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Tables of Contents for Cases and Materials on the Law Governing Lawyers
Chapter/Section Title
Page #
Page Count
Preface
xxv
Table of Cases
xxvii
I. Introduction to the Role of Lawyer
1
16
Moral Philosophy, Right and Wrong, and the Law Governing Lawyers
1
1
The Role of Lawyer
2
15
Conceptions of the Lawyer's Role
3
4
The Ideology of Advocacy: Procedural Justice and Professional Ethics, 1978 Wisconsin Law Review 29, 36-38
3
2
William H. Simon
Lawyers and Justice xix-xxiii (1978)
5
2
David J. Luban
Differences Between Lawyers' Litigation and Planning Roles
7
10
Westlake v. Abrahams, 565 F. Supp. 1330 (N.D. Ga. 1983)
7
10
II. Regulation of the Legal Profession and Controls on Lawyer Conduct
17
108
Institutional Framework
17
72
Organization of the Legal Profession
17
8
The American Bar Association
17
1
Alternative National Bar Associations
18
1
State Bar Associations
18
1
Keller v. State Bar of California, 496 U.S. 1 (1990)
19
5
Notes, Questions, and Examples
24
1
Sources of the Law Governing Lawyers
25
9
Ethics Codes
25
1
Case Authority and Inherent Court Power
26
1
Chambers v. NASCO, Inc., 501 U.S. 32 (1991)
26
6
Notes, Questions, and Examples
32
1
Ethics Opinions
32
1
Constitutional Constraints
33
1
``Other Law''
33
1
Admission to Practice
34
43
Territorial Restrictions
34
1
Supreme Court of New Hampshire v. Piper, 470 U.S. 274 (1985)
34
4
Notes, Questions, and Examples
38
1
Education, Knowledge, and Good Character
38
1
In re G.W.L., 364 So. 2d 454 (Fla. 1978)
39
6
Clark v. Virginia Board of Bar Examiners, 880 F. Supp. 430 (E.D. Va. 1995)
45
11
Law Students Civil Rights Research Council, Inc. v. Wadmond, 401 U.S. 154 (1971)
56
11
Notes, Questions, and Examples
67
1
Misconduct in the Application Process
68
1
In re DeBartolo, 488 N.E.2d 947 (Ill. 1986)
68
2
Notes, Questions, and Examples
70
1
Pro Hac Vice Admission
71
1
Leis v. Flynt, 439 U.S. 438 (1979)
72
5
Unauthorized Practice
77
6
Ranta v. McCarney, 391 N.W.2d 161 (N.D. 1986)
78
4
Notes, Questions, and Examples
82
1
Self Governance and the Duty to Report Misconduct
83
6
In re Himmel, 533 N.E.2d 790 (Ill. 1988)
84
5
Notes, Questions, and Examples
89
1
Control Devices Introduced
89
36
Bar Discipline
90
18
Florida Bar v. Neale, 384 So. 2d 1264 (Fla. 1980)
91
1
In re Warhaftig, 524 A.2d 398 (N.J. 1987)
92
5
Notes, Questions, and Examples
97
1
Acts Indicating Moral Turpitude
97
1
Criminal Conduct
98
1
Dishonesty, Fraud, and Deceit
98
1
Conduct Prejudicial to the Administration of Justice
98
1
In re Snyder, 472 U.S. 634 (1985)
99
6
Forms of Discipline and Procedural Issues
105
1
In re Ruffalo, 390 U.S. 544 (1968)
105
3
Malpractice
108
5
Togstad v. Vesely, Otto, Miller & Keefe, 291 N.W.2d 686 (Minn. 1980)
108
5
Notes, Questions, and Examples
113
1
Liability for Complicity in Client Conduct
113
1
Contempt of Court
114
5
Taylor v. Hayes, 418 U.S. 488 (1974)
114
5
Disqualification Motions and Other Litigation Driven Controls
119
6
Disqualification for Conflict of Interest
120
1
FRCP 11 and its State Law Counterparts
120
1
Signing of Pleadings, Motions, and Other Papers; Representations to Court; Sanctions
121
2
28 U.S.C. § 1927. Counsel's Liability for Excessive Costs
123
2
III. Formal Aspects of the Lawyer-Client Relationship
