California Legal Ethics

INTRODUCTION

• 0.1:100 Sources of Law and Guidance
• 0.2:200 Forms of Lawyer Regulation in California
• 0.3:300 Organization of This Library and the Model Rules
• 0.4:400 Abbreviations, References and Terminology
• 0.4:500 Additional Definitions in California

I. Client-lawyer relationship

• 1.1 Rule 1.1 Competence
  • 1.1:100 Comparative Analysis of California Rule
  • 1.1:200 Disciplinary Standard of Competence
  • 1.1:300 Malpractice Liability
  • 1.1:400 Liability to Certain Non-Clients
  • 1.1:500 Defenses and Exceptions to Liability
  • 1.1:600 Vicarious Liability [see 5.1:500]
• 1.2 Rule 1.2 Scope of Representation
  • 1.2:100 Comparative Analysis of California Rule
  • 1.2:200 Creating the Client-Lawyer Relationship
  • 1.2:300 Authority to Make Decisions or Act for Client
  • 1.2:400 Lawyer's Moral Autonomy
  • 1.2:500 Limiting the Scope of Representation
  • 1.2:600 Prohibited Assistance
  • 1.2:700 Warning Client of Limitations on Representation
  • 1.2:800 Identifying to Whom a Lawyer Owes Duties
• 1.3 Rule 1.3 Diligence
  • 1.3:100 Comparative Analysis of California Rule
  • 1.3:200 Diligence and "Zeal"
  • 1.3:300 Promptness
• 1.4 Rule 1.4 Communication
  • 1.4:100 Comparative Analysis of California Rule
  • 1.4:200 Duty to Communicate with Client
  • 1.4:300 Duty to Consult with Client
  • 1.4:400 Duty to Inform the Client of Settlement Offers
• 1.5 Rule 1.5 Fees
  • 1.5:100 Comparative Analysis of California Rule
  • 1.5:200 A Lawyer's Claim to Compensation
  • 1.5:300 Attorney-Fee Awards (Fee Shifting)
  • 1.5:400 Reasonableness of a Fee Agreement
  • 1.5:500 Communication Regarding Fees
  • 1.5:600 Contingent Fees
  • 1.5:700 Unlawful Fees
  • 1.5:800 Fee Splitting (Referral Fees)
• 1.6 Rule 1.6 Confidentiality of Information
  • 1.6:100 Comparative Analysis of California Rule
  • 1.6:200 Professional Duty of Confidentiality
  • 1.6:300 Exceptions to Duty of Confidentiality--In General
  • 1.6:400 Attorney-Client Privilege
  • 1.6:500 Waiver of Attorney-Client Privilege
  • 1.6:600 Exceptions to Attorney-Client Privilege
  • 1.6:700 Lawyer Work-Product Immunity
• 1.7 Rule 1.7 Conflict of Interest: General Rule
  • 1.7:100 Comparative Analysis of California Rule
  • 1.7:200 Conflicts of Interest in General
  • 1.7:300 Conflict of Interest Among Current Clients (Concurrent Conflicts)
  • 1.7:400 Conflict of Interest Between Current Client and Third-Party Payor
  • 1.7:500 Conflict of Interest Between Current Client and Lawyer's Interest [see also 1.8:200]
• 1.8 Rule 1.8 Conflict of Interest: Prohibited Transactions
  • 1.8:100 Comparative Analysis of California Rule
  • 1.8:200 Lawyer's Personal Interest Affecting Relationship
  • 1.8:300 Lawyer's Use of Client Information
  • 1.8:400 Client Gifts to Lawyer
  • 1.8:500 Literary or Media Rights Relating to Representation
  • 1.8:600 Financing Litigation
  • 1.8:700 Payment of Lawyer's Fee by Third Person
  • 1.8:800 Aggregate Settlements
  • 1.8:900 Agreements Involving Lawyer's Malpractice Liability
  • 1.8:1000 Opposing a Lawyer Relative
  • 1.8:1100 Lawyer's Proprietary Interest in Subject Matter of Representation
