Cal.4th 275 [36 Cal.Rptr.2d 537].) A directly adverse conflict under paragraph (a) can arise in a number of ways, for example, when: (i) a lawyer accepts representation of more than one client in a matter in which the interests of the clients actually conflict; (ii) a lawyer, while representing a client, accepts in another matter the representation of a person* who, in the first matter, is directly adverse to the lawyer’s client; or (iii) a lawyer accepts representation of a person* in a matter in which an opposing party is a client of the lawyer or the lawyer’s law firm.* Similarly, direct adversity can arise when a lawyer cross-examines a non-party witness who is the lawyer’s client in another matter, if the examination is likely to harm or embarrass the witness. On the other hand, simultaneous representation in unrelated matters of clients whose interests are only economically adverse, such as representation of competing economic enterprises in unrelated litigation, does not ordinarily constitute a conflict of interest and thus may not require informed written consent* of the respective clients.
A lawyer shall not , without informed written consent* from each client and compliance with paragraph (d), represent a client if the representation is directly adverse to another client in the same or a separate matter.
[1] A lawyer has an “other pecuniary interest adverse to a client” within the meaning of this rule when the lawyer possesses a legal right to significantly impair or prejudice the client’s rights or interests without court action. (See Fletcher v. Davis (2004) 33 Cal.4th 61, 68 [14 Cal.Rptr.3d 58]; see also Bus. & Prof. Code, § 6175.3 [Sale of financial products to elder or dependent adult clients; Disclosure]; Fam. Code, §§ 2033-2034 [Attorney lien on community real property].)However, this rule does not apply to a charging lien given to secure payment of a contingency fee. (See Plummer v. Day/Eisenberg, LLP (2010) 184 Cal.App.4th 38 [108 Cal.Rptr.3d 455].)
lawyer shall not enter into a business transaction with a client, or knowingly* acquire an ownership, possessory, security or other pecuniary interest adverse to a client, unless each of the following requirements has been satisfied:
[1] After termination of a lawyer-client relationship, the lawyer owes two duties to a former client. The lawyer may not (i) do anything that will injuriously affect the former client in any matter in which the lawyer represented the former client, or (ii) at any time use against the former client knowledge or information acquired by virtue of the previous relationship. (See Oasis West Realty, LLC v. Goldman (2011) 51 Cal.4th 811 [124 Cal.Rptr.3d 256]; Wutchumna Water Co. v. Bailey (1932) 216 Cal. 564 [15 P.2d 505].) For example, (i) a lawyer could not properly seek to rescind on behalf of a new client a contract drafted on behalf of the former client and (ii) a lawyer who has prosecuted an accused person* could not represent the accused in a subsequent civil action against the government concerning the same matter. (See also Bus. & Prof. Code, § 6131; 18 U.S.C. § 207(a).) These duties exist to preserve a client’s trust in the lawyer and to encourage the client’s candor in communications with the lawyer.
Virtually all courts and ethics bodies have concluded that a departing lawyer is permitted— prior to departure—to notify his or her clients of an imminent move from the firm. Indeed, a lawyer may be ethically required to timely notify each client for whom he or she is then actively working of the planned moved. This requirement arises from the obligations under Rule 1.4 of the Rules of Professional Conduct ["Communication"]. That Rule requires a lawyer to "keep" a client both "reasonably informed about the status of" the client' s matter, and provide the client with enough information "to permit the client to make informed decisions regarding the representation." 1
As in any business venture, a law firm partner's fiduciary obligations prohibit the lawyer, prior to departure, from recruiting other owners or employees to join or follow him in leaving the firm. The standard may be less strict for firm lawyers who are not partners.
1. The ABA Ethics Committee concluded that Rule 1.4 requires pre-departure notification to affected clients in all circum stances. However, the CBA's Committee on Professional Ethics slightly parted company with the ABA. It concluded that a pre-departure notice to a client "is ethically permissible, but not mandated ....".
Although the departing lawyer may properly notify clients of planned departure, the lawyer may not, prior to departure, solicit or otherwise lure firm clients. This is particularly true if the luring is concealed from firm colleagues or involves a less than honest description to those colleagues of pre-departure contacts with clients.