125
112
Undertaking Representation
125
9
Duty to Undertake Representation
125
9
Brown v. Board of County Commissioners of Washoe County, 451 P.2d 708 (Nev. 1969)
126
3
Mallard v. United States District Court for the Southern District of Iowa, 490 U.S. 296 (1989)
129
5
Duty to Reject Representation
134
1
Lawyer-Client Contracts and the Beginning of the Lawyer-Client Relationship
134
1
Fees
134
48
The Reasonableness Standard
135
25
Fees, Rule 1.5 ABA Model Rules of Professional Conduct
135
1
In re Kutner, 399 N.E.2d 963 (Ill. 1979)
136
5
Pfeifer v. Sentry Insurance, 745 F. Supp. 1434 (E.D. Wis. 1990)
141
12
Wong v. Michael Kennedy, P.C., 853 F. Supp. 73 (E.D.N.Y. 1994)
153
7
Contingent Fees
160
3
Reginald Heber Smith, Justice and the Poor, Carnegie Foundation for the Advancement of Teaching, Bull. No. Thirteen 85-86 (1919)
161
1
Contingent Fees, 31 Law Notes 144 (1927)
162
1
Fee Splitting
163
4
Moran v. Harris, 131 Cal. App. 3d 913 (1982)
163
4
Minimum Fee Schedules
167
5
Goldfarb v. Virginia State Bar, 421 U.S. 773 (1975)
167
5
Fee Forfeiture
172
10
Caplin & Drysdale, Chartered v. United States, 491 U.S. 617 (1989)
172
10
Fiduciary Duties
182
5
In re Rosellini, 646 P.2d 122 (Wash. 1982)
183
4
Competence and Diligence
187
4
Committee on Professional Ethics and Conduct of the Iowa State Bar Association v. Nadler, 467 N.W.2d 250 (Iowa 1991)
187
4
Notes, Questions, and Examples
191
1
Communication and Shared Decision-Making
191
17
Jones v. Barnes, 463 U.S. 745 (1983)
192
3
International Telemeter Corp. v. Teleprompter Corp., 592 F.2d 49 (2d Cir. 1979)
195
8
Notes, Questions, and Examples
203
1
Should Lawyers Obey the Law?, Symposium: W.M. Keck Foundation Forum on the Teaching of Legal Ethics, 38 WM. & Mary L. Rev. 217 (1996)
204
4
William H. Simon
Terminating Representation
208
29
Mandatory Withdrawal
208
3
Maricopa County Public Defender's Office v. Superior Court, 927 P.2d 822 (Ariz. Ct. App. 1996)
208
3
Permissive Withdrawal
211
1
Duties upon Termination of the Lawyer-Client Relationship
212
25
Rosenberg v. Levin, 409 So. 2d 1016 (Fla. 1982)
212
6
Withdrawal When a Lawyer's Services Will Otherwise be Used to Perpetrate a Fraud, American Bar Association Formal Opinion 92-366 (August 8, 1992)
218
19
IV. Confidentiality
237
78
The Duty of Confidentiality and the Attorney-Client Evidentiary Privilege
238
31
Generally
238
14
People v. Fentress, 425 N.Y.S.2d 485 (N.Y. Cty. Ct. 1980)
238
13
Rules of Evidence for United States Courts and Magistrates---Article V. Privileges---Rule 501. General Rule
251
1
Rules of Evidence for United States Courts and Magistrates---Article V. Privileges---Rule 503. Lawyer-Client Privilege
251
1
The Privilege Applies to What?
252
8
People v. Meredith, 631 P.2d 46 (Cal. 1981)
253
6
Buntrock v. Buntrock, 419 So. 2d 402 (Fla. Dist. Ct. App. 1982)
259
1
Exceptions
260
9
United States v. Jacobs, 117 F.3d 82 (2d Cir. 1997)
260
8
Notes, Questions, and Examples
268
1
To Whom Is the Duty Owed?
269
28
Swidler & Berlin v. United States, 524 U.S. 399 (1998)
269
9
Upjohn Co. v. United States, 449 U.S. 383 (1981)
278
6
Notes, Questions, and Examples
284
1
In re Grand Jury Subpoena Duces Tecum, 112 F.3d 910 (8th Cir. 1997)
285
12
Notes, Questions, and Examples
297
1
To What Does the Duty Apply?