• 1.9 Rule 1.9 Conflict of Interest: Former Client
  • 1.9:100 Comparative Analysis of California Rule
  • 1.9:200 Representation Adverse to Interest of Former Client--In General
  • 1.9:300 Client of Lawyer's Former Firm
  • 1.9:400 Use or Disclosure of Former Client's Confidences
• 1.10 Rule 1.10 Imputed Disqualification: General Rule
  • 1.10:100 Comparative Analysis of California Rule
  • 1.10:200 Imputed Disqualification Among Current Affiliated Lawyers
  • 1.10:300 Removing Imputation by Screening
  • 1.10:400 Disqualification of Firm After Disqualified Lawyer Departs
  • 1.10:500 Client Consent
• 1.11 Rule 1.11 Successive Government and Private Employment
  • 1.11:100 Comparative Analysis of California Rule
  • 1.11:200 Representation of Another Client by Former Government Lawyer
  • 1.11:300 Use of Confidential Government Information
  • 1.11:400 Government Lawyer Participation in Matters Related to Prior Representation
  • 1.11:500 Government Lawyer Negotiating for Private Employment
• 1.12 Rule 1.12 Former Judge or Arbitrator
• 1.12:100 Comparative Analysis of California Rule
• 1.12:200 Former Judge or Arbitrator Representing Client in Same Matter
• 1.12:300 Negotiating for Future Employment
• 1.12:400 Screening to Prevent Imputed Disqualification
• 1.12:500 Partisan Arbitrators Selected by Parties to Dispute
• 1.13 Rule 1.13 Organization as Client
  • 1.13:100 Comparative Analysis of California Rule
  • 1.13:200 Entity as Client
  • 1.13:300 Preventing Injury to an Entity Client
  • 1.13:400 Fairness to Non-Client Constituents Within an Entity Client
  • 1.13:500 Joint Representation of Entity and Individual Constituents
• 1.14 Rule 1.14 Client Under a Disability
• 1.14:100 Comparative Analysis of California Rule
• 1.14:200 Problems in Representing a Partially or Severely Disabled Client
• 1.14:300 Maintaining Client-Lawyer Relationship with Disabled Client
• 1.14:400 Appointment of Guardian or Other Protective Action
• 1.15 Rule 1.15 Safekeeping Property
  • 1.15:100 Comparative Analysis of California Rule
  • 1.15:200 Safeguarding and Safekeeping Property
  • 1.15:300 Holding Money as a Fiduciary for the Benefit of Clients or Third Parties
  • 1.15:400 Dispute Over Lawyer's Entitlement to Funds Held in Trust
• 1.16 Rule 1.16 Declining or Terminating Representation
  • 1.16:100 Comparative Analysis of California Rule
  • 1.16:200 Mandatory Withdrawal
  • 1.16:300 Permissive Withdrawal
  • 1.16:400 Order by Tribunal to Continue Representation
  • 1.16:500 Mitigating Harm to Client Upon Withdrawal
  • 1.16:600 Fees on Termination
• 1.17 Rule 1.17 Sale of Law Practice
  • 1.17:100 Comparative Analysis of California Rule
  • 1.17:200 Traditional Rule Against the Sale of a Law Practice
  • 1.17:300 Problems in Sale of Practice
• 1.18 Rule 1.18 Duties to Prospective Clients
  • 1.18:100 Comparative Analysis of California Rule
  • 1.18:200 Definition of "Prospective Client"
  • 1.18:300 Confidentiality of Communications with a Prospective Client
  • 1.18:400 Conflicts of Interest Arising Out of Communications with a Prospective Clien