The obligation of a lawyer to be candid and fair with partners, other shareholders, and employers is implicit in Rule 4-8.4 (c), which forbids conduct involving dishonesty, fraud, deceit, or misrepresentation. 56 Partners, shareholders, and employees owe a duty of loyalty to each other while associated in a firm. As the Court warned in Cupples I:
36 Rule 4-1.1 requires competent representation of the client, and Rule 4-1.3 requires that the representation be provided with diligence. Rule 4-5.1 requires partners and other supervisory lawyers in a firm to make reasonable efforts to ensure the firm has polices in place assuring all lawyers within the firm provide competent and diligent representation and comply with all other duties in the Rules of Professional Conduct. The rule further requires lawyers in a firm with direct supervisory authority over another lawyer to make reasonable efforts to ensure the supervised lawyer complies with the rules, and under certain circumstances, a managerial lawyer can be responsible for misconduct of a lawyer under the manager’s supervision. 37
Notice of a lawyer’s departure from a firm need not be given to former clients of the departing lawyer or to all clients of the firm. Notice is to be provided to current clients for whom the lawyer has provided “material representation,” for it is those clients for whom the lawyer’s departure occasions a “material change” in the circumstances of the representation. 18 Other ethics advice describes the proper recipients of notice as clients with whom the departing lawyer has had “significant client contact.” 19 Because of the importance of providing clients with notice, it is advisable in a questionable case to err on the side of caution by informing the client. 20
Equally important is a lawyer’s duty of honesty and fair dealing toward other affiliated lawyers.
The notice may be written, personal, or “by some other means,” provided it is “professional in nature and content,” avoids solicitation, and assists the client in exercising its right to choose its counsel. 33
Most lawyers no longer join law firms expecting to stay until retirement. Several times over the course of a legal career, a lawyer may require ethics-based guidance in addressing the thorny issues surrounding a lawyer’s departure from a firm. 2. A departing lawyer and the lawyers remaining at a firm have ethical and legal obligations ...
The opinion emphasizes that law firm management has obligations under Model Rule 5.1 to establish “reasonable procedures and policies to assure the ethical transition of client matters when lawyers elect to change firms.”
Lawyers who leave their firms and their departing firms have ethical obligations toward the clients of the departing lawyers. These include the duty of communication and the responsibility to enact reasonable notification periods for lawyers who are leaving their firms. Furthermore, law firms cannot restrict departing lawyers’ access to files ...
Law firms have an ethical obligation not to impose notification requirements on departing lawyers that would thwart client choice of counsel or prohibit departing lawyers from providing diligent representation to clients during transition periods, according to the opinion.
The opinion emphasizes that clients determine who will represent them, not anyone else. “Law firms and lawyers may not divide up clients when a law firm dissolves or a lawyer transitions to another firm,” the opinion states. This means that when a departing lawyer was a client’s primary attorney, firms should not assign new lawyers ...
The attorney-client privilege is, strictly speaking, a rule of evidence. It prevents lawyers from testifying about, and from being forced to testify about, their clients' statements. Independent of that privilege, lawyers also owe their clients a duty of confidentiality.
The attorney-client privilege is a rule that preserves the confidentiality of communications between lawyers and clients. Under that rule, attorneys may not divulge their clients' secrets, nor may others force them to. The purpose of the privilege is to encourage clients ...
The duty of confidentiality prevents lawyers from even informally discussing information related to their clients' cases with others. They must keep private almost all information related to representation of the client, even if that information didn't come from the client.
If someone were to surreptitiously record the conversation, that recording would probably be inadmissible in court.
No matter who hears or learns about a communication, however, the lawyer typically remains obligated not to repeat it.
If, for example, if a client tells his lawyer that he robbed a bank or lied about assets during a divorce, the lawyer probably can't disclose the information.
Under that rule, attorneys may not divulge their clients' secrets, nor may others force them to. The purpose of the privilege is to encourage clients to openly share information with their lawyers and to let lawyers provide effective representation.
First, the attorney has a duty to keep the client's funds or property secure and separate from the attorney's (and from the firm's) own funds and property. Second, the attorney must notify the client of the receipt of any funds or property intended for the client.
The client trust or escrow account is usually just a separate bank account that is opened and maintained by the attorney or firm, and which is dedicated solely to money received from and intended for clients. In some states, attorneys have discretion about whether to deposit client funds in interest-bearing bank accounts, ...