297
1
Notes, Questions, and Examples
298
1
Exceptions to the Duty of Confidentiality
298
15
Consent
298
1
Self-Defense and Fees
298
6
Meyerhofer v. Empire Fire and Marine Insurance Co., 497 F.2d 1190 (2d Cir. 1974)
299
5
Notes, Questions, and Examples
304
1
Future Crimes and Frauds
304
9
Texas Disciplinary Rules of Professional Conduct, Rule 1.05. Confidentiality of Information
304
2
Michigan Rules of Professional Conduct, Client-Lawyer Relationship, Rule 1.6. Confidentiality of Information
306
1
Illinois Rules of Professional Conduct, Rule 1.6. Confidentiality of Information
307
1
Rules Regulating the Florida Bar, Rule 4-1.6. Confidentiality of Information
308
1
Minnesota Rules of Professional Conduct, Client Lawyer Relationship, Rule 1.6. Confidentiality of Information
308
1
People v. Belge, 372 N.Y.S.2d 798 (N.Y. Cty. Ct. 1975)
309
3
People v. Belge, 376 N.Y.S.2d 771 (N.Y. App. Div. 1975)
312
1
Notes, Questions, and Examples
312
1
``Other Law'' or Orders of Court
313
1
Use of Confidential Information for the Lawyer's Benefit
313
2
Restatement (Second) of Agency § 388, Duty to Account for Profits Arising out of Employment
313
1
Restatement (Second) of Agency § 395, Using or Disclosing Confidential Information
314
1
V. Conflicts of Interest
315
104
Loyalty and Other General Principles
316
1
Waiver of Conflicts
316
8
Restatement (Third) of the Law Governing Lawyers § 202, Client Consent to a Conflict of Interest
317
4
Greene v. Greene, 391 N.E.2d 1355 (N.Y. 1979)
321
3
Sources of Conflicts
324
69
Third Party Interference
324
8
Parsons v. Continental National American Group, 550 P.2d 94 (Ariz. 1976)
324
6
Pfeifer v. Sentry Insurance, 745 F. Supp. 1434 (E.D. Wis. 1990)
330
2
Notes, Questions, and Examples
332
1
Lawyer-Client Conflicts
332
23
Business Transactions with Clients
333
1
Goldman v. Kane, 329 N.E.2d 770 (Mass. App. Ct. 1975)
333
3
Notes, Questions, and Examples
336
1
Literary Rights
336
1
United States v. Hearst, 638 F.2d 1190 (9th Cir. 1980)
336
5
Notes, Questions, and Examples
341
1
Drafting Instruments That Benefit the Lawyer
342
1
Sexual or Amorous Relations with Clients
342
1
In re Heard, 963 P.2d 818 (Wash. 1998) (en banc)
342
8
In re Hawkins, 695 N.E.2d 109 (Ind. 1998)
350
1
Notes, Questions, and Examples
351
1
Lawyer-Client Conflicts and Champerty, Barratry, and Maintenance
351
1
Iowa State Bar Association v. Bitter, 279 N.W.2d 521 (Iowa 1979)
352
2
Notes, Questions, and Examples
354
1
Multiple Client Conflicts
355
38
Concurrent Clients
355
1
Positional Conflicts of Interest
356
1
Positional Conflicts of Interest, 71 Tex. L. Rev. 457 (1993)
356
5
John S. Dzienkowski
Same-Side Multiple Client Representation
361
1
State Farm Mutual Automobile Insurance Co. v. K.A.W., 575 So. 2d 630 (Fla. 1991)
362
4
Cuyler v. Sullivan, 446 U.S. 335 (1980)
366
6
Maricopa County Public Defender's Office v. Superior Court, 927 P.2d 822 (Ariz. Ct. App. 1996)
372
2
Aggregate Settlements
374
1
Quintero v. Jim Walter Homes, Inc., 709 S.W.2d 225 (Tex. App. 1985)
374
2
In re Mal de Mer Fisheries, Inc., 884 F. Supp. 635 (D. Mass. 1995)
376
5
Prospective and Current Clients
381
1
Protection of Information Imparted by Prospective Client, American Bar Association Formal Opinion 90-358 (September 13, 1990)
381
8
Former and Current Clients, the Substantial Relationship Test
389
1
Haagen-Dazs Co. v. Perche No! Gelato, Inc., 639 F. Supp. 282 (N.D. Cal. 1986)
389
4
Lawyer for an Organization
393
1
Imputed Disqualification
393
15
Haagen-Dazs Co. v. Perche No! Gelato, Inc., 639 F. Supp. 282 (N.D. Cal. 1986)
394
2
SWS Financial Fund v. Salomon Brothers, 790 F. Supp. 1392 (N.D. Ill. 1992)