II. COUNSELOR

• 2.1 Rule 2.1 Advisor
  • 2.1:100 Comparative Analysis of California Rule
  • 2.1:200 Exercise of Independent Judgment
  • 2.1:300 Non-Legal Factors in Giving Advice
• 2.2 Rule 2.2 Intermediary
  • 2.2:100 Comparative Analysis of California Rule
  • 2.2:200 Relationship of Intermediation to Joint Representation
  • 2.2:300 Preconditions to Becoming an Intermediary
  • 2.2:400 Communication During Intermediation
  • 2.2:500 Consequences of a Failed Intermediation
• 2.3 Rule 2.3 Evaluation for Use by Third Persons
  • 2.3:100 Comparative Analysis of California Rule
  • 2.3:200 Undertaking an Evaluation for a Client
  • 2.3:300 Duty to Third Persons Who Rely on Lawyer's Opinion [see also 1.1:420]
  • 2.3:400 Confidentiality of an Evaluation
• 2.4 Rule 2.4 Lawyer Serving as a Third-Party Neutral
  • 2.4:100 Comparative Analysis of California Rule
  • 2.4:200 Definition of "Third-Party Neutral"
  • 2.4:300 Duty to Inform Parties of Nature of Lawyer's Role

III. ADVOCATE

• 3.1 Rule 3.1 Meritorious Claims and Contentions
  • 3.1:100 Comparative Analysis of California Rule
  • 3.1:200 Non-Meritorious Assertions in Litigation
  • 3.1:300 Judicial Sanctions for Abusive Litigation Practice (Especially Rule 11)
  • 3.1:400 Civil Liability for Abusive Litigation Practice [see 1.1:520]
  • 3.1:500 Complying with Law and Tribunal Rulings
• 3.2 Rule 3.2 Expediting Litigation
  • 3.2:100 Comparative Analysis of California Rule
  • 3.2:200 Dilatory Tactics
  • 3.2:300 Judicial Sanctions for Dilatory Tactics
• 3.3 Rule 3.3 Candor Toward the Tribunal
  • 3.3:100 Comparative Analysis of California Rule
  • 3.3:200 False Statements to a Tribunal
  • 3.3:300 Disclosure to Avoid Assisting Client Crime or Fraud
  • 3.3:400 Disclosing Adverse Legal Authority
  • 3.3:500 Offering False Evidence
  • 3.3:600 Remedial Measures Necessary to Correct False Evidence
  • 3.3:700 Discretion to Withhold Evidence Believed to Be False
  • 3.3:800 Duty of Disclosure in Ex Parte Proceedings
• 3.4 Rule 3.4 Fairness to Opposing Party and Counsel
  • 3.4:100 Comparative Analysis of California Rule
  • 3.4:200 Unlawful Destruction and Concealment of Evidence
  • 3.4:300 Falsifying Evidence
  • 3.4:400 Knowing Disobedience to Rules of Tribunal
  • 3.4:500 Fairness in Pretrial Practice
  • 3.4:600 Improper Trial Tactics
  • 3.4:700 Advising Witness Not to Speak to Opposing Parties
• 3.5 Rule 3.5 Impartiality and Decorum of the Tribunal
  • 3.5:100 Comparative Analysis of California Rule
  • 3.5:200 Improperly Influencing a Judge, Juror, or Other Court Official
  • 3.5:300 Improper Ex Parte Communication
  • 3.5:400 Intentional Disruption of a Tribunal
• 3.6 Rule 3.6 Trial Publicity
  • 3.6:100 Comparative Analysis of California Rule
  • 3.6:200 Improper Extrajudicial Statements
  • 3.6:300 Permissible Statements
  • 3.6:400 Responding to Adverse Publicity
• 3.7 Rule 3.7 Lawyer as Witness
  • 3.7:100 Comparative Analysis of California Rule
  • 3.7:200 Prohibition of Advocate as Witness
  • 3.7:300 An Affiliated Lawyer as Advocate (Imputed Disqualification)
• 3.8 Rule 3.8 Special Responsibilities of a Prosecutor
  • 3.8:100 Comparative Analysis of California Rule
  • 3.8:200 The Decision to Charge
  • 3.8:300 Efforts to Assure Accused's Right to Counsel
  • 3.8:400 Seeking Waivers of Rights from Unrepresented Defendants
  • 3.8:500 Disclosing Evidence Favorable to the Accused
  • 3.8:600 Monitoring Extrajudicial Statements by Law Enforcement Officials
  • 3.8:700 Issuing a Subpoena to a Lawyer
  • 3.8:800 Making Extrajudicial Statements
  • 3.8:900 Peremptory Strikes of Jurors
• 3.9 Rule 3.9 Advocate in Nonadjudicative Proceedings
  • 3.9:100 Comparative Analysis of California Rule
  • 3.9:200 Duties of Advocate in Nonadjudicative Proceedings