396
11
Notes, Questions, and Examples
407
1
Special Role-Related Conflicts Rules
408
11
Former Judge
408
1
Special Imputed Disqualification Rules
409
1
Former Government Lawyer
409
9
Special Imputed Disqualification Rules
410
1
Armstrong v. McAlpin, 625 F.2d 433 (2d Cir. 1980)
411
7
Lawyer as Witness
418
1
VI. Duties to Third Parties
419
76
Truth-Telling Outside the Court Context
419
10
False Statements of Material Law or Fact
419
1
The Negotiation Setting
420
8
Machievelli and the Bar: Ethical Limitations on Lying in Negotiation, 1980 Am. B. Found. Res. J. 926, 927-28, 931-35
420
5
James J. White
In re Morrissey, 1994 WL 929473 (Va. Cir. Ct. 1994)
425
3
Reducing Agreements to Writing
428
1
Notice to Opposing Counsel of Inadvertent Omission of Contract Provision, American Bar Association Informal Opinion 86-1518 (February 9, 1986)
428
1
Notes, Questions, and Examples
429
1
Harassment and Other Abusive Conduct
429
5
In re Knight, 281 A.2d 46 (Vt. 1971)
430
1
Notes, Questions, and Examples
431
1
In re Hansen, 318 N.W.2d 856 (Minn. 1982)
432
2
Notes, Questions, and Examples
434
1
Communicating with Represented Persons
434
45
Niesig v. Team I, 558 N.E.2d 1030 (N.Y. 1990)
434
7
Public Service Electric and Gas Co. v. Associated Electric & Gas Insurance Services, Ltd. (``AEGIS''), 745 F. Supp. 1037 (D.N.J. 1990)
441
7
Contact with Former Employee of Adverse Corporate Party, American Bar Association Formal Opinion 91-359 (March 22, 1991)
448
5
Notes, Questions, and Examples
453
1
Special Criminal Prosecution Concerns
453
1
United States v. Jamil, 546 F. Supp. 646 (E.D.N.Y. 1982)
454
10
United States v. Lopez, 765 F. Supp. 1433 (N.D. Cal. 1991)
464
14
Notes, Questions, and Examples
478
1
Communicating with Unrepresented Persons
479
8
Monsanto Co. v. Aetna Casualty and Surety Co., 593 A.2d 1013 (Del. Super. Ct. 1990)
479
8
Civil Liability to Third Persons
487
8
Restatement (Third) of the Law Governing Lawyers § 73, Duty to Certain Non-Clients
488
7
VII. Duties to the Legal System and Society
495
114
Truth-Telling Inside the Court Context
495
44
Fact Statements to the Court
495
20
State v. Casby, 348 N.W.2d 736 (Minn. 1984)
496
3
Virzi v. Grand Trunk Warehouse and Cold Storage Co., 571 F. Supp. 507 (E.D. Mich. 1983)
499
5
In re Morrissey, 1994 WL 929473 (Va. Cir. Ct. 1994)
504
4
The Lawyer's Obligation to Disclose Information Adverse to the Client in the Context of a Bank Examination, American Bar Association Formal Opinion 93-375 (August 6, 1993)
508
7
Ex Parte Proceedings
515
1
Perjury
515
22
Professional Responsibility of the Criminal Lawyer: The Three Hardest Questions, 64 Mich. L. Rev. 1469 (1966)
515
6
Monroe H. Freedman
Nix v. Whiteside, 475 U.S. 157 (1985)
521
10
State v. Berrysmith, 944 P.2d 397 (Wash. Ct. App. 1997)
531
6
Law Statements to the Court
537
2
Jorgenson v. County of Volusia, 846 F.2d 1350 (11th Cir. 1988)
537
2
Witness Payment
539
1
Limitations on Presentations to a Court
539
29
Frivolous Claims and Litigation Positions
539
7
Lawyer Disciplinary Board v. Neely and Hunter, No. 24011, 1998 W. Va. LEXIS 111 (W. Va. July 15, 1998)
540
6
Personal Opinion and Alluding to Matters Outside the Record
546
7
Darden v. Wainwright, 477 U.S. 168 (1986)
546
7
Obey Court Orders
553
6
Schoenberg v. Shapolsky Publishers, Inc., 971 F.2d 926 (2d Cir. 1992)
554
5
Intemperate Remarks
559
9
In re Vincenti, 458 A.2d 1268 (N.J. 1983)
559
9
Limitations on Litigation Publicity
568
22
Gentile v. State Bar of Nevada, 501 U.S. 1030 (1991)
568
22
Ex Parte Contact with Judges and Jurors
590
3
Judges
591
1
Jurors
591
2
Florida Bar v. Peterson, 418 So. 2d 246 (Fla. 1982)
591
1
Notes, Questions, and Examples
592
1
Pro Bono Publico
593
16
Organized Legal Services for the Poor
594
7
Crisis in Legal Services for the Poor, 26 Villanova L. Rev. 521 (1981)
594
7
Roger C. Cramton
Individual Lawyer's Duty
601
8
Amendments to Rules Regulating the Florida Bar---1-3.1(a)---and Rules of Judicial Administration---2.065 (Legal Aid), 573 So. 2d 800 (Fla. 1990)
602
7
VIII. Special Role-Related Duties
609
56
Special Duties of Prosecutors
609
15
Avoid Conflicts with Private Interests
609
4
In re Morrissey, 1994 WL 929473 (Va. Cir. Ct. 1994)
610
3
Dismissal of Charges Not Supported by Probable Cause
613
1
Disclosure of Exculpatory Evidence
614
5
Brady v. Maryland, 373 U.S. 83 (1963)
614
2
Read v. Virginia State Bar, 357 S.E.2d 544 (Va. 1987)
616
3
Investigative Limits
619
5
Colorado v. Reichman, 819 P.2d 1035 (Colo. 1991)
620
4
Special Duties of Supervising and Subordinate Lawyers
624
6
Lawyers Subordinate to Other Lawyers
625
1
In re Knight, 281 A.2d 46 (Vt. 1971)
625
1
Providing Supervision
626
4
In re Yacavino, 494 A.2d 801 (N.J. 1985)
627
3
Responsibility for Lawyer or Non-Lawyer Subordinates' Misconduct
630
1
Lawyers as Employees
630
27
Wrongful Discharge
630
16
Balla v. Gambro, Inc., 584 N.E.2d 104 (Ill. 1991)
631
10
Wieder v. Skala, 609 N.E.2d 105 (N.Y. 1992)
641
5
The Partnership Decision as an Employment Action
646
5
Hishon v. King & Spalding, 467 U.S. 69 (1984)
646
5
Employee or Lawyer?
651
6
Hull v. Celanese Corp., 375 F. Supp. 922 (S.D.N.Y. 1974)
651
2
Hull v. Celanese Corp., 513 F.2d 568 (2d Cir. 1974)
653
3
Notes, Questions, and Examples
656
1
Lawyers as Intermediaries
657
2
Simultaneous Representation of Adoptive and Biological Parents in Private Adoption Proceeding, American Bar Association Informal Opinion 87-1523 (February 14, 1987)
657
2
Ancillary Businesses
659
6
Pennsylvania Bar Association Committee on Legal Ethics and Professional Responsibility Informal Opinion Number 98-20 (March 13, 1998)
660
4
Notes, Questions, and Examples
664
1
IX. Advertising and Solicitation
665
64
Introduction
666
4
Barton v. State Bar of California, 289 P. 818 (Cal. 1930)
666
2
In re Sizer and Gardner, 267 S.W. 922 (Mo. 1924)
668
2
The Blanket Ban on Advertising Breaks Down
670
7
Bates v. State Bar of Arizona, 433 U.S. 350 (1977)
670
7
Notes, Questions, and Examples
677
1
What Is False or Misleading? Or, De gustibus non disputandum est (There Is No Accounting for Matters of Taste)
677
4
Arguments Before the Court: Attorneys: Misleading Advertising---Testimonials---Presumptions---First Amendment, 57 U.S. Law Week 3465 (BNA) (Jan. 17, 1989)
679
2
In-Person Solicitation
681
19
Ohralik v. Ohio State Bar Association, 436 U.S. 447 (1978)
681
8
In re Primus, 436 U.S. 412 (1978)
689
10
Notes, Questions, and Examples
699
1
Is Targeted Direct Mail Advertising, Solicitation, or Something Else?
700
18
Shapero v. Kentucky Bar Association, 486 U.S. 466 (1988)
700
6
Florida Rule 4-7.4 Direct Contact with Prospective Clients
706
3
Florida Bar v. Went For It, Inc., 515 U.S. 618 (1995)
709
9
The Special Case of Specialization
718
11
Peel v. Attorney Registration and Disciplinary Commission of Illinois, 496 U.S. 91 (1990)
719
8
Notes, Questions, and Examples
727
2
X. Judicial Conduct
729
12
Sources of Judicial Conduct Law
729
1
General Judicial Attributes: Independence, Integrity, and Impartiality
730
1
Personal Conduct and Activity Outside the Judicial Role
730
3
Judicial Duties
733
5
Political Activities
738
1
Judicial Immunity
738
3
Appendix
741
2
Rules of Professional Conduct of the State Bar of California
743
36
New York Code of Professional Responsibility
779