IV. TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS

• 4.1 Rule 4.1 Truthfulness in Statements to Others
  • 4.1:100 Comparative Analysis of California Rule
  • 4.1:200 Truthfulness in Out-of-Court Statements
  • 4.1:300 Disclosures to Avoid Assisting Client Fraud [see also 1.6:370]
• 4.2 Rule 4.2 Communication with Person Represented by Counsel
  • 4.2:100 Comparative Analysis of California Rule
  • 4.2:200 Communication with a Represented Person
• 4.3 Rule 4.3 Dealing with Unrepresented Person
  • 4.3:100 Comparative Analysis of California Rule
  • 4.3:200 Dealing with Unrepresented Person
• 4.4 Rule 4.4 Respect for Rights of Third Persons
  • 4.4:100 Comparative Analysis of California Rule
  • 4.4:200 Disregard of Rights or Interests of Third Persons

V. LAW FIRMS AND ASSOCIATIONS

• 5.1 Rule 5.1 Responsibilities of a Partner and Supervisory Lawyer
  • 5.1:100 Comparative Analysis of California Rule
  • 5.1:200 Duty of Partners to Monitor Compliance with Professional Rules
  • 5.1:300 Monitoring Duty of Supervising Lawyer
  • 5.1:400 Failing to Rectify the Misconduct of a Subordinate Lawyer
  • 5.1:500 Vicarious Liability of Partners
• 5.2 Rule 5.2 Responsibilities of a Subordinate Lawyer
  • 5.2:100 Comparative Analysis of California Rule
  • 5.2:200 Independent Responsibility of a Subordinate Lawyer
  • 5.2:300 Reliance on a Supervisor's Resolution of Arguable Ethical Issues
• 5.3 Rule 5.3 Responsibilities Regarding Nonlawyer Assistants
  • 5.3:100 Comparative Analysis of California Rule
  • 5.3:200 Duty to Establish Safeguards
  • 5.3:300 Duty to Control Nonlawyer Assistants
  • 5.3:400 Responsibility for Misconduct of Nonlawyer Assistants
• 5.4 Rule 5.4 Professional Independence of a Lawyer [Restrictions on Form of Practice]
  • 5.4:100 Comparative Analysis of California Rule
  • 5.4:200 Sharing Fees with a Nonlawyer
  • 5.4:300 Forming a Partnership with Nonlawyers
  • 5.4:400 Third Party Interference with a Lawyer's Professional Judgment
  • 5.4:500 Nonlawyer Ownership in or Control of Profit-Making Legal Service Organizations
• 5.5 Rule 5.5 Unauthorized Practice of Law
  • 5.5:100 Comparative Analysis of California Rule
  • 5.5:200 Engaging in Unauthorized Practice
  • 5.5:300 Assisting in the Unauthorized Practice of Law
• 5.6 Rule 5.6 Restrictions on Right to Practice
  • 5.6:100 Comparative Analysis of California Rule
  • 5.6:200 Restrictions on Lawyers Leaving a Firm
  • 5.6:300 Settlements Restricting a Lawyer's Future Practice
• 5.7 Rule 5.7 Responsibilities Regarding Law-Related Services
  • 5.7:100 Comparative Analysis of California Rule
  • 5.7:200 Applicability of Ethics Rules to Ancillary Business Activities

VI. PUBLIC SERVICE

• 6.1 Rule 6.1 Pro Bono Public Service
  • 6.1:100 Comparative Analysis of California Rule
  • 6.1:200 Lawyer's Moral Obligation to Engage in Public Interest Legal Service
• 6.2 Rule 6.2 Accepting Appointments
  • 6.2:100 Comparative Analysis of California Rule
  • 6.2:200 Duty to Accept Court Appointments Except for Good Cause
• 6.3 Rule 6.3 Membership in Legal Services Organization
  • 6.3:100 Comparative Analysis of California Rule
  • 6.3:200 Conflicts of Interest of Lawyers Participating in a Legal Services Organization
• 6.4 Rule 6.4 Law Reform Activities Affecting Client Interests
  • 6.4:100 Comparative Analysis of California Rule
  • 6.4:200 Conflicts of Interest of Lawyers Participating in Law Reform Organizations
• 6.5 Rule 6.5 Nonprofit and Court-Annexed Limited Legal Service Programs
  • 6.5:100 Comparative Analysis of California Rule
  • 6.5:200 Scope of Rule
  • 6.5:300 Special Conflict of Interest Rule

VII. INFORMATION ABOUT LEGAL SERVICES

• 7.1 Rule 7.1 Communications Concerning a Lawyer's Services
  • 7.1:100 Comparative Analysis of California Rule
  • 7.1:200 Lawyer Advertising--In General
• 7.2 Rule 7.2 Advertising
  • 7.2:100 Comparative Analysis of California Rule
  • 7.2:200 Permissible Forms of Lawyer Advertising
  • 7.2:300 Retaining Copy of Advertising Material
  • 7.2:400 Paying to Have Services Recommended
  • 7.2:500 Identification of a Responsible Lawyer
• 7.3 Rule 7.3 Direct Contact with Prospective Client
  • 7.3:100 Comparative Analysis of California Rule
  • 7.3:200 Prohibition of For-Profit In-Person Solicitation
  • 7.3:300 Regulation of Written and Recorded Solicitation
  • 7.3:400 Disclaimers for Written and Recorded Solicitation
  • 7.3:500 Solicitation by Prepaid and Group Legal Services Plans
• 7.4 Rule 7.4 Communication of Fields of Practice
  • 7.4:100 Comparative Analysis of California Rule
  • 7.4:200 Regulation of Claims of Certification and Specialization
• 7.5 Rule 7.5 Firm Names and Letterheads
  • 7.5:100 Comparative Analysis of California Rule
  • 7.5:200 Firm Names and Trade Names
  • 7.5:300 Law Firms with Offices in More Than One Jurisdiction
  • 7.5:400 Use of the Name of a Public Official
  • 7.5:500 Misleading Designation as Partnership, etc.

VIII. MAINTAINING THE INTEGRITY OF THE PROFESSION

• 8.1 Rule 8.1 Bar Admission and Disciplinary Matters
  • 8.1:100 Comparative Analysis of California Rule
  • 8.1:200 Bar Admission
  • 8.1:300 False Statements of Material Fact in Connection with Admission or Discipline
  • 8.1:400 Duty to Volunteer Information to Correct a Misapprehension
  • 8.1:500 Application of Rule 8.1 to Reinstatement Proceedings
• 8.2 Rule 8.2 Judicial and Legal Officials
• 8.2:100 Comparative Analysis of California Rule
• 8.2:200 False Statements About Judges or Other Legal Officials
• 8.2:300 Lawyer Candidates for Judicial Office
• 8.3 Rule 8.3 Reporting Professional Misconduct
• 8.3:100 Comparative Analysis of California Rule
• 8.3:200 Mandatory Duty to Report Serious Misconduct
• 8.3:300 Reporting the Serious Misconduct of a Judge
• 8.3:400 Exception Protecting Confidential Information
• 8.4 Rule 8.4 Misconduct
• 8.4:100 Comparative Analysis of California Rule
• 8.4:200 Violation of a Rule of Professional Conduct
• 8.4:300 Commission of a Crime
• 8.4:400 Dishonesty, Fraud, Deceit and Misrepresentation
• 8.4:500 Conduct Prejudicial to the Administration of Justice
• 8.4:600 Implying Ability to Influence Public Officials
• 8.4:700 Assisting Judge or Official in Violation of Duty
• 8.4:800 Discrimination in the Practice of Law
• 8.4:900 Threatening Prosecution
• 8.5 Rule 8.5 Disciplinary Authority; Choice of Law
• 8.5:100 Comparative Analysis of California Rule
• 8.5:200 Disciplinary Authority
• 8.5:300 Choice of Law